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                        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                                 Robert A. Van Nest
rmirzaie@raklaw.com                          rvannest@keker.com
Marc A. Fenster                              Leo L. Lam
mfenster@raklaw.com                          llam@keker.com
James N. Pickens                             Eugene M. Paige
jpickens@raklaw.com                          epaige@keker.com
Minna Y. Chan                                R. Adam Lauridsen
mchan@raklaw.com                             alauridsen@keker.com
Kristopher R. Davis                          Keker, Van Nest & Peters LLP
kdavis@raklaw.com                            633 Battery Street
RUSS AUGUST & KABAT                          San Francisco, CA 94111
12424 Wilshire Blvd.,12th Floor              Tel: (415) 391-5400
Los Angeles, CA 90025
Tel: (310) 826-7474                          Attorneys for Defendant-Cross-
Fax: (310) 826-6991                          Appellant Google LLC

Attorneys for Plaintiff-Appellant
EcoFactor, Inc.


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                        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                          Description                                  Appx
 No.

 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      Appx1134;
         Judgment of Subject Matter Ineligibity Under 35 U.S.C § Appx1140;
         101                                                     Appx1142-Appx1144;
                                                                 Appx1151;
                                                                 Appx1154;
111-5    Excerpts from Exhibit 4 to Defendants’ Joint Motion for    Appx1161-Appx1168;
         Summary Judgment of Subject Matter Ineligibity Under       Appx1170-Appx1176
         35 U.S.C § 101 – Scott Hublou Deposition Excerpts,
         August 10, 2021



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111-6    Exhibit 5 to Defendants’ Joint Motion for Summary       Appx1177-Appx1183
         Judgment of Subject Matter Ineligibity Under 35 U.S.C §
         101 – John A. Palmer Deposition Excerpts, November 8,
         2021

111-8    Exhibit 7 to Defendants’ Joint Motion for Summary       Appx1189-Appx1193
         Judgment of Subject Matter Ineligibity Under 35 U.S.C §
         101 – Excerpts from Expert Report of Erik de la Iglesia
         regarding Infringement by Google, September 27, 2021

114-2    [Sealed] Excerpts of Exhibit 1 to Google LLC’s Opposed     Appx1194-Appx1201;
         Motion to Exclude Expert Testimony of David Kennedy        Appx1244-Appx1248;
         Corrected Expert Report of Mr. David Kennedy,              Appx1258-Appx1259;
         November 1, 2021                                           Appx1275-Appx1279

114-8    [Sealed] Exhibit 7 to Google LLC’s Opposed Motion to       Appx1604-Appx1608
         Exclude Expert Testimony of David Kennedy – Shayan
         Habib Deposition Excerpts, September 16, 2021

114-11   [Sealed] Exhibit 10 to Google LLC’s Opposed Motion to      Appx1617-Appx1619
         Exclude Expert Testimony of David Kennedy Email
         from Reza Mirzaie to Max Grant, April 12, 2020
         (ECODCT_0029377-378)

 115     [Sealed] Google’s Motion for Summary Judgment of           Appx1645-Appx1662
         Invalidity of U.S. Patent No. 8,412,488, filed on
         November 19, 2021

115-2    [Sealed] Exhibit A to Google’s Motion for Summary      Appx1663-Appx1673
         Judgment of Invalidity of U.S. Patent No. 8,412,488-
         Scott Hublou Deposition Excerpts, Inv. No. 337-TA-125,
         August 10, 2021

115-3    [Sealed] Exhibit B to Google’s Motion for Summary          Appx1674-Appx1682
         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

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115-4   [Sealed] Exhibit C to Google’s Motion for Summary             Appx1683-Appx1690
        Judgment of Invalidity of U.S. Patent No. 8,412,488–
        Excerpts from the Expert Report of John A. Palmer,
        Ph.D. Regarding Invalidity, October 22, 2021

115-5   [Sealed] Exhibit D to Google’s Motion for Summary             Appx1691-Appx1696
        Judgment of Invalidity of U.S. Patent No. 8,412,488–
        John Palmer Deposition Excerpts, November 8, 2021

115-6   [Sealed] Exhibit E to Google’s Motion for Summary             Appx1697-Appx1703
        Judgment of Invalidity of U.S. Patent No. 8,412,488 –
        Erik de la Igelsia Deposition Excerpts, October 29, 2021

           Excerpt from [Sealed] Exhibit 5 – Palmer Report            Appx1771-Appx1772;
        Excerpt                                                       Appx1776-Appx1777

           Excerpt from [Sealed] Exhibit 6 – Hublou Transcript        Appx1778-Appx1782;
        Excerpts                                                      Appx1800-Appx1802;
                                                                      Appx1804
134     Excerpt from [Sealed] Plaintiff’s Opposition to               Appx1876;
        Defendant’s Joint Motion for Summary Judgment of              Appx1881-Appx1898
        Subject Matter Ineligibility Under 35 U.S.C. § 101

134-2   Excerpt from Exhibit A to Plaintiff’s Opposition to      Appx1901-
        Defendant’s Joint Motion for Summary Judgment of         Appx1902;
        Subject Matter Ineligibility Under 35 U.S.C. § 101 – ITC Appx1916-Appx1926
        Inv. No. 337-TA-1185 Public Initial Determination

169     Proposed Joint Pre-Trial Order, filed on January 7, 2022      Appx2168;
                                                                      Appx2200-Appx2201
               [Sealed] Exhibit A-4 – EcoFactor Physical Exhibit      Appx2208-Appx2209
        List

177     Excerpt from Pre-Trial Order, entered on January 14,          Appx2210;
        2022                                                          Appx2242-Appx2243




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186   Joint Statement Regarding Claim Construction, January      Appx2250-Appx2253
      26, 2022

192   Excerpt from [Sealed] Omnibus Order Regarding Pretrial Appx2254
      Motions (Dkts. 109, 111, 113, 114, 115, 116, 117, 151,
      and 153)

211   Excerpt from [Sealed] Jury Note 2                          Appx2262

212   Excerpt from [Sealed] Jury Note 3                          Appx2264

281   Google’s Notice of Cross-Appeal of Final Judgment,         Appx2280-Appx2281
      filed on October 21, 2022

      Excerpts from [Sealed] Pre-Trial Conference Transcript,    Appx5016-Appx5017;
      dated January 25, 2022                                     Appx5029-Appx5047;
                                                                 Appx5112-Appx5114;
                                                                 Appx5132-Appx5136
      Excerpts from [Sealed] Trial Transcript, Day 1, dated      Appx5137-Appx5138;
      January 31, 2022                                           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      Appx5411-Appx5412;
      February 1, 2022                                           Appx5453-Appx5469;
                                                                 Appx5531-Appx5546;
                                                                 Appx5554-Appx5559;
                                                                 Appx5561-Appx5583;
                                                                 Appx5595-Appx5601;
                                                                 Appx5618-Appx5621;
                                                                 Appx5627-Appx5632;
                                                                 Appx5639-Appx5642;
                                                                 Appx5644

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Excerpts from [Sealed] Trial Transcript, Day 3, dated     Appx5645-Appx5646;
February 2, 2022                                          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     Appx5964-Appx5965;
February 7, 2022                                          Appx5999-Appx6002;
                                                          Appx6004-Appx6007;
                                                          Appx6053-Appx6059;
                                                          Appx6077-Appx6131;
                                                          Appx6148-Appx6162;
                                                          Appx6166-Appx6169;
                                                          Appx6217-Appx6232;
                                                          Appx6234




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     Excerpts from [Sealed] Trial Transcript, Day 5, dated      Appx6235-Appx6236;
     February 8, 2022                                           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      Appx6513-Appx6514;
     February 9, 2022                                           Appx6519-Appx6521;
                                                                Appx6524-Appx6527;
                                                                Appx6531-Appx6533;
                                                                Appx6543-Appx6546;
                                                                Appx6568-Appx6586;
                                                                Appx6589
     Excerpts from [Sealed] Motion Hearing Transcript, dated    Appx6599;
     September 27, 2022                                         Appx6661-Appx6663;
                                                                Appx6687-Appx6689;
                                                                Appx6691
36   Defendants’ Responsive Claim Construction Brief, filed     Appx6721;
     on October 27, 2020                                        Appx6732;
                                                                Appx6734-Appx6735
40   Joint Claim Construction Statement                         Appx6750; Appx6752

     DTX-0219 – U.S. Patent Application Publication             Appx10106-
     2004/0117330 (“Ehlers”) (DC_PRIOR_ART_0000403)             Appx10155

     [Sealed] DTX-0665 – Energy Intelligence (GOOG-             Appx10181-
     ITC1258-00162068)                                          Appx10272


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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         Appx10279-
Zirconium Conjoint Findings (GOOG-ECOF-WDTX-              Appx10281;
00170017)                                                 Appx10291-
                                                          Appx10295
[Sealed] PTX-0096 – EcoFactor PowerPoint Presentation Appx10350-
(GOOG-ECOF-WDTX1-00000004)                            Appx10363

Excerpt from [Sealed] PTX-0097 – EcoFactor       Appx10364;
Intellectual Property (GOOG-ECOF-WDTX1-00000085) 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            Appx10439;
Business (GOOG-ECOF-WDTX-00111086)                        Appx10467

Excerpt from [Sealed] PTX-0315 – Zirconium Functional Appx10760;
Spec – HVAC Features dated April 25, 2020 (GOOG-      Appx10765
ITC1258-00117926)

Excerpt from [Sealed] PTX-0594 – Email from Indranil      Appx10797-
(Indy) Mukerji to Reza Mirzaie (ECODCT_0229453)           Appx10799

[Sealed] PTX-0915 – Habib Emails (EF_0663676)             Appx10802-
                                                          Appx10804


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       [Sealed] PTX-0919 – Emails Re EcoFactor (GOOG-                Appx10807-
       ECOF-WDTX1-00000177)                                          Appx10809

       [Sealed] PTX-0928 -- Remote Optimization of HVAC              Appx10819-
       for Efficiency and Demand Response: 2007-2008 Global          Appx10881
       Field Trial Results of EcoFactor’s Integrated Demand
       Side Management solution

       Excerpt from PTX-0929 – Sensors in Google Nest                Appx10882;
       devices                                                       Appx10888

       [Sealed] DTX-0171—Redacted email from Scott                   Appx10890
       McGaraghan

       [Sealed] DTX-0287--Email from Danel Dayan to Nik              Appx10891
       Sathe re: EcoFactor M&A Opportunity

       Excerpt from PTX-0263 – Behind the scenes with the            Appx10892;
       new Nest Thermostat                                           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-

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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.




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


ECOFACTOR, INC.,

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

           v.                                            JURY TRIAL DEMANDED

GOOGLE LLC,

                   Defendant.

ECOFACTOR, INC.,

                  Plaintiff,                            Case No. 6:20-cv-00078-ADA

          v.                                            JURY TRIAL DEMANDED

ECOBEE, INC.,

                  Defendant.

ECOFACTOR, INC.,

                  Plaintiff,                            Case No. 6:20-cv-00080-ADA

          v.                                             JURY TRIAL DEMANDED

VIVINT, INC.,

                  Defendant.



                                  PROTECTIVE ORDER

       WHEREAS, documents and information may be sought, produced or exhibited by and

among the parties to the above captioned proceeding, which materials relate to trade secrets or

other confidential research, development or commercial information;

       IT IS HEREBY ORDERED THAT:
                                                1

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       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

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                  (b) The Court may determine that information alleged to be confidential is not

confidential, or that its disclosure is necessary for the proper disposition of the proceeding, before,

during, or after the close of a trial herein. If such a determination is made by the Court, opportunity

shall be provided to the supplier of such information to argue its confidentiality prior to the time

of such ruling.

       3.         (a) In the absence of written permission from the supplier or an order by the Court,

any confidential documents or business information designated “RESTRICTED – ATTORNEYS’

EYES ONLY” submitted in accordance with the provisions of paragraph 2 above shall not be

disclosed to any person other than:

       (i) outside counsel for parties to this litigation, including necessary secretarial and support

       personnel assisting such counsel;

       (ii) qualified persons taking testimony involving such documents or information and

       necessary stenographic and clerical personnel thereof;

       (iii) technical experts and their staff who are employed for the purposes of this litigation to

       the extent that the technical experts and their staff have agreed to be bound by the

       provisions of the Protective Order by signing a copy of Attachment A;

       (iv) independent litigation support services, including persons working for or as: court

       reporters; graphics or design services; jury or trial consulting services; and photocopy;

       document imaging; and litigation support or database services retained by counsel and

       reasonably necessary to assist counsel with the litigation of this Action; and

       (iv) the Court, the Court staff, and personnel of the Court.

                  (b) In the absence of written permission from the supplier or an order by the Court,

any confidential documents or business information designated “CONFIDENTIAL” submitted in

                                                   3


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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

                                                  4
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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

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portions of depositions as containing confidential business information after transcription of the

proceedings. A party will have up to twenty-one (21) days after receipt of the deposition transcript

to inform the other party or parties to the action of the portions of the transcript to be designated

“CONFIDENTIAL” or “RESTRICTED – ATTORNEYS’ EYES ONLY.” Any transcript that is

prepared before the expiration of the 21-day period for designation shall be treated during that

period as if it had been designated “RESTRICTED – ATTORNEYS’ EYES ONLY” in its entirety

unless otherwise agreed. After the expiration of that period, the transcript shall be treated only as

actually designated.

               (b) a party will have the right to exclude from attendance at the deposition, during

such time as the confidential business information is to be disclosed, any person other than the

deponent and those entitled to receive confidential business information provided in paragraph 3.

               (c) the originals of the deposition transcripts and all copies of the deposition must

bear the legend “CONFIDENTIAL” or “RESTRICTED – ATTORNEYS’ EYES ONLY,” as

appropriate, and the original or any copy ultimately presented to a court for filing must not be filed

unless it can be accomplished under seal, identified as being subject to this Order, and protected

from being opened except by order of this Court.

       10.     If while the litigation is before the Court, a party to this order who is to be a recipient

of any business information designated as confidential and submitted in accordance with paragraph

2, disagrees with respect to such a designation, in full or in part, it shall notify the supplier in

writing, and they will thereupon confer as to the status of the subject information proffered within

the context of this order. If prior to, or at the time of such a conference, the supplier withdraws its

designation of such information as being subject to this order, but nonetheless submits such

information for purposes of the litigation, such supplier shall express the withdrawal, in writing,

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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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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

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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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                       (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.

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                              2)      At the beginning of a Source Code review session, the

Supplier shall, when requested by the reviewer, upload to the note-taking computer an encrypted

notes file (e.g., uploading an encrypted notes file from a USB memory stick provided by the

reviewer to the note-taking computer).

                              3)      The reviewer may then decrypt and open the notes file using

the note-taking computer for the purpose of taking notes during the Source Code review session.

During the source Code review session, the Supplier may disable any input and/or output devices

on the note-taking computer (e.g., disable any USB ports, Wi-Fi or Ethernet connectivity, and/or

optical disc drives) except as necessary to enable to reviewer to take notes (e.g., enable mouse and

keyboard). Use or possession of any input/output device (e.g., USB memory stick, mobile phone

or tablet, camera or any camera-enabled device, CD, floppy disk, portable hard drive,

laptop/computer, or any device that can access the Internet or any other network or external system,

etc.) is prohibited while accessing the note-taking computer.

                              4)      At the end of a Source Code review session, the reviewer

may save any notes in the same encrypted notes file. The Supplier shall, when requested by the

reviewer, download from the note-taking computer the encrypted notes file and provide an

electronic copy to the reviewer (e.g., downloading the encrypted notes file from the note-taking

computer to a USB memory stick provided by the reviewer).

                              5)      Notwithstanding this stipulation, no reviewer may at any

time copy or include in electronic notes any portions or sections of the Source Code. Reviewers

using electronic note-taking will be directed by undersigned counsel not to copy or include in

electronic notes any portions or sections of the Source Code.




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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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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:




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                                       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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                                       The receiving party is permitted to possess up to seven (7)

additional paper copies of the hard copy print-outs of Source Code provided by the supplier. The

receiving party may provide these paper copies to qualified consultants or qualified experts, who

may use such paper copies solely for active review of the source code. The receiving party is also

permitted to make temporary copies necessarily made in the production of these paper copies

provided any such copies are immediately deleted once the temporary copies are no longer required

for the production of the paper copies. The paper copies shall not be copied in whole or in part

under any other circumstances. A receiving party may destroy one or more of the seven (7)

previously created paper copies and create one or more new paper copies provided that the total

number in possession of the receiving party does not exceed seven (7). Absent further agreement,

all paper copies shall be destroyed after the completion of the litigation or the supplying party’s

exit from the litigation, whichever occurs first. The receiving party shall keep and maintain a log

of all custodians for all of the paper copies as well as the destruction of all paper copies.

                                       The supplier shall, on request, make a searchable electronic

copy of the Source Code available on a stand-alone computer during depositions of witnesses who

would otherwise be permitted access to such Source Code. The receiving party shall make such

request at the time of the notice for deposition.

                       (xi)    Nothing in this Protective Order shall be construed to limit how a

supplier may maintain material designated as “RESTRICTED – CONFIDENTIAL SOURCE

CODE.”

                       (xii)   Outside litigation counsel for the receiving party with custody of

“RESTRICTED – CONFIDENTIAL SOURCE CODE” shall maintain a source code log

containing the following information: (1) the identity of each person granted access to the

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“RESTRICTED – CONFIDENTIAL SOURCE CODE”; and (2) the first date on which such

access was granted. Outside litigation counsel for the receiving party will produce, upon request,

each such source code log to the supplier within twenty (20) days of the final determination of the

litigation.

                          (xiii) Any print request that consists of more than 40 pages of a continuous

block of source code shall be presumed to be excessive, and the burden shall be on the receiving

party to demonstrate the need for such a printed copy. The receiving party may request printed

source code of up to 800 pages total from each producing party. Each print request shall be made

in writing to the producing party and shall include the complete path, file name, and line numbers

of the source code to be printed. The parties acknowledge that they produced source code printouts

in connection with U.S. ITC Investigation No. 337-TA-1185 (“the 1185 Investigation”), with the

same page limits. A receiving party may request that printouts from the 1185 Investigation be

deemed produced in the instant action (or re-produced with new Bates numbers, if the producing

party prefers). Such a request will count toward the above page limitations. Any request for source

code printouts exceeding the 800- and 40-page limits shall be made only if the requesting party

has good cause to make such a request. The parties agree to negotiate, in good faith and in a timely

fashion, any request exceeding these limits in order to avoid burdening the Court unnecessarily.

The burden shall be on the receiving party to demonstrate the need for exceeding these limits.

        20.        No prejudice. Paragraph 19 above is without prejudice to any party’s rights to

propose, request, or otherwise move for different provisions relating to source code production in

this litigation.

        21.        Prosecution Bar. Any person (i) who prosecutes patents or patent applications at

any time between the date on which such person subscribes to the Protective Order and the date

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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.

                                                  22

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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.




                                                23


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Dated:        June 9
       ____________________, 2021



                                          Alan D Albright
                                          United States District Judge




                                    24
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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




                                                  25

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       Case 6:20-cv-00075-ADA Document 244 Filed 05/26/22 Page 1 of 2




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

ECOFACTOR, INC.

       Plaintiff,                                          Case No. 6:20-cv-00075-ADA
                v.

GOOGLE LLC,
       Defendant.



                                   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.


                                              1
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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.




                                             2
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                                                               FILED
                                                         February 10, 2022
                                                        CLERK, U.S. DISTRICT COURT
                                                        WESTERN DISTRICT OF TEXAS

                                                               Jennifer Clark
                                                     BY: ________________________________
                                                                             DEPUTY




                            Appx3
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 2 of 41




                            Appx4
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 3 of 41




                            Appx5
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 4 of 41




                            Appx6
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 5 of 41




                            Appx7
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 6 of 41




                            Appx8
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 7 of 41




                            Appx9
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 8 of 41




                           Appx10
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 9 of 41




                           Appx11
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 10 of 41




                           Appx12
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 11 of 41




                           Appx13
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 12 of 41




                           Appx14
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 13 of 41




                           Appx15
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 14 of 41




                           Appx16
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 15 of 41




                           Appx17
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 16 of 41




                           Appx18
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 17 of 41




                           Appx19
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 18 of 41




                           Appx20
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 19 of 41




                           Appx21
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 20 of 41




                           Appx22
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 21 of 41




                           Appx23
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 22 of 41




                           Appx24
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 23 of 41




                           Appx25
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 24 of 41




                           Appx26
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 25 of 41




                           Appx27
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 26 of 41




                           Appx28
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                           Appx29
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                           Appx30
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                           Appx31
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                           Appx33
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                           Appx40
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Case 6:20-cv-00075-ADA Document 209 Filed 02/10/22 Page 41 of 41




                           Appx43
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Case 6:20-cv-00075-ADA Document 215 Filed 02/10/22 Page 1 of 8



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

                                                             Jennifer Clark
                                                   BY: ________________________________
                                                                           DEPUTY




                          Appx44
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Case 6:20-cv-00075-ADA Document 215 Filed 02/10/22 Page 2 of 8




                          Appx45
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                          Appx46
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Case 6:20-cv-00075-ADA Document 215 Filed 02/10/22 Page 4 of 8




                          Appx47
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                          Appx48
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Case 6:20-cv-00075-ADA Document 215 Filed 02/10/22 Page 6 of 8




                          Appx49
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Case 6:20-cv-00075-ADA Document 215 Filed 02/10/22 Page 7 of 8




                          Appx50
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Case 6:20-cv-00075-ADA Document 215 Filed 02/10/22 Page 8 of 8




                          Appx51
            Case: 23-1101                    Document: 15                                       Page: 87                  Filed: 05/09/2023



                                                                                                                       US008180492B2


(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
                                                                                          structure and is used to control an HVAC system in the struc
                                                                                         ture. At least one networked electronic device is used to
                U.S. PATENT DOCUMENTS
                                                                                         indicate the state of occupancy of the structure. The state of
       4,136,732 A       1/1979 Demaray et al.                                           occupancy is used to alter the setpoint on the thermostatic
       4,341,345 A      7, 1982 Hammer et al.
       4,403,644 A      9, 1983 Hebert                                                   HVAC control to reduce unneeded conditioning of unoccu
       4,655,279 A      4, 1987 Harmon                                                   pied spaces.
       4,674,027 A      6/1987 Beckey
       5,244,146 A      9, 1993 Jefferson et al.                                                                   18 Claims, 8 Drawing Sheets


                                                               receive message
                                                               indicating activity    - 302

                                                                Retrieve setting
                                                                iformation
                                                                for database
                                                                                      r so

                                                                  Éces curren / 306
                                                    -Yes-X setting as occupied
                                                               setting?


                                                                   Austratic
                                                                                     - 3 or
                                                                   adjustment
                                                                   eabed?



                                                               Transmitmessage
                                                               to use? requesting
                                                               actio to chose
                                                               or sect change
                                                       32                                                   - 3&
                                                             Y 1ser
                                                                 accept
                                                                                              Adjust
                                                                                        Yes   temperature
                                                                     changs                   setting
                                                       st
                                                                     Update
                                                                     database




                                                                       Appx52
             Case: 23-1101                       Document: 15                  Page: 88              Filed: 05/09/2023




                                                          US 8,180,492 B2
                                                                    Page 2

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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
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2005/0288822 A1       12/2005 Rayburn                                    * cited by examiner




                                                                 Appx53
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U.S. Patent     May 15, 2012     Sheet 1 of 8         US 8,180,492 B2




                               Appx54
    Case: 23-1101       Document: 15      Page: 90    Filed: 05/09/2023




U.S. Patent         May 15, 2012     Sheet 2 of 8             US 8,180,492 B2




                                                        Database


                                                        Database
          Utility                           Deraand Reduction
                                            Service Servers




                                   Appx55
Case: 23-1101   Document: 15   Page: 91   Filed: 05/09/2023




                        Appx56
    Case: 23-1101   Document: 15           Page: 92      Filed: 05/09/2023




U.S. Patent     May 15, 2012       Sheet 4 of 8               US 8,180,492 B2




                                                           F. Cure




                          Microprocessor




                    2.5
      1S 2.                      2S-              2 (O




                               Appx57
    Case: 23-1101     Document: 15      Page: 93     Filed: 05/09/2023




U.S. Patent       May 15, 2012     Sheet 5 of 8              US 8,180,492 B2




                                                  Figure S




                                                                  HoO
              C         Temperature O                             So O
                    Thermostat Settings
              C          Energy Bills                             &C) O
                      HVAC Hardware                                7 OO
                           Weather                               st SOO




                      Product & Service                              OO




                                 Appx58
Case: 23-1101   Document: 15   Page: 94   Filed: 05/09/2023




                        Appx59
    Case: 23-1101       Document: 15              Page: 95       Filed: 05/09/2023




U.S. Patent     May 15, 2012                Sheet 7 of 8                 US 8,180,492 B2
                                          Fig 7




                    Receive message
                    indicating activity
                                            1 (3o 2

                     Retrieve setting
                     information             - 3o
                     fron database



         Yes
                       Does Current
                    setting it occupied
                                             1 foe
                        setting?



                        Automatic
                        adjustment
                        enabled?




                    Transmit message
                    to user requesting
                    action to choose
                    or reject change
                                                                         / is 6
                                                           Adjust
                                                           temperature
                                                           setting



                         Update
                         database




                                        Appx60
    Case: 23-1101    Document: 15               Page: 96         Filed: 05/09/2023




U.S. Patent     May 15, 2012              Sheet 8 of 8                US 8,180,492 B2

                                                         Fig 8




                        Transmit            /      O1
                         Content data



                      Retrieve logged
                      program                -I-O
                      preference data


                      Retrieve logged        / 106
                      user data



                       Match Content
                       data to user



                     Transmit matching
                     query to user


                       ls actual user =
                       identified user?




                    Retrieve temperature
                    settings for
                    identified user



                    Write programming
                    and matching data
                    to database




                                      Appx61
          Case: 23-1101                   Document: 15                 Page: 97             Filed: 05/09/2023




                                                     US 8, 180,492 B2
                              1.                                                                  2
      SYSTEMAND METHOD FOR USINGA                                  between multiple present temperatures at different times
    NETWORKED ELECTRONIC DEVICE ASAN                               without real-time involvement of a human being.
     OCCUPANCY SENSOR FOR AN ENERGY                                   Because most thermostats control HVAC systems that do
          MANAGEMENT SYSTEM                                        not offerinfinitely variable output, traditional thermostats are
                                                                   designed to permit the temperature as seen by the thermostat
           CROSS-REFERENCE TO RELATED                              to vary above and below the setpoint to prevent the HVAC
                  APPLICATIONS                                     system from constantly and rapidly cycling on and off, which
                                                                   is inefficient and harmful to the HVAC system. The tempera
   This application claims priority to U.S. Provisional Appli 10   ture range in which the thermostat allows the controlled envi
                                                                   ronment to drift is known as both the dead Zone and, more
cation No. 61/134,714, filed Jul. 14, 2008, the entirety of formally,
which is incorporated herein by reference and is to be con quently setthe       at
                                                                                   hysteresis Zone. The hysteresis Zone is fre
                                                                                   +/-1 degree Fahrenheit. Thus if the setpoint is
sidered part of this specification.                                68 degrees, in the heating context the thermostat will allow
          BACKGROUND OF THE INVENTION                              the inside temperature to fall to 67 degrees before turning the
                                                                15 heating system on, and will allow it to rise to 69 degrees

                      Field of the Invention
                                                                   before turning it off again.
                                                                      As energy prices rise, more attention is being paid to ways
                                                                   of reducing energy consumption. Because energy consump
   This invention relates to the use of thermostatic HVAC and      tion is directly proportional to setpoint—that is, the further a
other energy management controls that are connected to a given setpoint diverges from the balance point (the inside
computer network. More specifically, the present invention temperature assuming no HVAC activity) in a given house
pertains to the use of user interactions with an interface Such under given conditions, the higher energy consumption will
as a personal computer or an Internet-enabled television as be to maintain temperature at that setpoint), energy will be
signal related to occupancy to inform an energy management saved by virtually any strategy that over a given time frame
system.                                                         25 lowers the average heating setpoint or raises the cooling set
   Heating and cooling systems for buildings (heating, venti point. Conventional programmable thermostats allow home
lation and cooling, or HVAC systems) have been controlled owners to save money and energy by pre-programming set
for decades by thermostats. At the most basic level, a thermo point changes based upon comfort or schedule. For example,
stat includes a means to allow a user to set a desired tempera in the Summer, allowing the setpoint to rise by several degrees
ture, a means to sense actual temperature, and a means to 30 (or even shutting off the air conditioner) when the home is
signal the heating and/or cooling devices to turn on or offin unoccupied will generally save significantly on energy. But
order to try to change the actual temperature to equal the such thermostats have proven to be only minimally effective
desired temperature. The most basic versions of thermostats in practice. Because they have Such primitive user interfaces,
use components such as a coiled bi-metallic spring to mea they are difficult to program, and so many users never bother
Sure actual temperature and a mercury Switch that opens or 35 at all, or set them up once and do not alter the programming
completes a circuit when the spring coils or uncoils with even if their schedules change.
temperature changes. More recently, electronic digital ther           In the hotel industry, the heating and cooling decisions
mostats have become prevalent. These thermostats use solid         made in hundred or even thousands of individual rooms with
state devices Such as thermistors orthermal diodes to measure      independently controlled HVAC systems are aggregated into
temperature, and microprocessor-based circuitry to control 40 a single energy bill, so hotel owners and managers are sensi
the Switch and to store and operate based upon user-deter tive to energy consumption by those systems. Hotel guests
mined protocols for temperature Vs. time.                          often turn the air conditioner to a low temperature setting and
   These programmable thermostats generally offer a very then leave the room for hours at a time, thereby wasting
restrictive user interface, limited by the cost of the devices, considerable energy. An approach commonly used outside of
the limited real estate of the small wall-mounted boxes, and 45 the United States to combat this problem is to use a keycard to
the inability to take into account more than two variables: the control the HVAC system, such that guests place the keycard
desired temperature set by the user, and the ambient tempera into a slot mounted on the wall near the door of the room
ture sensed by the thermostat. Users can generally only set which then triggers the lights and HVAC system to power up,
one series of commands per day, and in order to change one and turn them off when the guest removes the card upon
parameter (e.g., to change the late-night temperature) the user 50 leaving the room. However, because most hotels give each
often has to cycle through several other parameters by repeat guest two cards, it is easy to simply leave the extra card in the
edly, pressing one or two buttons.                                 slot, thus defeating the purpose of the system. Recently, sys
   Because the interface of programmable thermostats is so tems have been introduced in which a motion sensor is con
poor, the significant theoretical savings that are possible with nected to the control circuitry for the HVAC system. If no
them (sometimes cited as 25% of heating and cooling costs) 55 motion is detected in the room for some predetermined inter
are rarely realized. In practice, studies have found that more val, the system concludes that the room is unoccupied, and
than 50% of users never program their thermostats at all. turns off or alters the setpoint of the HVAC system to a more
Significant percentages of the thermostats that are pro economical level. When the motion sensor detects motion
grammed are programmed Sub-optimally, in part because,             (which is assumed to coincide with the return of the guest),
once programmed, people tend to not to re-invest the time 60 the HVAC system resets to the guest’s chosen setting.
needed to change the settings very often.                             Adding occupancy detection capability to residential
   A second problem with standard programmable thermo              HVAC systems could also add considerable value in the form
stats is that they represent only a small evolutionary step of energy savings without significant tradeoff in terms of
beyond the first, purely mechanical thermostats. Like the first comfort. But the systems used in hotels do not easily transfer
thermostats, they only have two input signals—ambient tem 65 to the single-family residential context. Hotel rooms tend to
perature and the preset desired temperature. The entire be small enough that a single motion sensor is sufficient to
advance with programmable thermostats is that they can shift determine with a high degree of accuracy whether or not the



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                                                     US 8, 180,492 B2
                              3                                                                   4
room is occupied. A single motion sensor in the average home           FIG. 2 shows a high-level illustration of the architecture of
today would have limited value because there are likely to be        a network showing the relationship between the major ele
many places one or more people could be home and active yet          ments of one embodiment of the subject invention.
invisible to the motion sensor. The most economical way to             FIG. 3 shows an embodiment of the website to be used as
include a motion sensor in a traditional programmable ther           part of the subject invention.
mostat would be to build it into the thermostat itself. But             FIG. 4 shows a high-level schematic of the thermostat used
thermostats are generally located in hallways, and thus are          as part of the Subject invention.
unlikely to be exposed to the areas where people tend to spend       FIG. 5 shows one embodiment of the database structure
their time. Wiring a home with multiple motion sensors in used as part of the Subject invention.
order to maximize the chances of detecting occupants would 10 FIG. 6 shows the browser as seen on the display of the
involve considerable expense, both for the sensors them computer used as part of the Subject invention.
selves and for the considerable cost of installation, especially     FIG. 7 is a flowchart showing the steps involved in the
in the retrofit market. Yet if control is ceded to a single-sensor operation of one embodiment of the subject invention.
system that cannot reliably detect presence, the resulting           FIG. 8 is a flowchart that shows how the invention can be
errors would likely lead the homeowner to reject the system. 15 used to select different HVAC settings based upon its ability
   It would thus be desirable to provide a system that could to identify which of multiple potential occupants is using the
detect occupancy without requiring the installation of addi computer attached to the system.
tional hardware; that could accurately detect occupancy
regardless of which room in the house is occupied, and could          DETAILED DESCRIPTION OF THE PREFERRED
optimize energy consumption based upon dynamic and indi                                 EMBODIMENT
vidually configurable heuristics.
                                                                     FIG. 1 shows an example of an overall environment 100 in
              SUMMARY OF THE INVENTION                             which an embodiment of the invention may be used. The
                                                                     environment 100 includes an interactive communication net
   In one embodiment, the invention comprises a thermostat 25 work 102 with computers 104 connected thereto. Also con
attached to an HVAC system, a local network connecting the nected to network 102 are one or more server computers 106,
thermostatto a larger network Such as the Internet, and one or which store information and make the information available
more computers attached to the network, and a server in to computers 104. The network 102 allows communication
bi-directional communication with a plurality of such ther between and among the computers 104 and 106.
mostats and computers. The server pairs each thermostat with 30 Presently preferred network 102 comprises a collection of
one or more computers or other consumer electronic devices interconnected public and/or private networks that are linked
which are determined to be associated with the home in which       to together by a set of standard protocols to form a distributed
the thermostat is located. The server logs the ambient tem         network. While network 102 is intended to refer to what is
perature sensed by each thermostat vs. time and the signals now commonly referred to as the Internet, it is also intended
sent by the thermostats to their HVAC systems. The server 35 to encompass variations which may be made in the future,
also monitors and logs activity on the computers or other including changes additions to existing standard protocols.
consumer electronic devices associated with each thermostat.          When a user of the subject invention wishes to access
Based on the activity patterns evidenced by keystrokes, cur information on network 102, the buyer initiates connection
sor movement or other inputs, or lack thereof, the server from his computer 104. For example, the user invokes a
instructs the thermostat to change temperature settings 40 browser, which executes on computer 104. The browser, in
between those optimized for occupied and unoccupied States. turn, establishes a communication link with network 102.
   At least one embodiment of the invention comprises the Once connected to network 102, the user can direct the
steps of determining whether one or more networked elec browser to access information on server 106.
tronic devices inside a structure are in use; determining             One popular part of the Internet is the World Wide Web.
whether said use of said networked electronic devices indi 45 The World WideWeb contains a large number of computers
cates occupancy of said structure; and adjusting the tempera       104 and servers 106, which store HyperText Markup Lan
ture setpoint on athermostatic controller for an HVAC system guage (HTML) documents capable of displaying graphical
for said structure based upon whether or not said structure is and textual information. HTML is a standard coding conven
deemed to be occupied.                                             tion and set of codes for attaching presentation and linking
   At least one embodiment of the invention comprises at 50 attributes to informational content within documents.
least one said thermostat having at least one temperature             The servers 106 that provide offerings on the World Wide
setting associated with the presence of one or more occupants Web are typically called websites. A website is often defined
in said structure, and at least one temperature setting associ by an Internet address that has an associated electronic page.
ated with the absence of occupants in said structure; one or Generally, an electronic page is a document that organizes the
more electronic devices having at least a user interface; where 55 presentation of text graphical images, audio and video.
said electronic devices and said thermostat are connected to a        In addition to the Internet, the network 102 can comprise a
network; where said setpoint on said thermostat is adjusted wide variety of interactive communication media. For
between said temperature setting associated with the pres example, network 102 can include local area networks, inter
ence of one or more occupants in said structure and said active television networks, telephone networks, wireless data
temperature setting associated with the absence of occupants 60 systems, two-way cable systems, and the like.
in said structure based upon the use of said user interface for       In one embodiment, computers 104 and servers 106 are
said electronic device.                                            conventional computers that are equipped with communica
                                                                     tions hardware Such as modem or a network interface card.
      BRIEF DESCRIPTION OF THE DRAWINGS                              The computers include processors such as those sold by Intel
                                                                65   and AMD. Other processors may also be used, including
  FIG. 1 shows an example of an overall environment in               general-purpose processors, multi-chip processors, embed
which an embodiment of the invention may be used.                    ded processors and the like.



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                                                     US 8, 180,492 B2
                                5                                                                  6
   Computers 104 can also be handheld and wireless devices         directly at the thermostat, but Such controls are not necessary
Such as personal digital assistants (PDAs), cellular telephones    to allow the thermostatto function.
and other devices capable of accessing the network. Comput            The data used to generate the content delivered in the form
ers 104 can also be microprocessor-controlled home enter           of the website is stored on one or more servers 106 within one
tainment equipment including advanced televisions, televi          or more databases. As shown in FIG. 5, the overall database
sions paired with home entertainment/media centers, and            structure 300 may include temperature database 400, thermo
wireless remote controls.                                          stat settings database 500, energy bill database 600, HVAC
   Computers 104 may utilize a browser configured to interact hardware database 700, weather database 800, user database
with the World Wide Web. Such browsers may include 10 900,               transaction database 1000, product and service database
                                                                   1100 and such other databases as may be needed to support
Microsoft Explorer, Mozilla, Firefox, Opera or Safari. They these         and additional features.
may also include browsers or similar Software used on hand            The website 200 will allow users of connected thermostats
held, home entertainment and wireless devices. The storage 250 to create personal accounts. Each user's account will
medium may comprise any method of storing information. It store information in database 900, which tracks various
may comprise random access memory (RAM), electronically 15 attributes         relative to users of the site. Such attributes may
erasable programmable read only memory (EEPROM), read include the make and model of the specific HVAC equipment
only memory (ROM), hard disk, floppy disk, CD-ROM, opti in the user's home; the age and square footage of the home,
cal memory, or other method of storing data. Computers 104 the solar orientation of the home, the location of the thermo
and 106 may use an operating system Such as Microsoft stat in the home, the user's preferred temperature settings,
Windows, Apple Mac OS, Linux, Unix or the like. Computers whether the user is a participant in a demand reduction pro
106 may include a range of devices that provide information, gram, etc.
Sound, graphics and text, and may use a variety of operating          As shown in FIG.3, the website 200 will permit thermostat
systems and software optimized for distribution of content via users to perform through the web browser substantially all of
networks.                                                          the programming functions traditionally performed directly
   FIG. 2 illustrates in further detail the architecture of the 25 at the physical thermostat, such as temperature set points, the
specific components connected to network 102 showing the time at which the thermostat should be at each set point, etc.
relationship between the major elements of one embodiment Preferably the website will also allow users to accomplish
of the subject invention. Attached to the network are thermo more advanced tasks Such as allow users to program in Vaca
stats 108 and computers 104 of various users. Connected to tion settings for times when the HVAC system may be turned
thermostats 108 are HVAC units 110. The HVAC units may be 30 off or run at more economical settings, and set macros that
conventional air conditioners, heat pumps, or other devices will allow changing the settings of the temperature for all
for transferring heat into or out of a building. Each user is periods with a single gesture such as a mouse click.
connected to the server 106 via wired or wireless connection          FIG. 6 represents the screen of a computer or other device
such as Ethernet or a wireless protocol such as IEEE 802.11,       104 using a graphical user interface connected to the Internet.
a gateway 110 that connects the computer and thermostat to 35 The screen shows that a browser 1200 is displayed on com
the Internet via a broadband connection Such as a digital puter 104. In one embodiment, a background application
subscriber line (DSL) or other form of broadband connection installed on computer 104 detects activity by a user of the
to the World WideWeb. Server 106 contains the content to be        computer, Such as cursor movement, keystrokes or otherwise,
served as web pages and viewed by computers 104, as well as and signals the application running on server 106 that activity
databases containing information used by the servers.           40 has been detected. Server 106 may then, depending on con
   In the currently preferred embodiment, the website 200 text, (a) transmit a signal to thermostat 108 changing setpoint
includes a number of components accessible to the user, as because occupancy has been detected at a time when the
shown in FIG. 3. Those components may include a means to system did not expect occupancy; (b) signal the background
enter temperature settings 202, a means to enter information application running on computer 104 to trigger a software
about the user's home 204, a means to enter the user's elec 45 routine that instantiates a pop-up window 1202 that asks the
tricity bills 206, means to calculate energy savings that could user if the server should change the current setpoint, alter the
result from various thermostat-setting strategies 208, and overall programming of the system based upon a new occu
means to enable and choose between various arrangements pancy pattern, etc. The user can respond by clicking the
210 for demand reduction with their electric utility provider cursor on “yes” button 1204 or “No” button 1206. Equilvalent
as intermediated by the demand reduction service provider. 50 means of signalling activity may be employed with interac
   FIG. 4 shows a high-level block diagram of thermostat 108 tive television programming, gaming Systems, etc.
used as part of the subject invention. Thermostat 108 includes        FIG.7 represents a flowchart showing the steps involved in
temperature sensing means 252, which may be a thermistor, the operation of one embodiment of the subject invention. In
thermal diode or other means commonly used in the design of step 1302, computer 104 transmits a message to server 106
electronic thermostats. It includes a microprocessor 254, 55 via the Internet indicating that there is user activity on com
memory 256, a display 258, a power source 260, a relay 262, puter 104. This activity can be in the form of keystrokes,
which turns the HVAC system on an and off in response to a cursor movement, input via a television remote control, etc. In
signal from the microprocessor, and contacts by which the step 1304 the application queries database 300 to retrieve
relay is connected to the wires that lead to the HVAC system.      setting information for the HVAC system. In step 1306 the
To allow the thermostatto communicate bi-directionally with 60 application determines whether the current HVAC program is
the computer network, the thermostat also includes means intended to apply when the home is occupied or unoccupied.
264 to connect the thermostat to a local computer or to a If the HVAC settings then in effect are intended to apply for an
wireless network. Such means could be in the form of Ether         occupied home, then the application terminates for a specified
net, wireless protocols such as IEEE 802.11, IEEE 802.15.4, interval. If the HVAC settings then in effect are intended to
Bluetooth, cellular systems such as CDMA, GSM and GPRS, 65 apply when the home is unoccupied, then in step 1308 the
or other wireless protocols. The thermostat 250 may also application will retrieve from database 300 the user's specific
include controls 266 allowing users to change settings preferences for how to handle this situation. If the user has



                                                           Appx64
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                                                     US 8, 180,492 B2
                                7                                                                8
previously specified (at the time that the program was initially transmits instructions to computer 104 causing it to display a
set up or subsequently modified) that the user prefers that the dialog box asking the user whether the user wishes to change
system automatically change settings under Such circum HVAC settings.
stances, the application then proceeds to step 1316, in which
it changes the programmed setpoint for the thermostat to the        What is claimed is:
setting intended for the house when occupied. If the user has       1. A method for varying temperature setpoints for an
previously specified that the application should not make HVAC system comprising:
such changes without further user input, then in step 1310 the      storing at least a first HVAC temperature setpoint associ
application transmits a command to computer 104 directing 10           ated with a structure that is deemed to be non-occupied
the browser to display a message informing the user that the           and at least a second HVAC temperature setpoint asso
current setting assumes an unoccupied house and asking the             ciated with said structure deemed to be occupied;
user in step 1312 to choose whether to either keep the current      determining   whether one or more networked electronic
settings or revert to the pre-selected setting for an occupied         devices  inside  said structure are in use, wherein said
                                                                       networked electronic devices comprise a graphic user
home. If the user selects to retain the current setting, then in 15    interface comprising a display, wherein said networked
step 1314 the application will write to database 300 the fact          electronic devices receive input from one or more users
that the users has so elected and terminate. If the user elects to     and wherein use of said networked electronic devices
change the setting, then in step 1316 the application transmits        comprises at least one of cursor movement, keystrokes
the revised setpoint to the thermostat. In step 1314 the appli         or other user interface actions intended to alter a state of
cation writes the updated setting information to database 300.         one or more of said networked electronic devices by one
  FIG. 8 is a flowchart that shows how the invention can be              or more users;
used to select different HVAC settings based upon its ability         in response to use of said one or more networked devices,
to identify which of multiple potential occupants is using the           determining that said HVAC system is set to said first
computer attached to the system. In step 1402 computer 104               HVAC temperature setpoint indicating that said struc
transmits to server 106 information regarding the type of 25             ture is deemed to be non occupied;
activity detected on computer 104. Such information could             determining that said one or more users has previously
include the specific program or channel being watched if, for            indicated a preference that said user's input be obtained
example, computer 104 is used to watch television. The infor             before automatically changing said first HVAC tempera
mation matching, for example, TV channel 7 at 4:00 PM on a               ture setpoint to said second HVAC temperature setpoint
given date to specific content may be made by referring to 30            indicating that said structure is deemed to be occupied;
Internet-based or other widely available scheduling sources           prompting said one or more users based on said determin
for such content. In step 1404 server 106 retrieves from data            ing that said one or more of said user's input should be
base 300 previously logged data regarding viewed programs.               obtained, wherein said prompting sends a message to at
In step 1406 server 106 retrieves previously stored data                 least one of said networked electronic devices that said
regarding the residents of the house. For example, upon ini 35           first HVAC system is set for a non-occupied structure
tiating the service, one or more users may have filled out               and whether to change said first HVAC temperature
online questionnaires sharing their age, gender, schedules,              setpoint to said second HVAC temperature setpoint
viewing preferences, etc. In step 1408, server 106 compares              associated with occupancy of said structure;
the received information about user activity to previously            in response to said prompting, receiving input from said
stored information retrieved from database 300 about the 40              one or more users to keep said first HVAC temperature
occupants and their viewing preferences. For example, if                 setpoint; and
computer 104 indicates to server 106 that the computer is             keeping said first HVAC temperature setpoint based upon
being used to watch golf, the server may conclude that an                said input from said one or more users.
adult male is watching; if computer 104 indicates that it is         2. The method of claim 1 in which at least one of said
being used to watch children's programming, server 106 may 45 networked electronic devices is a television.
conclude that a child is watching. In step 1410 the server           3. The method of claim 1 in which at least one of said
transmits a query to the user in order to verify the match, networked electronic devices is a personal computer.
asking, in effect, “Is that you. Bob?' In step 1412, based upon      4. The method of claim 1 in which at least one of said
the user's response, the application determines whether the networked electronic devices is connected to the Internet.
correct user has been identified. If the answer is no, then the 50 5. The method of claim 1 in which programming being
application proceeds to step 1416. If the answer is yes, then in watched or listened to using at least one of said networked
step 1414 the application retrieves the temperature settings electronic devices is used to determine which occupant of
for the identified occupant. In step 1416 the application writes said structure is likely to be present, and the second HVAC
to database 300 the programming information and informa temperature setpoint for said thermostatic controller is
tion regarding matching of users to that programming.           55 selected based upon the preferences of the occupant, deter
   In an alternative embodiment, the application running on mined to be using said at least one networked electronic
computer 104 may respond to general user inputs (that is, device.
inputs not specifically intended to instantiate communication        6. The method of claim 1 in which at least one of said
with the remote server) by querying the user whether a given networked electronic devices is a game console.
action should be taken. For example, in a system in which the 60 7. The method of claim 1 in which at least one of said
computer 104 is a web-enabled television or web-enabled networked electronic devices communicates with a remote
set-top device connected to a television as a display, Software SeVe.
running on computer 104 detects user activity, and transmits         8. The method of claim 1 further comprising adjusting said
a message indicating Such activity to server 106. The trigger temperature setpoint with a remote computer.
for this signal may be general. Such as changing channels or 65 9. The method of claim 1 in which said first HVAC tem
adjusting Volume with the remote control or a power-on perature setpoint is varied automatically based on said input
event. Upon receipt by server 104 of this trigger, server 104 from said one or more users.



                                                           Appx65
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                                                    US 8, 180,492 B2
                                                                                                10
  10. A system for altering the setpoint on a thermostat for          wherein said application provides electronic notice to one
space conditioning of a structure comprising:                            or more of said users of said electronic devices that said
  at least one thermostat having at least a first temperature           thermostat is set for a non-occupied structure and
     setpoint associated with a non-occupied structure, and at          whether to keep said first temperature setpoint or change
     least a second temperature setpoint associated with the            to said second temperature setpoint; and
     existence of occupants in said structure;                        wherein said application in response to said prompting,
  one or more electronic devices having at least a graphic              receives input from said one or more users to keep said
     user interface comprising a display wherein said elec              first HVAC temperature setpoint; and
     tronic devices receive input from one or more users and          wherein said thermostat is kept at said first temperature
     wherein use of said electronic devices comprises at least 10       setpoint based upon said input from said one or more
                                                                         USCS.
     one of cursor movement, keystrokes or other user inter           11. The system of claim 10 in which at least one of said
     face actions intended to alter a state of one or more of
                                                                    electronic devices is a television.
     said electronic devices by one or more users wherein           12. The system of claim 10 in which at least one of said
    activity of one or more networked electronic devices electronic
    indicates whether said thermostat should be changed 15 13. The devices            is a personal computer.
                                                                             system of claim 10 in which at least one of said
    from said first temperature setpoint to said second tem electronic devices        is connected to the Internet.
    perature setpoint;                                              14. The   system   of claim 10 in which the programming
  wherein said electronic devices and said thermostat are
    connected to a network;                                      being watched or listened to using said electronic devices is
  an application comprising one or more computer proces used to determine which occupant of said structure is likely to
     sors in communication with said network, wherein said       be using at least one of said electronic devices, and the set
    application determines whether said one or more elec the     point for said thermostatic controller is selected based upon
    tronic devices are in use and in response, whether said leastpreferences      of the occupant determined to be using said at
                                                                       one electronic device.
    thermostat is set to said first temperature setpoint that       15. The system of claim 10 in which at least one of said
    indicates said structure is not occupied,                 25
  said application determining that said one or more users electronic       devices is a game console.
                                                                    16. The system of claim 10 in which at least one of said
    has previously indicated a preference that said user's electronic       devices communicates with a remote server.
    input be obtained before automatically changing said            17. The  system of claim 10 further comprising a remote
    first HVAC temperature setpoint to said second HVAC
    temperature setpoint indicating that said structure is 30 computer      that varies said first temperature setpoint.
                                                                    18. The system of claim 10 in which said first temperature
    deemed to be occupied;
  said application prompting said one or more users based on Ole O isO varied
                                                                 setpoint
                                                                               USS.
                                                                                    automatically based on said input from said
     said determining that said one or more of said users
    input should be obtained,




                                                          Appx66
Case: 23-1101   Document: 15    Page: 102   Filed: 05/09/2023




                         	
  




                Exhibit 2




                        Appx67
          Case: 23-1101                   Document: 15              Page: 103                    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. talaCO       a
        VERIFY PEAK DEMAND REDUCTION                                     4,655,279 A          4, 1987 Harmon
(75) Inventors: John Douglas Steinberg, Millbrae, CA                      4
                                                                              E. A            g 3. E. tal   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
                                                                  the climate control system is “on” or “off”.
       4,136,732 A       1/1979 Demaray et al.                                         16 Claims, 10 Drawing Sheets




                                                                                  AABASE




                                                     TILY                DEMAND REDUCTN
                                                                         SERWE SERWERS




                                                            Appx68
   Case: 23-1101                  Document: 15             Page: 104               Filed: 05/09/2023




                                            US 8,412,488 B2
                                                 Page 2

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6,536,675       3, 2003 Pesko et al.                      2009,028.1667 A1     11/2009 Masui et al.
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6,574,537       6, 2003 KiperSztok et al.                 2010, 0070089 A1      3/2010    Harrod et al.
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                                                          2010/0289643 A1      11/2010 Trundle et al.
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6,772,052       8, 2004 Amundsen
6,785,592       8, 2004 Smith                                             OTHER PUBLICATIONS
6,785,630       8, 2004 Kolk                          Control4 Wireless Thermostat Brochure.
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8,019,567 B2    9, 2011 Steinberg et al.              * cited by examiner



                                               Appx69
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U.S. Patent         Apr. 2, 2013     Sheet 1 of 10        US 8,412,488 B2




                                   Appx70
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U.S. Patent         Apr. 2, 2013     Sheet 2 of 10               US 8,412,488 B2




                                                          f/22




              UTILITY                                DEMAND REDUCTION
                                                     SERVICE SERVERS



                            A76, 2



                                   Appx71
    Case: 23-1101                              Document: 15        Page: 107   Filed: 05/09/2023




U.S. Patent                              Apr. 2, 2013          Sheet 3 of 10        US 8,412,488 B2




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                                                             Appx72
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U.S. Patent          Apr. 2, 2013           Sheet 4 of 10        US 8,412,488 B2




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                                          Appx73
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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.



                                   Appx74
    Case: 23-1101          Document: 15      Page: 110       Filed: 05/09/2023




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                                       Appx75
    Case: 23-1101               Document: 15      Page: 111       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: 112     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                  40?
                    DEMAND REDUCTION
                         SERVICE




                       1S USER A
                    DEMAND REDUCTION
                       SUBSCRIBER



                                         423

                         IS USER'S
               CONTRIBUTION REQUIREDYNO
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               SEND DEMAND RECUEST                  474
                SGNAL TO THERMOSTAT




                       A/2 2.

                                     Appx77
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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                  DEMAND REDUCTION -97.2
         ROUGHLY EOUA TO                      NOT CONFIRMED
         PREDICTED READING




         DEMAND REDUCTION -2
              CONFIRMED




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                                   Appx78
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U.S. Patent               Apr. 2, 2013     Sheet 10 of 10        US 8,412,488 B2




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                                         Appx79
          Case: 23-1101                   Document: 15                  Page: 115              Filed: 05/09/2023




                                                      US 8,412,488 B2
                               1.                                                                   2
      SYSTEMAND METHOD FOR USINGA                                    the long term, they can build additional generating capacity,
    NETWORK OF THERMOSTATS AS TOOL TO                                but that approach is very expensive given the fact that Such
      VERIFY PEAK DEMAND REDUCTION                                   capacity may be needed for only a few hours a year. And this
                                                                     option is of course unavailable in the short term. When con
            CROSS-REFERENCE TO RELATED                               fronted with an immediate potential shortfall, a utility may
                        APPLICATIONS                                 have reserve capacity it can choose to bring online. But
                                                                     because utilities are assumed to try to operate as efficiently as
   This application is a continuation of U.S. patent applica possible, the reserve capacity is likely to be the least efficient
tion Ser. No. 137037,162, filed Feb. 28, 2011, now U.S. Pat.         and most expensive and/or more polluting plants to operate.
No. 8,131.506 which is a continuation of U.S. patent appli 10 Alternatively, the utility may seek to purchase additional
cation Ser. No. 12/183,949, filed Jul. 31, 2008, now U.S. Pat.       power on the open market. But the spot market for electricity,
No. 7,908,116, issued on Mar. 15, 2011, which claims the             which cannot efficiently be stored, is extremely volatile,
benefit of priority under 35 U.S.C. S 119(e) to both U.S. which means that spot prices during peak events may be as
Provisional Application 60/963,183, filed Aug. 3, 2007; and much as 10x the average price.
U.S. Provisional Application No. 60/994,011, filed Sep. 17, 15 More recently, many utilities have begun to enter into
2007, the entireties of which are incorporated herein by ref agreements with certain customers to reduce demand, as
erence and are to be considered part of this specification.          opposed to increasing Supply. In essence, these customers
                                                                     agree to reduce usage during a few critical periods in
           BACKGROUND OF THE INVENTION                               exchange for incentives from the utility. Those incentives
                                                                     may take the form of a fixed contract payment in exchange for
   1. Field of the Invention                                         the right to cut the amount of power Supplied at specified
   This invention relates to the use of thermostatic HVAC            times, or a reduced overall price per kilowatt-hour, or a rebate
controls that are connected to a computer network as a part of each time power is reduced, or Some other method.
a system for offering peak demand reduction to electric utili           The bulk of these peak demand reduction (PDR) contracts
ties. More specifically, the present invention pertains to use of 25 have been entered into with large commercial and industrial
communicating thermostat combined with a computer net customers. This bias is in large part due to the fact that
work to verify that demand reduction has occurred.                   transaction costs are much lower today for a single contract
   2. Background                                                     with a factory that can offer demand reduction of 50 mega
   Climate control systems such as heating and cooling sys watts than they would be for the equivalent from residential
tems for buildings (heating, ventilation and cooling, or HVAC 30 customers it could take 25,000 or more homes to equal that
systems) have been controlled for decades by thermostats. At reduction if these homes went without air conditioning.
the most basic level, athermostat includes a means to allow a           But residential air conditioning is the largest single com
user to set a desired temperature, a means to sense actual ponent of peak demand in California, and is a large percent
temperature, and a means to signal the heating and/or cooling age in many other places. There are numerous reasons why it
devices to turn on or offin order to try to change the actual 35 would be economically advantageous to deploy PDR in the
temperature to equal the desired temperature. The most basic residential market. Whereas cutting energy consumption at a
versions of thermostats use components such as a coiled large factory could require shutting down or curtailing pro
bi-metallic spring to measure actual temperature and a mer duction, which has direct economic costs, cutting consump
cury Switch that opens or completes a circuit when the spring tion for a couple of hours in residences is likely to have no
coils or uncoils with temperature changes. More recently, 40 economic cost, and may only result in minor discomfort—or
electronic digital thermostats have become prevalent. These none at all if no one is at home at the time.
thermostats use solid-state devices such as thermistors or              Residential PDR has been attempted. But there have been
thermal diodes to measure temperature, and microprocessor numerous command and control issues with these implemen
based circuitry to control the switch and to store and operate tations. The standard approach to residential PDR has been to
based upon user-determined protocols for temperature Vs. 45 attach a radio-controlled switch to the control circuitry
time.                                                                located outside the dwelling. These switches are designed to
   These programmable thermostats generally offer a very receive a signal from a transmitter that signals the compressor
restrictive user interface, limited by the cost of the devices, to shut off during a PDR call.
the limited real estate of the small wall-mounted boxes, and            There are a number of technical complications with this
the inability to take into account more than two variables: the 50 approach. There is some evidence that “hard cycling the
desired temperature set by the user, and the ambient tempera compressor in this manner can damage the air conditioning
ture sensed by the thermostat. Users can generally only set system. There are also serious issues resulting from the fact
one series of commands per day, and to change one parameter that the communication system is unidirectional. When utili
(e.g., to change the late-night temperature) the user often has ties contract for PDR, they expect verification of compliance.
to cycle through several other parameters by repeatedly press 55 One-way pagers allow the utility to send a signal that will shut
ing one or two buttons.                                              of the A/C, but the pager cannot confirm to the utility that the
   As both the cost of energy and the demand for electricity NC unit has in fact been shut off. If a consumer tampers with
have increased, utilities Supplying electricity increasingly the system so that the A/C can be used anyway, the utility will
face unpleasant choices. The demand for electricity is not not be able to detect it, absent additional verification systems.
Smooth over time. In so-called "Summer peaking locations, 60 One way in which some utilities are seeking to address this
on the hottest days of the year, peak loads may be twice as issue is to combine the pager-controlled thermostat with so
high as average loads. During Such peak load periods (gen called advanced metering infrastructure (AMI). This
erally in the late afternoon), air conditioning can be the largest approach relies on the deployment of 'Smart meters' elec
single element of demand.                                            tric meters that are more sophisticated than the traditional
   Utilities and their customers generally see reductions of 65 meter with its mechanical odometer mechanism for logging
Supply (brownouts and blackouts) as an unacceptable out only cumulative energy use. Smart meters generally include a
come. But their other options can be almost as distasteful. In means for communicating instantaneous readings. That com



                                                            Appx80
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                                                     US 8,412,488 B2
                           3                                                                    4
munication may in the form of a signal sent over the power            By using these multiple data streams to compare the per
lines themselves, or a wireless communication over a data           formance of one system versus another, and one system ver
network arranged by the utility. These meters allow utilities to    sus the same system at other times, the server is able to
accomplish a number of goals, including offering pricing that estimate the effective thermal mass of the structure, and
varies by time of day in order to encourage customers to move thereby predict the expected thermal performance of a given
consumption away from peak demand hours. These Smart structure in response to changes in outside temperature. Thus,
meters can cost hundreds of dollars, however, and require for example, if the air conditioning is shut off on a hot after
both a “truck roll' a visit from a trained service person— noon, given a known outside temperature, it will be possible
and most likely the scheduling of an appointment with the 10 to predict how quickly the temperature in the house should
occupants, because Swapping the meter will require turning rise. If the actual temperature change is significantly different
off power to the house.                                            from the predicted rate of change, or does not change at all, it
   If the utility installs a smart meter at each house that con is possible to infer that the air conditioning has not, in fact
tracts to participate in a PDR program, it may be possible to been shut off.
verify that the A/C is in fact switched off. But this approach 15 This and other advantages of the present invention are
requires two separate pieces of hardware, two separate com explained in the detailed description and claims that make
munications systems, and the ability to match them for veri reference to the accompanying diagrams and flowcharts.
fication purposes.
   It would be desirable to have a system that could both                BRIEF DESCRIPTION OF THE DRAWINGS
implement and verify residential peak demand reduction with
reduced expenses.                                                    FIG. 1 shows an example of an overall environment in
                                                                   which an embodiment of the invention may be used.
              SUMMARY OF THE INVENTION                               FIG. 2 shows a high-level illustration of the architecture of
                                                                   a network showing the relationship between the major ele
   At least one embodiment of the invention that includes 25 ments of one embodiment of the subject invention.
system for predicting the rate of change in temperature inside       FIG. 3 shows an embodiment of the website to be used as
a structure comprising at least one thermostat located inside part of the subject invention.
the structure and controlling an HVAC system in said struc           FIG. 4 shows a high-level schematic of the thermostat used
ture; at least one remote processor that is in communication as part of the Subject invention.
with said thermostat; at least one database for storing data 30 FIG. 5 shows one embodiment of the database structure
reported by said thermostat; at least one processor that com used as part of the Subject invention
pares outside temperature at least location and at least one         FIGS. 6A and 6B show a graphical representation of the
point in time to information reported to said remote processor manner in which the subject invention may be used to verify
from said thermostat, and wherein said processor uses the that a demand reduction event has occurred.
relationship between the inside temperature and the outside 35 FIG. 7 is a flow chart illustrating the steps involved in
temperature over time to derive a first prediction for the rate of generating a demand reduction event for a given Subscriber.
change in inside temperature assuming that the operating             FIG. 8 is a flow chart illustrating the steps involved in
status of the HVAC system is “on”; and said processor uses confirming that a demand reduction event has taken place.
the relationship between the inside temperature and the out          FIG.9 is a representation of the movement of messages and
side temperature over time to derive a second prediction for 40 information between the components of the subject inven
the rate of change in inside temperature assuming that the tion.
operating status of the HVAC system is “off”; and said pro
cessor compares at least one of the first prediction and the          DETAILED DESCRIPTION OF THE PREFERRED
second prediction to the actual inside temperature recorded                             EMBODIMENTS
inside the structure to determine whether the actual inside 45
temperature is closer to the first prediction or the second      FIG. 1 shows an example of an overall environment 100 in
prediction.                                                    which an embodiment of the invention may be used. The
   In one embodiment, the invention comprises a thermostat environment 100 includes an interactive communication net
attached to an HVAC system, a local network connecting the work 102 with computers 104 connected thereto. Also con
thermostat to a larger network Such as the Internet, one or 50 nected to network 102 are one or more server computers 106,
more additional thermostats attached to the network and to         which store information and make the information available
other HVAC systems, and a server in bi-directional commu to computers 104. The network 102 allows communication
nication with the thermostats. The server logs the ambient between and among the computers 104 and 106.
temperature sensed by each thermostat vs. time and the sig        Presently preferred network 102 comprises a collection of
nals sent by the thermostats to the HVAC systems to which 55 interconnected public and/or private networks that are linked
they are attached. The server preferably also logs outside to together by a set of standard protocols to form a distributed
temperature and humidity data for the geographic locations      network. While network 102 is intended to refer to what is
for the buildings served by the connected HVAC systems.         now commonly referred to as the Internet, it is also intended
Such information is widely available from various sources to encompass variations which may be made in the future,
that publish detailed weather information based on geo 60 including changes additions to existing standard protocols.
graphic areas such as by ZIP code. The server also stores other   When a user of the subject invention wishes to access
data affecting the load upon the system, Such as specific information on network 102, the buyer initiates connection
model of HVAC system, occupancy, building characteristics,      from his computer 104. For example, the user invokes a
etc. Some of this data may be supplied by the individual users browser, which executes on computer 104. The browser, in
of the system, while other data may come from commercial 65 turn, establishes a communication link with network 102.
Sources such as the electric and other utilities who supply Once connected to network 102, the user can direct the
energy to those users.                                          browser to access information on server 106.




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                                                     US 8,412,488 B2
                              5                                                                 6
   One popular part of the Internet is the World Wide Web.           In the currently preferred embodiment, the website 200
The World WideWeb contains a large number of computers            includes a number of components accessible to the user, as
104 and servers 106, which store HyperText Markup Lan             shown in FIG. 3. Those components may include a means to
guage (HTML) documents capable of displaying graphical            store temperature settings 202, a means to enter information
and textual information. HTML is a standard coding conven         about the user's home 204, a means to enter the user's elec
tion and set of codes for attaching presentation and linking      tricity bills 206, means to calculate energy savings that could
attributes to informational content within documents.             result from various thermostat-setting strategies 208, and
   The servers 106 that provide offerings on the World Wide means to enable and choose between various arrangements
Web are typically called websites. A website is often defined 10 210 for demand reduction with their electric utility provider
by an Internet address that has an associated electronic page. as intermediated by the demand reduction service provider.
Generally, an electronic page is a document that organizes the       FIG. 4 shows a high-level block diagram of thermostat 108
presentation of text graphical images, audio and video.           used as part of the subject invention. Thermostat 108 includes
   In addition to the Internet, the network 102 can comprise a temperature sensing means 252, which may be a thermistor,
wide variety of interactive communication media. For 15 thermal diode or other means commonly used in the design of
example, network 102 can include local area networks, inter electronic thermostats. It includes a microprocessor 254,
active television networks, telephone networks, wireless data memory 256, a display 258, a power source 260, a relay 262,
systems, two-way cable systems, and the like.                     which turns the HVAC system on and off in response to a
   In one embodiment, computers 104 and servers 106 are signal from the microprocessor, and contacts by which the
conventional computers that are equipped with communica relay is connected to the wires that lead to the HVAC system.
tions hardware such as modem or a network interface card.         To allow the thermostatto communicate bi-directionally with
The computers include processors such as those sold by Intel the computer network, the thermostat also includes means
and AMD. Other processors may also be used, including 264 to connect the thermostat to a local computer or to a
general-purpose processors, multi-chip processors, embed wireless network. Such means could be in the form of Ether
ded processors and the like.                                   25 net, wireless protocols such as IEEE 802.11, IEEE 802.15.4,
   Computers 104 can also be handheld and wireless devices Bluetooth, or other wireless protocols. (Other components as
Such as personal digital assistants (PDAs), cellular telephones needed) The thermostat 250 may also include controls 266
and other devices capable of accessing the network.               allowing users to change settings directly at the thermostat,
   Computers 104 utilize a browser configured to interact but Such controls are not necessary to allow the thermostatto
with the World Wide Web. Such browsers may include 30 function.
Microsoft Explorer, Mozilla, Firefox, Opera or Safari. They          The data used to generate the content delivered in the form
may also include browsers used on handheld and wireless of the website is stored on one or more servers 106 within one
devices.                                                          or more databases. As shown in FIG. 5, the overall database
   The storage medium may comprise any method of storing structure 300 may include temperature database 400, thermo
information. It may comprise random access memory 35 stat settings database 500, energy bill database 600, HVAC
(RAM), electronically erasable programmable read only hardware database 700, weather database 800, user database
memory (EEPROM), read only memory (ROM), hard disk, 900, transaction database 1000, product and service database
floppy disk, CD-ROM, optical memory, or other method of 1100 and such other databases as may be needed to support
storing data.                                               these and additional features.
   Computers 104 and 106 may use an operating system such 40 The website will allow users of connected thermostats 250
as Microsoft Windows, Apple Mac OS, Linux, Unix or the to create personal accounts. Each user's account will store
like.                                                             information in database 900, which tracks various attributes
   Computers 106 may include a range of devices that provide relative to users of the site. Such attributes may include the
information, Sound, graphics and text, and may use a variety make and model of the specific HVAC equipment in the user's
of operating systems and software optimized for distribution 45 home; the age and square footage of the home, the Solar
of content via networks.                                          orientation of the home, the location of the thermostat in the
   FIG. 2 illustrates in further detail the architecture of the home, the user's preferred temperature settings, whether the
specific components connected to network 102 showing the user is a participant in a demand reduction program, etc.
relationship between the major elements of one embodiment          As shown in FIG.3, the website 200 will permit thermostat
of the subject invention. Attached to the network are thermo 50 users to perform through the web browser substantially all of
stats 108 and computers 104 of various users. Connected to the programming functions traditionally performed directly
thermostats 108 are HVAC units 110. The HVAC units may be at the physical thermostat, such as temperature set points, the
conventional air conditioners, heat pumps, or other devices time at which the thermostat should be at each set point, etc.
for transferring heat into or out of a building. Each user is Preferably the website will also allow users to accomplish
connected to the servers 106a via wired or wireless connec 55 more advanced tasks Such as allow users to program in Vaca
tion such as Ethernet or a wireless protocol such as IEEE tion settings for times when the HVAC system may be turned
802.11, a gateway 110 that connects the computer and ther off or run at more economical settings, and set macros that
mostat to the Internet via a broadband connection Such as a     will allow changing the settings of the temperature for all
digital subscriber line (DSL) or other form of broadband periods with a single gesture Such as a mouse click.
connection to the World Wide Web. In one embodiment, 60 In addition to using the system to allow better signaling and
electric utility server 106a and demand reduction service control of the HVAC system, which relies primarily on com
server 106b are in communication with the network 102.          munication running from the server to the thermostat, the
Servers 106a and 106bcontain the content to be served as web      bi-directional communication will also allow the thermostat
pages and viewed by computers 104, as well as databases          108 to regularly measure and send to the server information
containing information used by the servers. Also connected to 65 about the temperature in the building. By comparing outside
the servers 106a via the Internet are computers located at one temperature, inside temperature, thermostat settings, cycling
or more electrical utilities 106b.                               behavior of the HVAC system, and other variables, the system



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                                                    US 8,412,488 B2
                                7                                                                 8
will be capable of numerous diagnostic and controlling func service provider Zrequesting W megawatts of demand reduc
tions beyond those of a standard thermostat.                       tion. Demand reduction service provider server determines
   For example, FIG. 6a shows a graph of inside temperature, that it will turn off the air conditioner at house A in order to
outside temperature and HVAC activity for a 24 hour period. achieve the required demand reduction. At the time the event
When outside temperature 302 increases, inside temperature 5 is triggered, the inside temperature as reported by the ther
304 follows, but with some delay because of the thermal mass mostat in house A is 72 degrees F. The outside temperature
of the building, unless the air conditioning 306 operates to near house A is 96 degrees Fahrenheit. The inside temperature
counteract this effect. When the air conditioning turns on, the at House B, which is not part of the demand reduction pro
inside temperature stays constant (or rises at a much lower gram, but is both connected to the demand reduction service
rate) despite the rising outside temperature. In this example, 10 server and located geographically proximate to House A, is
frequent and heavy use of the air conditioning results in only 74 F. Because the A/C in house A has been turned off, the
a very slight temperature increase inside o the house of 4 temperature inside House A begins to rise, so that at 4 PM it
degrees, from 72 to 76 degrees, despite the increase in outside has increased to 79 F. Because the server is aware of the
temperature from 80 to 100 degrees.
   FIG. 6b shows a graph of the same house on the same day, 15 outside temperature, which remains at 96 F, and of the rate of
but assumes that the air conditioning is turned off from noon temperature rise inside house A on previous days on which
to 7 PM. As expected, the inside temperature 304a rises with temperatures have been at or near 96 F, and the temperature in
increasing outside temperatures 302 for most of that period, house B, which has risen only to 75 F because the air condi
reaching 88 degrees at 7 PM.                                       tioning in house B continues to operate normally, the server is
   Because server 106a logs the temperature readings from 20 able to confirm with a high degree of certainty that the A/C in
inside each house (whether once per minute or over some house A has indeed been shut off.
other interval), as well as the timing and duration of air            In contrast, if the HVAC system at house A has been tam
conditioning cycles, database 300 will contain a history of the pered with, so that a demand reduction signal from the server
thermal performance of each house. That performance data does not actually result in shutting off the A/C in house A,
will allow the server 106a to calculate an effective thermal 25 when the server compares the rate of temperature change at
mass for each Such structure—that is, the speed with the house A against the other data points, the server will receive
temperature inside a given building will change in response to data inconsistent with the rate of increase predicted. As a
changes in outside temperature. Because the server will also result, it will conclude that the A/C has not been shut off in
log these inputs against other inputs including time of day, house A as expected, and will not credit house A with the
humidity, etc. the server will be able to predict, at any given 30 financial credit that would be associated with demand reduc
time on any given day, the rate at which inside temperature tion compliance, or may trigger a business process that could
should change for given inside and outside temperatures.           result in termination of house A's participation in the demand
   As shown in FIG.3, website 200 will allow the users to opt reduction program.
210 into a plan that offers incentives such as cash or rebates in     FIG. 9 illustrates the movement of signals and information
exchange for reduced air conditioning use during peak load 35 between the components of the Subject invention to trigger
periods.                                                           and verify a demand reduction response. In step 602 the
   FIG. 7 shows the steps followed in order to initiate air electric utility server 106b transmits a message to demand
conditioner shutoff. When a summer peak demand situation reduction service server 106a requesting a demand reduction
occurs, the utility will transmit an email 402 or other signal to of a specified duration and size. Demand reduction service
server 106a requesting a reduction in load. Server 106a will 40 server 106a uses database 300 to determine which subscrib
determine 404 if the user's house is served by the utility ers should be included in the demand reduction event. For
seeking reduction; determine 406 if a given user has agreed to each included subscriber, the server then sends a signal 604 to
reduce peak demand; and determine 408 if a reduction of the subscriber's thermostat instructing it (a) to shut down at
consumption by the user is required or desirable in order to the appropriate time or (b) to allow the temperature as mea
achieve the reduction in demand requested by the utility. The 45 Sured by the thermostatto increase to a certain temperature at
server will transmit 410 a signal to the user's thermostat 108 the specified time, depending upon the agreement between
signaling the thermostat to shut off the air conditioner 110.      the homeowner and the demand reduction aggregator. The
   FIG. 8 shows the steps followed in order to verify that the server then receives 606 temperature signals from the sub
air conditioner has in fact been shut off. Server 106a will        scriber's thermostat. At the conclusion of the demand reduc
receive and monitor 502 the temperature readings sent by the 50 tion event, the server transmits a signal 608 to the thermostat
users thermostat 108. The server then calculates 504 the          permitting the thermostat to signal its attached HVAC system
temperature reading to be expected for that thermostat given to resume cooling, if the system has been shutoff, or to reduce
inputs such as current and recent outside temperature, recent the target temperature to its pre-demand reduction setting, if
inside temperature readings, the calculated thermal mass of the target temperature was merely increased. After determin
the structure, temperature readings in other houses, etc. The 55 ing the total number of Subscribers actually participating in
server will compare 506 the predicted reading with the actual the DR event, the server then calculates the total demand
reading. If the server determines that the temperature inside reduction achieved and sends a message 610 to the electric
the house is rising at the rate predicted if the air conditioning utility confirming Such reduction.
is shutoff, then the server confirms 508 that the air condition      Additional steps may be included in the process. For
ing has been shut off. If the temperature reading from the 60 example, if the subscriber has previously requested that
thermostat shows no increase, or significantly less increase notice be provided when a peak demand reduction event
than predicted by the model, then the server concludes 510 occurs, the server will also send an alert, which may be in the
that the air conditioning was not Switched off, and that no form of an email message or an update to the personalized
contribution to the demand response request was made.             web page for that user, or both. If the server determines that a
   For example, assume that on at 3 PM on date Y utility X 65 given home has (or has not) complied with the terms of its
wishes to trigger a demand reduction event. A server at utility demand reduction agreement, the server will send a message
X transmits a message to the server at demand reduction to the subscriber confirming that fact.



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                                                     US 8,412,488 B2
                                                                                                    10
   It should also be noted that in some climate Zones, peak            5. A system as in claim 1 in which said HVAC system
demand events occur during extreme cold weather rather than comprises a programmable thermostat that communicates
(or in addition to) during hot weather. The same process as with a mesh networking protocol.
discussed above could be employed to reduce demand by                  6. A system as in claim 1 in which said HVAC system
shutting off electric heaters and monitoring the rate at which 5 comprises a programmable thermostat that communicates
temperatures fall.                                                   with a network.
   It should also be noted that the peak demand reduction              7. A system as in claim 1 in which said one or more
service can be performed directly by a power utility, so that processors communicate with said HVAC system using a
the functions of server 106a can be combined with the func           network that includes an electricity meter.
tions of server 106b.                                             10   8. A system as in claim 1 in which said estimation is a
   The system installed in a subscriber's home may optionally prediction about the future rate of change in temperature
include additional temperature sensors at different locations inside said structure.
within the building. These additional sensors may we con               9. A method for monitoring the operation of an HVAC
nected to the rest of the system via a wireless system such as       system comprising:
802.11 or 802.15.4, or may be connected via wires. Addi 15 receiving temperature measurements from at least one
tional temperature and/or humidity sensors may allow                      HVAC control system associated with a first structure
increased accuracy of the system, which can in turn increase              conditioned by at least one HVAC system;
user comfort, energy savings or both.                                  receiving at one or more processors, measurements of out
   While particular embodiments of the present invention                  side temperatures from at least one source other than
have been shown and described, it is apparent that changes                said HVAC system;
and modifications may be made without departing from the               comparing with said one or more processors the inside
invention in its broader aspects and, therefore, the invention            temperature of said first structure and the outside tem
may carried out in other ways without departing from the true             perature over time to derive an estimation for the rate of
spirit and scope. These and other equivalents are intended to             change in inside temperature of said first structure in
be covered by the following claims:                               25      response to outside temperature, and
   What is claimed is:                                                 comparing with said one or more processors, an inside
   1. A system for monitoring the operational status of an                temperature recorded inside the first structure with said
HVAC system comprising:                                                   estimation for the rate of change in inside temperature of
   at least one HVAC control system associated with a first               said first structure to determine whether the first HVAC
      structure that receives temperature measurements from 30            system is on or off.
      at least a first structure conditioned by at least one HVAC      10. A method as in claim 9 in which said one or more
      system;                                                        processors receive measurements of outside temperatures for
   one or more processors that receive measurements of out geographic regions such as ZIP codes from sources other than
      side temperatures from at least one source other than said HVAC system.
      said HVAC system,                                           35   11. A method as in claim 9 in which said HVAC system is
   wherein said one or more processors compares the inside located within a single family dwelling.
      temperature of said first structure and the outside tem          12. A method as in claim 9 in which said HVAC system
      perature over time to derive an estimation for the rate of comprises a programmable thermostat.
      change in inside temperature of said first structure in          13. A method as in claim 9 in which said HVAC system
      response to outside temperature, and                        40 comprises a programmable thermostat that communicates
   wherein said one or more processors compare an inside with a mesh networking protocol.
      temperature recorded inside the first structure with said        14. A method as in claim 9 in which said HVAC system
      estimation for the rate of change in inside temperature of comprises a programmable thermostat that communicates
     said first structure to determine whether the first HVAC       with a network.
     system is on or off.                                    45    15. A method as in claim 9 in which said one or more
  2. A system as in claim 1 in which said one or more processors communicate with said HVAC system using a
processors receive measurements of outside temperatures for network that includes an electricity meter.
geographic regions such as ZIP codes from Sources other than       16. A method as in claim 9 in which said estimation is a
said HVAC system.                                               prediction about the future rate of change in temperature
  3. A system as in claim 1 in which said HVAC system is 50 inside said structure.
located within a single family dwelling.
  4. A system as in claim 1 in which said HVAC system
comprises a programmable thermostat.




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                                                                                         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                                                                                       165/238; 165/239
(71) Applicant: EcoFactor, Inc., Millbrae, CA (US)                  (58) Field of Classification Search
                                                                            USPC .................. 702/176, 182-184; 700/276, 278:
72) Inventors: John Douglas
                        g Steinberg, Millbrae, CA                                               236/1 C, 46 A, 46 R; 165/238,239
                 (US); Scott Douglas Hublou, Redwood                        See application file for complete search history.
                 City, CA (US)                                      (56)                  References Cited
(73) Assignee: EcoFactor, Inc., Mllbrae, CA (US)                                    U.S. PATENT DOCUMENTS
(*) Notice:      Subject to any disclaimer, the term of this               4,136,732 A      1/1979 Demaray et al.
                 patent is extended or adjusted under 35                   4,341,345 A      7, 1982 Hammer et al.
                 U.S.C. 154(b) by 0 days.                                                    (Continued)
                 This patent is Subject to a terminal dis                        FOREIGN PATENT DOCUMENTS
                 claimer.
                                                                    EP                O415747                 3, 1991
(21) Appl. No.: 13/852.577                                          JP              05-189659                 7, 1993

(22) Filed:      Mar. 28, 2013                                                               (Continued)
                                                                                      OTHER PUBLICATIONS
(65)                 Prior Publication Data
       US 2013/O238143 A1        Sep. 12, 2013                      U.S. Appl. No. 13/523,697, filed Jun. 14, 2012, Hublou, Scott
                                                                    Douglas et al.
              Related U.S. Application Data                                                  (Continued)
(63) Continuation of application No. 13/409,697, filed on
     Mar. 1, 2012, now Pat. No. 8,412,488, which is a               Primary Examiner – John Breene
     continuation of application No. 13/037,162, filed on           Assistant Examiner — Manuel Rivera Vargas
     Feb. 28, 2011, now Pat. No. 8,131,506, which is a              (74) Attorney, Agent, or Firm — Knobbe, Martens, Olson &
     continuation of application No. 12/183,949, filed on           Bear, LLP
     Jul. 31, 2008, now Pat. No. 7,908,116.
                                                                    (57)                     ABSTRACT
(60) Provisional application No. 60/963, 183, filed on Aug.
     3, 2007, provisional application No. 60/994,011, filed         The invention comprises systems and methods for estimating
     on Sep. 17, 2007.                                              the rate of change in temperature inside a structure. At least
                                                                    one thermostat located is inside the structure and is used to
(51) Int. Cl.                                                       controlan climate control system in the structure. At least one
       G06F II/30            (2006.01)                              remote processor is in communication with said thermostat
       G2IC 17/00            (2006.01)                              and at least one database stores data reported by the thermo
       GOIM I/38             (2006.01)                              Stat. At least one processor compares the outside temperature
       G05B I3/00            (2006.01)                              at at least one location and at least one point in time to
       G05B I5/00            (2006.01)                              information reported to the remote processor from the ther
       G05D 23/00            (2006.01)                              mostat. The processor uses the relationship between the
       F24F II/053           (2006.01)                              inside temperature and the outside temperature to determine
       G05D 23/2             (2006.01)                              whether the climate control system is “on” or “off”.
       G05D 23/85            (2006.01)
       G05D 23/9             (2006.01)                                             19 Claims, 10 Drawing Sheets


                                                                                             - USE
                                                                                              INSIDE
                                                                                                Ayo ACTWITY




                                                          ATABASE


                                                         DataBase
                                                         BAABASE

                                 TILY             DEMAN REDUCTION
                                                  SERWE servers




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                                                        US 8,738,327 B2
                                                             Page 2

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                                                                      Gupta, et al., A Persuasive GPS-Controlled Thermostat System, MIT,
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 2012/0324119 A1       12/2012    Imes et al.                         honeywell.com/yourhome, 2004.
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 2013,0054863 A1        2/2013    Imes et al.                         Johnson Controls, “T600HCX-3 Single-Stage Thermostats', 2006.
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         - - - - - - - e - or - - - - - - - - - - - - - - - - - - - - - - - -




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U.S. Patent         May 27, 2014     Sheet 2 of 10              US 8,738,327 B2




              UTILITY                                DEMAND REDUCTION
                                                     SERVICE SERVERS



                             A7%. 2




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U.S. Patent                                                     US 8,738,327 B2




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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.




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U.S. Patent              May 27, 2014      Sheet 6 of 10              US 8,738,327 B2




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U.S. Patent               May 27, 2014     Sheet 7 of 10             US 8,738,327 B2




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




                      UILITY TRANSMTS DEMAND
                        REDUCTION REQUEST TO       402?
                          DEMAND REDUCTION
                              SERVICE




                            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.




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                 RECEIVE TEMPERATURE        522
              READINGS FROM THERMOSTAT



                CALCULATE PREDCTED       22-f
                TEMPERATURE READING




                 S ACTUAL READING                 DEMAND REDUCTION
                 ROUGHLY EOUA TO                   NOT CONFIRMED
                 PREDICTED READING




                 DEMAND REDUCTION 129
                     CONFIRMED




                            A7%. 1




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                                          %29




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                                                      US 8,738,327 B2
                               1.                                                                   2
      SYSTEMAND METHOD FOR USINGA                                    the long term, they can build additional generating capacity,
    NETWORK OF THERMOSTATS AS TOOL TO                                but that approach is very expensive given the fact that Such
      VERIFY PEAK DEMAND REDUCTION                                   capacity may be needed for only a few hours a year. And this
                                                                     option is of course unavailable in the short term. When con
            CROSS-REFERENCE TO RELATED                               fronted with an immediate potential shortfall, a utility may
                        APPLICATIONS                                 have reserve capacity it can choose to bring online. But
                                                                     because utilities are assumed to try to operate as efficiently as
   This application is a continuation of U.S. patent applica possible, the reserve capacity is likely to be the least efficient
tion Ser. No. 13/409,697, filed Mar. 1, 2012, which is a             and most expensive and/or more polluting plants to operate.
continuation of U.S. patent application Ser. No. 13/037,162, 10 Alternatively, the utility may seek to purchase additional
filed Feb. 28, 2011, which is a continuation of U.S. patent power on the open market. But the spot market for electricity,
application Ser. No. 12/183,949, filed Jul. 31, 2008, which which cannot efficiently be stored, is extremely volatile,
claims the benefit of priority under 35 U.S.C. S 119(e) to both which means that spot prices during peak events may be as
U.S. Provisional Application 60/963,183, filed Aug. 3, 2007:         much as 10x the average price.
and U.S. Provisional Application No. 60/994,011, filed Sep. 15 More recently, many utilities have begun to enter into
17, 2007, the entireties of which are incorporated herein by agreements with certain customers to reduce demand, as
reference and are to be considered part of this specification.       opposed to increasing Supply. In essence, these customers
                                                                     agree to reduce usage during a few critical periods in
           BACKGROUND OF THE INVENTION                               exchange for incentives from the utility. Those incentives
                                                                     may take the form of a fixed contract payment in exchange for
   1. Field of the Invention                                         the right to cut the amount of power Supplied at specified
   This invention relates to the use of thermostatic HVAC            times, or a reduced overall price per kilowatt-hour, or a rebate
controls that are connected to a computer network as a part of each time power is reduced, or Some other method.
a system for offering peak demand reduction to electric utili           The bulk of these peak demand reduction (PDR) contracts
ties. More specifically, the present invention pertains to use of 25 have been entered into with large commercial and industrial
communicating thermostat combined with a computer net customers. This bias is in large part due to the fact that
work to verify that demand reduction has occurred.                   transaction costs are much lower today for a single contract
   2. Background                                                     with a factory that can offer demand reduction of 50 mega
   Climate control systems such as heating and cooling sys watts than they would be for the equivalent from residential
tems for buildings (heating, ventilation and cooling, or HVAC 30 customers it could take 25,000 or more homes to equal that
systems) have been controlled for decades by thermostats. At reduction if these homes went without air conditioning.
the most basic level, athermostat includes a means to allow a           But residential air conditioning is the largest single com
user to set a desired temperature, a means to sense actual ponent of peak demand in California, and is a large percent
temperature, and a means to signal the heating and/or cooling age in many other places. There are numerous reasons why it
devices to turn on or offin order to try to change the actual 35 would be economically advantageous to deploy PDR in the
temperature to equal the desired temperature. The most basic residential market. Whereas cutting energy consumption at a
versions of thermostats use components such as a coiled large factory could require shutting down or curtailing pro
bi-metallic spring to measure actual temperature and a mer duction, which has direct economic costs, cutting consump
cury Switch that opens or completes a circuit when the spring tion for a couple of hours in residences is likely to have no
coils or uncoils with temperature changes. More recently, 40 economic cost, and may only result in minor discomfort—or
electronic digital thermostats have become prevalent. These none at all if no one is at home at the time.
thermostats use solid-state devices such as thermistors or              Residential PDR has been attempted. But there have been
thermal diodes to measure temperature, and microprocessor numerous command and control issues with these implemen
based circuitry to control the switch and to store and operate tations. The standard approach to residential PDR has been to
based upon user-determined protocols for temperature Vs. 45 attach a radio-controlled switch to the control circuitry
time.                                                                located outside the dwelling. These switches are designed to
   These programmable thermostats generally offer a very receive a signal from a transmitter that signals the compressor
restrictive user interface, limited by the cost of the devices, to shut off during a PDR call.
the limited real estate of the small wall-mounted boxes, and            There are a number of technical complications with this
the inability to take into account more than two variables: the 50 approach. There is some evidence that “hard cycling the
desired temperature set by the user, and the ambient tempera compressor in this manner can damage the air conditioning
ture sensed by the thermostat. Users can generally only set system. There are also serious issues resulting from the fact
one series of commands per day, and to change one parameter that the communication system is unidirectional. When utili
(e.g., to change the late-night temperature) the user often has ties contract for PDR, they expect verification of compliance.
to cycle through several other parameters by repeatedly press 55 One-way pagers allow the utility to send a signal that will shut
ing one or two buttons.                                              of the NC, but the pager cannot confirm to the utility that the
   As both the cost of energy and the demand for electricity NC unit has in fact been shut off. If a consumer tampers with
have increased, utilities Supplying electricity increasingly the system so that the NC can be used anyway, the utility will
face unpleasant choices. The demand for electricity is not not be able to detect it, absent additional verification systems.
Smooth over time. In so-called "Summer peaking locations, 60 One way in which some utilities are seeking to address this
on the hottest days of the year, peak loads may be twice as issue is to combine the pager-controlled thermostat with so
high as average loads. During Such peak load periods (gen called advanced metering infrastructure (AMI). This
erally in the late afternoon), air conditioning can be the largest approach relies on the deployment of 'Smart meters' elec
single element of demand.                                            tric meters that are more sophisticated than the traditional
   Utilities and their customers generally see reductions of 65 meter with its mechanical odometer mechanism for logging
Supply (brownouts and blackouts) as an unacceptable out only cumulative energy use. Smart meters generally include a
come. But their other options can be almost as distasteful. In means for communicating instantaneous readings. That com



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                           3                                                                    4
munication may in the form of a signal sent over the power            By using these multiple data streams to compare the per
lines themselves, or a wireless communication over a data           formance of one system versus another, and one system ver
network arranged by the utility. These meters allow utilities to    sus the same system at other times, the server is able to
accomplish a number of goals, including offering pricing that estimate the effective thermal mass of the structure, and
varies by time of day in order to encourage customers to move thereby predict the expected thermal performance of a given
consumption away from peak demand hours. These Smart structure in response to changes in outside temperature. Thus,
meters can cost hundreds of dollars, however, and require for example, if the air conditioning is shut off on a hot after
both a “truck roll' a visit from a trained service person— noon, given a known outside temperature, it will be possible
and most likely the scheduling of an appointment with the 10 to predict how quickly the temperature in the house should
occupants, because Swapping the meter will require turning rise. If the actual temperature change is significantly different
off power to the house.                                            from the predicted rate of change, or does not change at all, it
   If the utility installs a smart meter at each house that con is possible to infer that the air conditioning has not, in fact
tracts to participate in a PDR program, it may be possible to been shut off.
verify that the NC is in fact switched off. But this approach 15 This and other advantages of the present invention are
requires two separate pieces of hardware, two separate com explained in the detailed description and claims that make
munications systems, and the ability to match them for veri reference to the accompanying diagrams and flowcharts.
fication purposes.
   It would be desirable to have a system that could both                BRIEF DESCRIPTION OF THE DRAWINGS
implement and verify residential peak demand reduction with
reduced expenses.                                                    FIG. 1 shows an example of an overall environment in
                                                                   which an embodiment of the invention may be used.
              SUMMARY OF THE INVENTION                               FIG. 2 shows a high-level illustration of the architecture of
                                                                   a network showing the relationship between the major ele
   At least one embodiment of the invention that includes 25 ments of one embodiment of the subject invention.
system for predicting the rate of change in temperature inside       FIG. 3 shows an embodiment of the website to be used as
a structure comprising at least one thermostat located inside part of the subject invention.
the structure and controlling an HVAC system in said struc           FIG. 4 shows a high-level schematic of the thermostat used
ture; at least one remote processor that is in communication as part of the Subject invention.
with said thermostat; at least one database for storing data 30 FIG. 5 shows one embodiment of the database structure
reported by said thermostat; at least one processor that com used as part of the Subject invention
pares outside temperature at at least location and at least one      FIGS. 6A and 6B show a graphical representation of the
point in time to information reported to said remote processor manner in which the subject invention may be used to verify
from said thermostat, and wherein said processor uses the that a demand reduction event has occurred.
relationship between the inside temperature and the outside 35 FIG. 7 is a flow chart illustrating the steps involved in
temperature over time to derive a first prediction for the rate of generating a demand reduction event for a given Subscriber.
change in inside temperature assuming that the operating             FIG. 8 is a flow chart illustrating the steps involved in
status of the HVAC system is “on”; and said processor uses confirming that a demand reduction event has taken place.
the relationship between the inside temperature and the out          FIG.9 is a representation of the movement of messages and
side temperature over time to derive a second prediction for 40 information between the components of the subject inven
the rate of change in inside temperature assuming that the tion.
operating status of the HVAC system is “off”; and said pro
cessor compares at least one of the first prediction and the          DETAILED DESCRIPTION OF THE PREFERRED
second prediction to the actual inside temperature recorded                             EMBODIMENTS
inside the structure to determine whether the actual inside 45
temperature is closer to the first prediction or the second      FIG. 1 shows an example of an overall environment 100 in
prediction.                                                    which an embodiment of the invention may be used. The
   In one embodiment, the invention comprises a thermostat environment 100 includes an interactive communication net
attached to an HVAC system, a local network connecting the work 102 with computers 104 connected thereto. Also con
thermostat to a larger network Such as the Internet, one or 50 nected to network 102 are one or more server computers 106,
more additional thermostats attached to the network and to         which store information and make the information available
other HVAC systems, and a server in bi-directional commu to computers 104. The network 102 allows communication
nication with the thermostats. The server logs the ambient between and among the computers 104 and 106.
temperature sensed by each thermostat vs. time and the sig        Presently preferred network 102 comprises a collection of
nals sent by the thermostats to the HVAC systems to which 55 interconnected public and/or private networks that are linked
they are attached. The server preferably also logs outside to together by a set of standard protocols to form a distributed
temperature and humidity data for the geographic locations      network. While network 102 is intended to refer to what is
for the buildings served by the connected HVAC systems.         now commonly referred to as the Internet, it is also intended
Such information is widely available from various sources to encompass variations which may be made in the future,
that publish detailed weather information based on geo 60 including changes additions to existing standard protocols.
graphic areas such as by ZIP code. The server also stores other   When a user of the subject invention wishes to access
data affecting the load upon the system, Such as specific information on network 102, the buyer initiates connection
model of HVAC system, occupancy, building characteristics,      from his computer 104. For example, the user invokes a
etc. Some of this data may be supplied by the individual users browser, which executes on computer 104. The browser, in
of the system, while other data may come from commercial 65 turn, establishes a communication link with network 102.
Sources such as the electric and other utilities who supply Once connected to network 102, the user can direct the
energy to those users.                                          browser to access information on server 106.




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                              5                                                                 6
   One popular part of the Internet is the World Wide Web.           In the currently preferred embodiment, the website 200
The World WideWeb contains a large number of computers            includes a number of components accessible to the user, as
104 and servers 106, which store HyperText Markup Lan             shown in FIG. 3. Those components may include a means to
guage (HTML) documents capable of displaying graphical            store temperature settings 202, a means to enter information
and textual information. HTML is a standard coding conven         about the user's home 204, a means to enter the user's elec
tion and set of codes for attaching presentation and linking      tricity bills 206, means to calculate energy savings that could
attributes to informational content within documents.             result from various thermostat-setting strategies 208, and
   The servers 106 that provide offerings on the World Wide means to enable and choose between various arrangements
Web are typically called websites. A website is often defined 10 210 for demand reduction with their electric utility provider
by an Internet address that has an associated electronic page. as intermediated by the demand reduction service provider.
Generally, an electronic page is a document that organizes the       FIG. 4 shows a high-level block diagram of thermostat 108
presentation of text graphical images, audio and video.           used as part of the subject invention. Thermostat 108 includes
   In addition to the Internet, the network 102 can comprise a temperature sensing means 252, which may be a thermistor,
wide variety of interactive communication media. For 15 thermal diode or other means commonly used in the design of
example, network 102 can include local area networks, inter electronic thermostats. It includes a microprocessor 254,
active television networks, telephone networks, wireless data memory 256, a display 258, a power source 260, a relay 262,
systems, two-way cable systems, and the like.                     which turns the HVAC system on and off in response to a
   In one embodiment, computers 104 and servers 106 are signal from the microprocessor, and contacts by which the
conventional computers that are equipped with communica relay is connected to the wires that lead to the HVAC system.
tions hardware such as modem or a network interface card.         To allow the thermostatto communicate bi-directionally with
The computers include processors such as those sold by Intel the computer network, the thermostat also includes means
and AMD. Other processors may also be used, including 264 to connect the thermostat to a local computer or to a
general-purpose processors, multi-chip processors, embed wireless network. Such means could be in the form of Ether
ded processors and the like.                                   25 net, wireless protocols such as IEEE 802.11, IEEE 802.15.4,
   Computers 104 can also be handheld and wireless devices Bluetooth, or other wireless protocols. (Other components as
Such as personal digital assistants (PDAs), cellular telephones needed) The thermostat 250 may also include controls 266
and other devices capable of accessing the network.               allowing users to change settings directly at the thermostat,
   Computers 104 utilize a browser configured to interact but Such controls are not necessary to allow the thermostatto
with the World Wide Web. Such browsers may include 30 function.
Microsoft Explorer, Mozilla, Firefox, Opera or Safari. They          The data used to generate the content delivered in the form
may also include browsers used on handheld and wireless of the website is stored on one or more servers 106 within one
devices.                                                          or more databases. As shown in FIG. 5, the overall database
   The storage medium may comprise any method of storing structure 300 may include temperature database 400, thermo
information. It may comprise random access memory 35 stat settings database 500, energy bill database 600, HVAC
(RAM), electronically erasable programmable read only hardware database 700, weather database 800, user database
memory (EEPROM), read only memory (ROM), hard disk, 900, transaction database 1000, product and service database
floppy disk, CD-ROM, optical memory, or other method of 1100 and such other databases as may be needed to support
storing data.                                               these and additional features.
   Computers 104 and 106 may use an operating system such 40 The website will allow users of connected thermostats 250
as Microsoft Windows, Apple Mac OS, Linux, Unix or the to create personal accounts. Each user's account will store
like.                                                             information in database 900, which tracks various attributes
   Computers 106 may include a range of devices that provide relative to users of the site. Such attributes may include the
information, Sound, graphics and text, and may use a variety make and model of the specific HVAC equipment in the user's
of operating systems and software optimized for distribution 45 home; the age and square footage of the home, the Solar
of content via networks.                                          orientation of the home, the location of the thermostat in the
   FIG. 2 illustrates in further detail the architecture of the home, the user's preferred temperature settings, whether the
specific components connected to network 102 showing the user is a participant in a demand reduction program, etc.
relationship between the major elements of one embodiment          As shown in FIG.3, the website 200 will permit thermostat
of the subject invention. Attached to the network are thermo 50 users to perform through the web browser substantially all of
stats 108 and computers 104 of various users. Connected to the programming functions traditionally performed directly
thermostats 108 are HVAC units 110. The HVAC units may be at the physical thermostat, such as temperature set points, the
conventional air conditioners, heat pumps, or other devices time at which the thermostat should be at each set point, etc.
for transferring heat into or out of a building. Each user is Preferably the website will also allow users to accomplish
connected to the servers 106a via wired or wireless connec 55 more advanced tasks Such as allow users to program in Vaca
tion such as Ethernet or a wireless protocol such as IEEE tion settings for times when the HVAC system may be turned
802.11, a gateway 110 that connects the computer and ther off or run at more economical settings, and set macros that
mostat to the Internet via a broadband connection Such as a     will allow changing the settings of the temperature for all
digital subscriber line (DSL) or other form of broadband periods with a single gesture Such as a mouse click.
connection to the World Wide Web. In one embodiment, 60 In addition to using the system to allow better signaling and
electric utility server 106a and demand reduction service control of the HVAC system, which relies primarily on com
server 106b are in communication with the network 102.          munication running from the server to the thermostat, the
Servers 106a and 106bcontain the content to be served as web      bi-directional communication will also allow the thermostat
pages and viewed by computers 104, as well as databases          108 to regularly measure and send to the server information
containing information used by the servers. Also connected to 65 about the temperature in the building. By comparing outside
the servers 106a via the Internet are computers located at one temperature, inside temperature, thermostat settings, cycling
or more electrical utilities 106b.                               behavior of the HVAC system, and other variables, the system



                                                          Appx100
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                                                    US 8,738,327 B2
                                7                                                                 8
will be capable of numerous diagnostic and controlling func service provider Zrequesting W megawatts of demand reduc
tions beyond those of a standard thermostat.                       tion. Demand reduction service provider server determines
   For example, FIG. 6a shows a graph of inside temperature, that it will turn off the air conditioner at house A in order to
outside temperature and HVAC activity for a 24 hour period. achieve the required demand reduction. At the time the event
When outside temperature 302 increases, inside temperature 5 is triggered, the inside temperature as reported by the ther
304 follows, but with some delay because of the thermal mass mostat in house A is 72 degrees F. The outside temperature
of the building, unless the air conditioning 306 operates to near house A is 96 degrees Fahrenheit. The inside temperature
counteract this effect. When the air conditioning turns on, the at House B, which is not part of the demand reduction pro
inside temperature stays constant (or rises at a much lower gram, but is both connected to the demand reduction service
rate) despite the rising outside temperature. In this example, 10 server and located geographically proximate to House A, is
frequent and heavy use of the air conditioning results in only 74 F. Because the A/C in house A has been turned off, the
a very slight temperature increase inside o the house of 4 temperature inside House A begins to rise, so that at 4 PM it
degrees, from 72 to 76 degrees, despite the increase in outside has increased to 79 F. Because the server is aware of the
temperature from 80 to 100 degrees.
   FIG. 6b shows a graph of the same house on the same day, 15 outside temperature, which remains at 96 F., and of the rate of
but assumes that the air conditioning is turned off from noon temperature rise inside house A on previous days on which
to 7 PM. As expected, the inside temperature 304a rises with temperatures have been at or near 96 F., and the temperature
increasing outside temperatures 302 for most of that period, in house B, which has risen only to 75 F. because the air
reaching 88 degrees at 7 PM.                                       conditioning in house B continues to operate normally, the
   Because server 106a logs the temperature readings from 20 server is able to confirm with a high degree of certainty that
inside each house (whether once per minute or over some the A/C in house A has indeed been shut off.
other interval), as well as the timing and duration of air            In contrast, if the HVAC system at house A has been tam
conditioning cycles, database 300 will contain a history of the pered with, so that a demand reduction signal from the server
thermal performance of each house. That performance data does not actually result in shutting off the A/C in house A,
will allow the server 106a to calculate an effective thermal 25 when the server compares the rate of temperature change at
mass for each Such structure—that is, the speed with the house A against the other data points, the server will receive
temperature inside a given building will change in response to data inconsistent with the rate of increase predicted. As a
changes in outside temperature. Because the server will also result, it will conclude that the A/C has not been shut off in
log these inputs against other inputs including time of day, house A as expected, and will not credit house A with the
humidity, etc. the server will be able to predict, at any given 30 financial credit that would be associated with demand reduc
time on any given day, the rate at which inside temperature tion compliance, or may trigger a business process that could
should change for given inside and outside temperatures.           result in termination of house A's participation in the demand
   As shown in FIG.3, website 200 will allow the users to opt reduction program.
210 into a plan that offers incentives such as cash or rebates in     FIG. 9 illustrates the movement of signals and information
exchange for reduced air conditioning use during peak load 35 between the components of the Subject invention to trigger
periods.                                                           and verify a demand reduction response. In step 602 the
   FIG. 7 shows the steps followed in order to initiate air electric utility server 106b transmits a message to demand
conditioner shutoff. When a summer peak demand situation reduction service server 106a requesting a demand reduction
occurs, the utility will transmit an email 402 or other signal to of a specified duration and size. Demand reduction service
server 106a requesting a reduction in load. Server 106a will 40 server 106a uses database 300 to determine which subscrib
determine 404 if the user's house is served by the utility ers should be included in the demand reduction event. For
seeking reduction; determine 406 if a given user has agreed to each included subscriber, the server then sends a signal 604 to
reduce peak demand; and determine 408 if a reduction of the subscriber's thermostat instructing it (a) to shut down at
consumption by the user is required or desirable in order to the appropriate time or (b) to allow the temperature as mea
achieve the reduction in demand requested by the utility. The 45 Sured by the thermostatto increase to a certain temperature at
server will transmit 410 a signal to the user's thermostat 108 the specified time, depending upon the agreement between
signaling the thermostat to shut off the air conditioner 110.      the homeowner and the demand reduction aggregator. The
   FIG. 8 shows the steps followed in order to verify that the server then receives 606 temperature signals from the sub
air conditioner has in fact been shut off. Server 106a will        scriber's thermostat. At the conclusion of the demand reduc
receive and monitor 502 the temperature readings sent by the 50 tion event, the server transmits a signal 608 to the thermostat
users thermostat 108. The server then calculates 504 the          permitting the thermostat to signal its attached HVAC system
temperature reading to be expected for that thermostat given to resume cooling, if the system has been shutoff, or to reduce
inputs such as current and recent outside temperature, recent the target temperature to its pre-demand reduction setting, if
inside temperature readings, the calculated thermal mass of the target temperature was merely increased. After determin
the structure, temperature readings in other houses, etc. The 55 ing the total number of Subscribers actually participating in
server will compare 506 the predicted reading with the actual the DR event, the server then calculates the total demand
reading. If the server determines that the temperature inside reduction achieved and sends a message 610 to the electric
the house is rising at the rate predicted if the air conditioning utility confirming Such reduction.
is shutoff, then the server confirms 508 that the air condition      Additional steps may be included in the process. For
ing has been shut off. If the temperature reading from the 60 example, if the subscriber has previously requested that
thermostat shows no increase, or significantly less increase notice be provided when a peak demand reduction event
than predicted by the model, then the server concludes 510 occurs, the server will also send an alert, which may be in the
that the air conditioning was not Switched off, and that no form of an email message or an update to the personalized
contribution to the demand response request was made.             web page for that user, or both. If the server determines that a
   For example, assume that on at 3 PM on date Y utility X 65 given home has (or has not) complied with the terms of its
wishes to trigger a demand reduction event. A server at utility demand reduction agreement, the server will send a message
X transmits a message to the server at demand reduction to the subscriber confirming that fact.



                                                         Appx101
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                                                    US 8,738,327 B2
                                                                                                  10
   It should also be noted that in some climate Zones, peak         6. The system as in claim 1 wherein the signal sent by the
demand events occur during extreme cold weather rather than one or more servers directs the thermostat to shut down the
(or in addition to) during hot weather. The same process as HVAC system.
discussed above could be employed to reduce demand by               7. The system as in claim 1 wherein the signal identifies a
shutting off electric heaters and monitoring the rate at which 5 time.
temperatures fall.                                                  8. The system as in claim 1 wherein the second setting
   It should also be noted that the peak demand reduction allows the inside temperature of the structure to increase to a
service can be performed directly by a power utility, so that certain temperature during a specified time interval.
the functions of server 106a can be combined with the func
tions of server 106b.                                          10
                                                                    9. The system as in claim 1 wherein the second setting is
   The system installed in a subscriber's home may optionally based      on an agreement between a homeowner and a demand
include additional temperature sensors at different locations reduction
                                                                    10.  The
                                                                             aggregator.
                                                                               system as in claim 1 wherein the one or more
within the building. These additional sensors may we con servers are further           configured to send an alert to a user asso
nected to the rest of the system via a wireless system such as ciated with the structure.
802.11 or 802.15.4, or may be connected via wires. Addi 15
tional temperature and/or humidity sensors may allow                11. A method for controlling the operation of an HVAC
increased accuracy of the system, which can in turn increase system comprising:
user comfort, energy savings or both.                               receiving temperature measurements inside a structure
   While particular embodiments of the present invention               from at least one thermostat, the structure conditioned
have been shown and described, it is apparent that changes             by at least one HVAC system, the thermostat having at
and modifications may be made without departing from the               least a first setting stored therein;
invention in its broader aspects and, therefore, the invention      receiving at one or more servers located remotely from the
may carried out in other ways without departing from the true          structure, measurements of outside temperatures from at
spirit and scope. These and other equivalents are intended to          least one source other than the HVAC system;
be covered by the following claims:                            25  the one or more servers communicating with the thermo
   What is claimed is:                                                 stat via a network;
   1. A system for controlling the operational status of an         receiving at the one or more servers, inside temperatures
HVAC system comprising:                                                from the thermostat;
   at least one thermostat associated with a structure that
                                                                    comparing     with the one or more servers, the inside tem
      receives temperature measurements from inside the 30             peratures of the structure and the outside temperatures
      structure, the structure conditioned by at least one             overtime to derive an estimation for the rate of change in
      HVAC system, the thermostat having at least a first set          inside temperature of the structure in response to outside
      ting stored therein;                                             temperature;
   one or more servers located remotely from the structure,
      the one or more servers configured to receive measure 35 receiving a demand reduction request and determining
      ments of outside temperatures from at least one source           whether the structure is associated with demand rejec
      other than the HVAC system,                                      tion request; and
                                                                   based on the determination that the structure is associated
   the one or more servers are further configured to commu             with the demand reduction request, sending with the one
      nicate with the thermostat via a network, wherein the
      one or more servers receive inside temperatures from the 40      or more servers a signal to the thermostat to change the
      thermostat and compares the inside temperatures of the           first setting to a second setting to reduce electricity
      structure and the outside temperatures over time to              demand by the HVAC system.
                                                                    12. The method as in claim 11 in which the one or more
      derive an estimation for the rate of change in inside processors
      temperature of the structure in response to outside tem geographicreceive        measurements of outside temperatures for
                                                                               regions such as ZIP codes from sources other than
      perature,                                                45
   the one or more servers are further configured to receive a the13.HVAC system.
                                                                         The method as in claim 11 in which the thermostat
      demand reduction request and determine whether the comprises
      structure is associated with demand rejection request, with a mesha networking
                                                                                 programmable thermostat that communicates
                                                                                              protocol.
      and
  based on the determination that the structure is associated 50      14. The method as in claim 11 in which the one or more
      with the demand reduction request, the one or more           servers communicate with the HVAC system using a network
      servers are further configured to send a signal to the       that includes an electricity meter.
                                                                     15. The method as in claim 11 in which the estimation is a
      thermostat to change the setting to a second setting to prediction       about the future rate of change in temperature
      reduce electricity demand by the HVAC system.
   2. The system as inclaim 1 in which the one or more servers 55 inside the structure.
receive measurements of outside temperatures for geographic the16.       The method as in claim 11 wherein the signal sent by
                                                                      one or more servers directs the thermostatto shutdown the
regions such as ZIP codes from sources other than the HVAC HVAC system.
system.
   3. The system as in claim 1 in which the thermostat com           17. The method as in claim 11 wherein the signal identifies
prises a programmable thermostat that communicates with a 60 a time.
mesh networking protocol.                                            18. The method as in claim 11 wherein the second setting
   4. The system as inclaim 1 in which the one or more servers allows     the inside temperature of the structure to increase to a
communicate with the HVAC system using a network that certain temperature during a specified time interval.
includes an electricity meter.                                       19. The method as in claim 11 wherein the second setting
                                                                  is based on an agreement between a homeowner and a
   5. The system as in claim 1 in which the estimation is a 65 demand
prediction about the future rate of change in temperature                  reduction aggregator.
inside the structure.                                                                     k   k   k   k   k




                                                         Appx102
Case: 23-1101   Document: 15    Page: 138   Filed: 05/09/2023




                         	
  




                Exhibit 4




                        Appx103
Case: 23-1101   Document: 15   Page: 139   Filed: 05/09/2023




                        Appx104
Case: 23-1101   Document: 15   Page: 140   Filed: 05/09/2023




                        Appx105
Case: 23-1101   Document: 15   Page: 141   Filed: 05/09/2023




                        Appx106
Case: 23-1101   Document: 15   Page: 142   Filed: 05/09/2023




                        Appx107
Case: 23-1101   Document: 15   Page: 143   Filed: 05/09/2023




                        Appx108
Case: 23-1101   Document: 15   Page: 144   Filed: 05/09/2023




                        Appx109
Case: 23-1101   Document: 15   Page: 145   Filed: 05/09/2023




                        Appx110
Case: 23-1101   Document: 15   Page: 146   Filed: 05/09/2023




                        Appx111
Case: 23-1101   Document: 15   Page: 147   Filed: 05/09/2023




                        Appx112
Case: 23-1101   Document: 15   Page: 148   Filed: 05/09/2023




                        Appx113
Case: 23-1101   Document: 15   Page: 149   Filed: 05/09/2023




                        Appx114
Case: 23-1101   Document: 15   Page: 150   Filed: 05/09/2023




                        Appx115
Case: 23-1101   Document: 15   Page: 151   Filed: 05/09/2023




                        Appx116
Case: 23-1101   Document: 15   Page: 152   Filed: 05/09/2023




                        Appx117
Case: 23-1101   Document: 15   Page: 153   Filed: 05/09/2023




                        Appx118
Case: 23-1101   Document: 15   Page: 154   Filed: 05/09/2023




                        Appx119
Case: 23-1101   Document: 15   Page: 155   Filed: 05/09/2023




                        Appx120
Case: 23-1101   Document: 15   Page: 156   Filed: 05/09/2023




                        Appx121
                             Case: 23-1101              Document: 15             Page: 157   Filed: 05/09/2023
Centralized CM/ECF LIVE - U.S. District Court:txwd                                                                        12/1/22, 4:53 PM




                                         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                                                          Date Filed: 01/31/2020
 Assigned to: Judge Alan D Albright                                                     Date Terminated: 05/26/2022
 Related Case: 6:21-cv-00244-ADA                                                        Jury Demand: Both
 Case in other court: USCA Federal Circuit, 23-01101-ED                                 Nature of Suit: 830 Patent
                     USCA Federal Circuit, 21-00144                                     Jurisdiction: Federal Question
                     USCA Federal Circuit, 22-01974-ED
 Cause: 35:271 Patent Infringement
 Plaintiff
 EcoFactor, Inc.                                                          represented by Brian W. Lewis
                                                                                         Latham & Watkins LLP
                                                                                         505 Montgomery Street, Suite 2000
                                                                                         San Francisco, CA 94111
                                                                                         (415) 391-0600
                                                                                         Fax: (415) 395-8095
                                                                                         Email: brian.lewis@lw.com
                                                                                         TERMINATED: 11/03/2021
                                                                                         LEAD ATTORNEY
                                                                                         ATTORNEY TO BE NOTICED

                                                                                        C. Jay Chung
                                                                                        Russ August & Kabat
                                                                                        12424 Wilshire Blvd., 12th Floor
                                                                                        Los Angeles, CA 90025
                                                                                        310-826-7474
                                                                                        Fax: 310-826-6991
                                                                                        Email: jchung@raklaw.com
                                                                                        TERMINATED: 11/03/2021
                                                                                        LEAD ATTORNEY
                                                                                        ATTORNEY TO BE NOTICED

                                                                                        James N. Pickens
                                                                                        Russ August & Kabat
                                                                                        12424 Wilshire Blvd, 12th Floor
                                                                                        Los Angeles, CA 90025
                                                                                        (310)826-7474

https://ecf.txwd.uscourts.gov/cgi-bin/DktRpt.pl?17286105924045-L_1_1-1                                                        Page 1 of 40

                                                                         Appx122
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Centralized CM/ECF LIVE - U.S. District Court:txwd                                                                     12/1/22, 4:53 PM



                                                                                     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

https://ecf.txwd.uscourts.gov/cgi-bin/DktRpt.pl?17286105924045-L_1_1-1                                                    Page 2 of 40

                                                                         Appx123
                             Case: 23-1101              Document: 15           Page: 159    Filed: 05/09/2023
Centralized CM/ECF LIVE - U.S. District Court:txwd                                                                       12/1/22, 4:53 PM



                                                                                       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
https://ecf.txwd.uscourts.gov/cgi-bin/DktRpt.pl?17286105924045-L_1_1-1                                                      Page 3 of 40

                                                                         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

https://ecf.txwd.uscourts.gov/cgi-bin/DktRpt.pl?17286105924045-L_1_1-1                                                 Page 4 of 40

                                                                         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


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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

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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

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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

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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

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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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                                                                         Appx136
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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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                                                                         Appx139
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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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                                                                         Appx141
                             Case: 23-1101              Document: 15          Page: 177   Filed: 05/09/2023
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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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                                                                         Appx142
                             Case: 23-1101              Document: 15          Page: 178   Filed: 05/09/2023
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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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                                                                         Appx143
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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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                                                                         Appx144
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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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                                                                         Appx145
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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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                                                                         Appx146
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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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                                                                         Appx147
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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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                                                                         Appx155
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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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                                                                         Appx156
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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




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     Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 1 of 27



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




ECOFACTOR, INC.,                           Civil Action No. 6:20-cv-00075 (ADA)
                       Plaintiff,          JURY TRIAL DEMANDED
         v.

GOOGLE LLC,

                       Defendant.


ECOFACTOR, INC.,                           Civil Action No. 6:20-cv-00078-ADA

                        Plaintiff,         JURY TRIAL DEMANDED

    v.

ECOBEE, INC.,

                       Defendant.


ECOFACTOR, INC.,                           Civil Action No. 6:20-cv-00080-ADA

                       Plaintiff,           JURY TRIAL DEMANDED

    v.

VIVINT, INC.,

                       Defendant.



          DEFENDANTS’ JOINT MOTION FOR SUMMARY JUDGMENT OF
            SUBJECT MATTER INELIGIBILITY UNDER 35 U.S.C. § 101




                                     Appx1134
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        Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 7 of 27




      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



                                                 3
                                           Appx1140
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         Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 9 of 27




        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.




                                                    5
                                                Appx1142
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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.



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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




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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



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       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




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                   EXHIBIT 4




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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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1      (AND RELATED MATTER ON PREVIOUS PAGE)
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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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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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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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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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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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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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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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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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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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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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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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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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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                   EXHIBIT 5




                           Appx1177
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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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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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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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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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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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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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                   EXHIBIT 7




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                       RESTRICTED – CONFIDENTIAL SOURCE CODE


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


ECOFACTOR, INC.,

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

              v.

GOOGLE LLC,

Defendant.



                   EXPERT REPORT OF ERIK DE LA IGLESIA
                   REGARDING INFRINGEMENT BY GOOGLE




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        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:




                                              14
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        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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         EXHIBIT A




                       Appx1901
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                                     PUBLIC VERSION



             UNITED STATES INTERNATIONAL TRADE COMMISSION
                         WASHINGTON, D.C. 20436



  In the Matter of

  CERTAIN SMART THERMOSTATS,                                    Inv. No. 337-TA-1185
  SMART HVAC SYSTEMS, AND
  COMPONENTS THEREOF




                                 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.




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                                    PUBLIC VERSION



users. See RX-0159C (Hutz DWS) at Q/A 37-40. None of the customers that bought their

ADC-T2000 or ADC-T3000 through an Alarm.com security dealer rather than a Building 36

dealer have access to HVAC Analytics or CFH/CFC. See id. at 109-10, 161-62; RX-0160C

(Goodman DWS) at Q/A 58-59, 69-70. The thermostats were not specifically engineered to

work with HVAC Analytics or CFH/CFC. See RX-0160C (Goodman DWS) at 65-66, 73, 76-77;

RX-0161C (Hagins RWS) at Q/A 208.

      X.     Invalidity

             A.      Validity Under 35 U.S.C. § 101

                     1.      The ’497 and ’322 Patents

                             a.     Alice Step One

      Respondents argue, in part:

               The asserted claims of the ’497 patent are directed to nothing more than the
      abstract idea of using temperature measurements to calculate the efficiency of an
      HVAC system. Hearing Tr. 237:20-24 (Gomez); Hearing Tr. 949:18-950:14
      (Palmer). Even EcoFactor does not dispute that the claims of the ’497 patent are
      directed to ordinary human activity: storing and comparing temperature
      measurements. Compl. ¶ 40. EcoFactor’s own expert Mr. Gomez even confirmed
      that all of the limitations of the asserted claims of the ’497 patent could be done
      with pen and paper because they merely require (1) reading temperatures from a
      thermometer, (2) starting and stopping a stopwatch while the HVAC is on and off,
      and (3) applying “high school algebra” to calculate the rates of change. Hearing
      Tr. 238:8-242:21 (Gomez).

               Moreover, as Mr. Gomez and EcoFactor’s validity expert Dr. Palmer
      testified, the claims of the ’497 patent do not involve “improving the efficiency of
      an HVAC system,” nor do they require or involve “the management or changes to
      the management of the HVAC system,” “the shifting of the on-and-off time of the
      HVAC system,” or any “modifications or operational changes to the HVAC
      system.” Hearing Tr. 237:25-238:7 (Gomez); Hearing Tr. 960:3-961:7 (Palmer).

              The prosecution history for the ’497 patent confirms that it claims
      performing an abstract idea on a generic computer system. To overcome a § 101
      rejection in which the Examiner characterized the claims as “abstract” (see CX-
      0005 (’497 FH) at 355-56)[], EcoFactor argued that performing the claims on a
      conventional processor was sufficient to be patent-eligible. Because this claim was

                                              420

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                                      PUBLIC VERSION



       prosecuted before Alice, the Examiner allowed the claims. But the Supreme Court
       in Alice held “the mere recitation of a generic computer cannot transform a patent-
       ineligible abstract idea into a patent-eligible invention.” Alice Corp. v. CLS Bank
       Int’l, 573 U.S. 208, 223 (2014).

                                         *      *      *

               The asserted claims of the ’322 patent are directed to the abstract idea of
       using temperature measurements to evaluate changes in the efficiency of an HVAC
       system. Hearing Tr. 268:22-269:1 (Gomez); Hearing Tr. 951:13-16 (Palmer).
       Specifically, as Dr. Palmer conceded, the asserted claims of the ’322 patent merely
       “involve ways of collecting and analyzing data about the operational efficiency of
       HVAC systems . . .” Hearing Tr. 959:6–10 (Palmer). As explained above in
       relation to Section 112, neither the specification nor the claims explain how to
       evaluate changes in operational efficiency, nor do they limit such an evaluation to
       a particular technical environment. Supra, §VI.A-B. The asserted claims provide
       no meaningful limitations to preclude a person from using a pen and paper to record
       temperature measurements inside and outside a building and compare them to
       determine whether the operational efficiency of the HVAC system has decreased
       over time. As further admitted by Dr. Palmer, the claims of the ’322 patent do not
       require any changes to the management of the HVAC system, any shifting of the
       on-and-off times of the HVAC system, or any operational changes to the HVAC
       system. Hearing Tr. 960:3-961:7 (Palmer). Moreover, the claims are directed
       toward routine information retrieval and analysis, and do not disclose any
       improvement in how the claimed generic processors perform those standard
       functions. Elec. Power Grp., LLC v. Alstom S.A., 830 F.3d 1350, 1354 (Fed. Cir.
       2016).

Resps. Br. at 248-50.

       EcoFactor argues that the claims of the’497 and ’322 patents are not directed to abstract

ideas, but rather to technical improvements in HVAC systems. See Compl. Br. at 276-78.

       The Staff argues, in part:

               The evidence does not show that the asserted claims of the ‘497 and ‘322
       patents are patent ineligible under 35 U.S.C § 101.

                                         *      *      *

               First step: Claim 1 of the ‘497 and ‘322 patents are directed to calculating
       and/or evaluating changes in the operational efficiency of an HVAC system. See
       Staff Ex. 1 (preamble and elements 1[d] of each patent). The specifications disclose
       calculating the operational efficiency of an HVAC system by calculating the
       “effective thermal mass” of the structure, even though that term is not recited in

                                               421

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                                     PUBLIC VERSION



       the claims. See JX-1, at 8:31-9:9. The specification further makes clear that this
       claimed system and method is a significant departure and improvement over the
       existing electronic thermostat and HVAC control system.

Staff Br. at 79-80.

       The administrative law judge finds that respondents have not shown that the asserted

claims of the of the ’497 and ’322 patents are directed to an abstract idea, devoid of a concrete or

tangible application. Rather, these claims are directed to technical improvements in HVAC

systems. See Alice Corp., v. CLS Bank Int’l, 573 U.S. 208, 223 (2014) (“[T]he claims in

[Diamond v. Diehr, 450 U.S. 175, 188 (1981)] were patent eligible because they improved an

existing technological process, not because they were implemented on a computer.”).

       Respondents argue that the asserted claims of the ’497 patent are directed to nothing

more than the abstract idea of using temperature measurements to calculate the efficiency of an

HVAC system, and that the asserted claims of the ’322 patent are directed to the abstract idea of

using temperature measurements to evaluate changes in the efficiency of an HVAC system. See

Resps. Br. at 248-50. However, the claimed electronic HVAC control system of the ’497 patent

is configured with a database for storing inside temperature measurements and processors to

determine rates of change of those measurements when the HVAC status is “off” and “on”, and

correlating those rates of change to outside temperature measurements received from a source

other than the HVAC. Moreover, the claimed electronic HVAC control system of the ’322

patent is configured to determine a decrease in operational energy efficiency over time by using

one or more computer processors that are configured to receive electronic measurements of

outside temperatures from a non-HVAC system, compare inside temperature with outside

temperature over time, and compare a plurality of stored historical inside temperature

measurements obtained from an electronic database.

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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

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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

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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


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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.



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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.”).

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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

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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

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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.


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          Case 6:20-cv-00075-ADA Document 169 Filed 01/07/22 Page 1 of 40




                             UNITED STATES DISTRICT COURT
                         FOR THE WESTERN DISTRICT OF TEXAS
                                         WACO DIVISION
 ECOFACTOR, INC.,

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

                  v.

 GOOGLE LLC,

                         Defendant.


                                      JOINT PRETRIAL ORDER

          Plaintiff EcoFactor, Inc. (“EcoFactor”) and Defendant Google LLC (“Google”) hereby

submit the following proposed Joint Pre-Trial Order pursuant to the Court’s Order (Dkt. No. 68),

the Court’s Standing Order on Pre-Trial Procedures and Requirements in Civil Cases, the Federal

Rules of Civil Procedure, and Local Rules of this Court. The parties have stipulated to various

matters identified herein and have identified exhibits, witnesses, factual contentions and triable

issues.

          It is hereby ORDERED as follows:


I.        APPEARANCES OF COUNSEL

          A.     Attorneys for EcoFactor

          Reza Mirzaie
          Marc A. Fenster
          Paul A. Kroeger
          James N. Pickens
          Kristopher R. Davis
          Minna Y. Chan
          Matthew Aichele
          Adam S. Hoffman
          Jason M. Wietholter
          RUSS AUGUST & KABAT

                                                 1
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          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

                                                    33
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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:

                                                  34
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        Exhibit A-4
     Filed Under Seal




                       Appx2208
                                                                                                                                                 Case: 23-1101




                                                                                                                                                 Document: 15
                                                              EcoFactor, Inc. v. Google LLC
                                                                   6:20‐cv‐00075‐ADA
                                                              Plaintiff's Physical Exhibit List


                                                                                                    Date                   Date       Date
Ex. No.   Description                                 Bates BEG                       Bates END     Withdrawn   Objections Identified Admitted
PX-001    Nest Thermostat



                                                                                                                                                 Page: 260
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




                                                                                                                                                 Filed: 05/09/2023




                                                                      Appx2209
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          Case 6:20-cv-00075-ADA Document 177 Filed 01/14/22 Page 1 of 40




                             UNITED STATES DISTRICT COURT
                         FOR THE WESTERN DISTRICT OF TEXAS
                                         WACO DIVISION
 ECOFACTOR, INC.,

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

                  v.

 GOOGLE LLC,

                         Defendant.


                                      JOINT PRETRIAL ORDER

The Court considers EcoFactor, Inc.'s (“EcoFactor”) and Defendant Google LLC's (“Google”)

proposed Joint Pre-Trial Order pursuant to the Court’s Order (Dkt. No. 68) pursuant to the

Court’s Standing Order on Pre-Trial Procedures and Requirements in Civil Cases, the Federal

Rules of Civil Procedure, and Local Rules of this Court. The parties have stipulated to various

matters identified herein and have identified exhibits, witnesses, factual contentions and triable

issues.

          It is hereby ORDERED as follows:


I.        APPEARANCES OF COUNSEL

          A.      Attorneys for EcoFactor

          Reza Mirzaie
          Marc A. Fenster
          Paul A. Kroeger
          James N. Pickens
          Kristopher R. Davis
          Minna Y. Chan
          Matthew Aichele
          Adam S. Hoffman
          Jason M. Wietholter
          RUSS AUGUST & KABAT

                                                 1
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          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

                                                    33
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          Case 6:20-cv-00075-ADA Document 177 Filed 01/14/22 Page 34 of 40




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:

                                                  34
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         Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 1 of 4



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



 ECOFACTOR, INC.,                                      Civil Action No. 6:20-cv-00075 (ADA)
                               Plaintiff,

         v.

 GOOGLE LLC,

                               Defendant.



              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:

                                             Appx2250
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       Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 2 of 4




                     Claim Term                                 Court’s Construction
“rate of change in inside temperature” (’327 patent,      “the difference between inside
claim 1); “rate of change in temperature inside the       temperature measurements divided
structure” (’327 patent, claim 5)                         by the span of time between the
                                                          measurements”
“measurement[s]”                                          Plain and ordinary meaning
[“measurement[s]”; “measurement of outside
temperatures”; “temperature measurement inside a
structure”; “temperature measurements from inside the
structure”; “measurement of at least one characteristic
of the building”; “measurement of the current outdoor
temperature”] (’327 and ’382 patents, all claims)
“outside temperature” (’327 patent, claim 1)              Plain and ordinary meaning




                                        Appx2251
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        Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 3 of 4




                                           Respectfully submitted,
Dated: January 26, 2022                    Dated: January 26, 2022

By: /s/ Reza Mirzaie                       By: /s/ Robert A. Van Nest
RUSS AUGUST & KABAT                        KEKER, VAN NEST & PETERS LLP
Reza Mirzaie                               Robert A. Van Nest
                                           Leo L. Lam
Marc A. Fenster                            Jennifer A. Huber
Paul A. Kroeger                            Kristin Hucek
Kristopher Davis                           Patrick E. Murray
Adam Hoffman                               Anna Porto
James Pickens                              Gregory Washington
Minna Chan                                 633 Battery Street
Jason Wietholter                           San Francisco, CA 94111-1809
12424 Wilshire Boulevard 12th Floor        Telephone: 415 391 5400
Los Angeles, California 90025              Facsimile: 415 397 7188
Tel: 310-826-7474                          econest-kvp@keker.com
Fax: 310-826-6991
rak_ecofactor@raklaw.com                   POTTER MINTON
                                           Michael E. Jones (TX Bar No. 10929400)
Attorneys for Plaintiff EcoFactor, Inc.    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


                                      Appx2252
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        Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 4 of 4




                               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




                                          Appx2253
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  Case 6:20-cv-00075-ADA Document 192 *SEALED*                Filed 01/31/22 Page 1 of 4



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



 ECOFACTOR, INC.,                                   Civil Action No. 6:20-cv-00075 (ADA)
                              Plaintiff,
        v.
 GOOGLE LLC,

                              Defendant.



                OMNIBUS ORDER REGARDING PRETRIAL MOTIONS
                 (DKTS. 109, 111, 113, 114, 115, 116, 117, 151, and 153)

 Consistent with the January 25, 2022 Final Pretrial Conference in this matter (Dkt. 184), the

Court enters this Joint Proposed Omnibus Order regarding the the parties’ pretrial motions

(Dkts. 109, 111, 113, 114, 115, 116, 117, 151, and 153):

                                Motion                                       Ruling

 Defendants’ Joint Motion for Summary Judgment of Subject Matter Denied, but the Court
 Ineligibility under 35 U.S.C. §101 (Dkt. 111)                   intends to submit
                                                                 second part of section
                                                                 101 test to the jury.

 Defendants’ Joint Daubert Motion to Exclude Certain Testimony of Denied
 Dr. Palmer (Dkt. 113)

 Google’s Motion to Exclude Expert Testimony of David Kennedy Denied
 (Dkt. 114)

 Google’s Motion for Summary Judgment that the Asserted Claims (1, Granted
 2, 5, and 8) of U.S. Patent No. 8,412,488 Are Invalid Under 35 U.S.C.
 §112 (Dkt. 115)

 EcoFactor’s Motion for Summary Judgment of Google’s Affirmative Granted as to defenses
 Defenses (Dkt. 116)                                             of prosecution history
                                                                 estoppel, prosecution
                                                                 history disclaimer, and


                                               1
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         Case 6:20-cv-00075-ADA Document 281 Filed 10/21/22 Page 1 of 2



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



 ECOFACTOR, INC.,                                      Civil Action No. 6:20-cv-00075 (ADA)
                                Plaintiff,
         v.

 GOOGLE LLC,
                                Defendant.




                       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.




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                                                Respectfully submitted,

                                                KEKER, VAN NEST & PETERS LLP

Dated: October 21, 2022

                                                /s/ Robert A. Van Nest, with permission by
                                            By: Michael E. Jones
Shamita Etienne-Cummings                        ROBERT A. VAN NEST
(admitted to the Western District of Texas)     LEO L. LAM
Allen & Overy LLP                               EUGENE M. PAIGE
                                                R. ADAM LAURIDSEN
1101 New York Avenue, NW                        KRISTIN HUCEK
Washington, DC 20005                            ANNA PORTO
Telephone: (202) 683-3810                       633 Battery Street
GoogleEcofactorWDTX@AllenOvery.com              San Francisco, CA 94111-1809
                                                Telephone: 415 391 5400
                                                Facsimile: 415 397 7188
Bijal V. Vakil                                  econest-kvp@keker.com
(admitted to the Western District of Texas)
Eric Lancaster (admitted Pro Hac Vice)
Allen & Overy LLP                               POTTER MINTON
530 Lytton Avenue, 2nd Floor                    Michael E. Jones (TX Bar No. 10929400)
Palo Alto, CA 94301                             mikejones@potterminton.com
Telephone: (650) 388-1703                       Shaun W. Hassett (TX Bar No. 24074372)
GoogleEcofactorWDTX@AllenOvery.com              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




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       Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 1 of 29




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

ECOFACTOR, INC.,
                Plaintiff,
                                                  Case No. 6:20-cv-00075-ADA
         v.
GOOGLE LLC,                                       JURY TRIAL DEMANDED

                Defendant.

ECOFACTOR, INC.,
                Plaintiff,
                                                  Case No. 6:20-cv-00078-ADA
        v.
                                                  JURY TRIAL DEMANDED
ECOBEE, INC.,
                Defendant.


ECOFACTOR, INC.,
                Plaintiff,
                                                  Case No. 6:20-cv-00080-ADA
        v.
                                                  JURY TRIAL DEMANDED
VIVINT, INC.,
                Defendant.




          DEFENDANTS’ RESPONSIVE CLAIM CONSTRUCTION BRIEF




                                    Appx6721
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        Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 12 of 29




       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



                                                 7
                                             Appx6732
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        Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 14 of 29




       (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”).


                                                  9
                                             Appx6734
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        Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 15 of 29




determination by an instrument using standardized units. For all its complaints, neither EcoFactor

nor Mr. Zeidman have ever stated or opined what the plain and ordinary meaning of the term

“measurement” is, or how measurements can be made other than by a determination using

standardized units.

       Finally, EcoFactor is off base when it contends Defendants’ proposal is somehow “limited

to a mechanically obtained determination” that would exclude “measurements by digital means.”

Pl. Opening Br. at 8. Defendants’ construction is “determination [of the claimed property] by an

instrument by using standardized units.”       Defendants have not limited “instrument” to a

mechanical instrument. Indeed, Defendants do not dispute that digital thermostats are capable of

taking temperature measurements, but this is because digital thermostats are instruments that

determine a temperature value based on standardized units of temperature. Defendants do not

dispute this because any instrument that determines a property using standardized units is an

instrument that takes a measurement. This comports precisely with Defendants’ proposal for

“measurement.”

               ’488 Patent Claims 1 and 9 – Indefiniteness

              Plaintiff’s Proposal                               Defendants’ Proposal
 Plain and ordinary meaning; no construction         Indefinite due to lack of essential structural
 necessary.                                          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




                                                10
                                             Appx6735
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        Case 6:20-cv-00075-ADA Document 40 Filed 11/17/20 Page 1 of 7




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

ECOFACTOR, INC.,
                Plaintiff,
                                                  Case No. 6:20-cv-00075-ADA
         v.
GOOGLE LLC,                                       JURY TRIAL DEMANDED

                Defendant.

ECOFACTOR, INC.,
                Plaintiff,
                                                  Case No. 6:20-cv-00078-ADA
         v.
ECOBEE, INC.,                                     JURY TRIAL DEMANDED

                Defendant.


ECOFACTOR, INC.,
                Plaintiff,
                                                  Case No. 6:20-cv-00080-ADA
         v.
VIVINT, INC.,                                     JURY TRIAL DEMANDED

                Defendant.




                   JOINT CLAIM CONSTRUCTION STATEMENT




                                            1
                                    Appx6750
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         Case 6:20-cv-00075-ADA Document 40 Filed 11/17/20 Page 3 of 7




      Disputed Constructions

Term                               Plaintiff’s Proposal           Defendants’ Proposal
“rate of change in inside          “the difference between two    “the difference between
temperature” (’488 patent          inside temperature             inside temperature
claims 1, 9; ’327 patent           measurements over a            measurements divided by the
claims 1, 11); “rate of change     particular span of time        span of time between the
in temperature inside the          between the measurements”      measurements (i.e., ∆T/∆t)”
[said] structure” (’488 patent
claims 8, 16; ’327 patent
claims 5, 15)
“measurement[s]”                   Plain and ordinary meaning;    “determination [of the
[“measurement[s]”;                 no construction necessary.     claimed property] by an
“measurement of outside                                           instrument by using
temperatures”; “temperature                                       standardized units”
measurement inside a
structure”; “temperature
measurements from inside the
structure”; “measurement of
at least one characteristic of
the building”; “measurement
of the current outdoor
temperature”] (’488, ’327,
and ’382 patents, all claims)
’488 Patent Claims 1 and 9 –       Plain and ordinary meaning;    Indefinite due to lack of
Indefiniteness                     no construction necessary.     essential structural
                                                                  connections, under In re
                                                                  Collier, 397 F.2d 1003
                                                                  (C.C.P.A. 1968), and its
                                                                  progeny.
“user interface actions            Plain and ordinary meaning;    “a user intentionally
intended to alter a state of one   no construction necessary.     interacting with the device’s
or more of said [networked]                                       graphic user interface to alter
electronic devices” (’492                                         the device’s state and indicate
patent claims 1, 10)                                              whether the structure is
                                                                  occupied”
“receiving [receives] input        Plain and ordinary meaning;    “a user inputting a response
from said one or more users”       no construction necessary.     to a prompt on the graphic
(’492 patent claims 1, 10);                                       user interface [display] of the
“said input from said one or                                      one or more networked
more users” (’492 patent                                          electronic devices”
claims 1, 9, 10, 18)
“outside temperature” (’488        “the temperature at a location “the actual temperature at a
patent claims 1, 2, 9, 10; ’327    outside (or external to) [the  location outside (or external
patent claims 1, 2, 11, 12)        structure]”                    to) [the structure]”




                                                 2
                                            Appx6752
       Case: 23-1101                Document: 15              Page: 287                      Filed: 05/09/2023



                                                                              US 2004O117330A1
(19) United States
(12) Patent Application Publication (10) Pub. No.: US 2004/0117330 A1
       Ehlers et al.                                                  (43) Pub. Date:                              Jun. 17, 2004
(54)   SYSTEMAND METHOD FOR                                   (60) Provisional application No. 60/368,963, filed on Mar.
       CONTROLLING USAGE OF A COMMODITY                                28, 2002. Provisional application No. 60/383,027,
                                                                       filed on May 24, 2002.
(76) Inventors: Gregory A. Ehlers, Bradenton, FL
                (US); James H. Turner, Chesterfield,                                 Publication Classification
                VA (US); Joseph Beaudet, Prince
                George, VA (US); Ronald Strich,               (51) Int. Cl. ................................................. G06F 17/00
                Pueblo West, CO (US); George                  (52) U.S. Cl. .............................................................. 705/412
                Loughmiller, Scottsdale, AZ (US)
       Correspondence Address:                                (57)                            ABSTRACT
       HOWARD & HOWARD ATTORNEYS, P.C.
       THE PINEHURST OFFICE CENTER, SUITE
       #101                                                   A System and method manage delivery of energy from a
       394OO WOODWARD AVENUE                                  distribution network to one or more Sites. Each Site has at
       BLOOMFIELD HILLS, MI 48304-5151 (US)                   least one device coupled to the distribution network. The at
                                                              least one device controllably consumes energy. The System
(21) Appl. No.:        10/628,644                             includes a node and a control System. The node is coupled
(22) Filed:            Jul. 28, 2003                          to the at least one device for Sensing and controlling energy
                                                              delivered to the device. A control System is coupled to the
             Related U.S. Application Data                    node and distribution network for delivering to the node at
                                                              least one characteristic of the distribution network. The node
(63) Continuation of application No. 10/402,370, filed on     for controls the Supply of energy to the device as a function
       Mar. 28, 2003, now abandoned.                          of the at least one characteristic.

                                    1,06
                           1.16 N                      1.12




                                                                                            CONTROLLED
                                                                                              DEVICE

                                                                                           CONTROLLED
                                                                                           AND METERED
                                                                                             DEVICE




                                                                                                                       Defendant's Exhibit


                                                                                                                                0219
                                                                                                                           Case No. 20-cv-00075



                                                                               DC_PRIOR_ART_0000403
                                       DTX0219, Page 1 of 50
                                               Appx10106
   Case: 23-1101       Document: 15       Page: 288           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: 289   Filed: 05/09/2023




Patent Application Publication                                     US 2004/0117330 A1




                    XIHSIWQO In5)




                                                         DC_PRIOR_ART_0000405
                                     DTX0219, Page 3 of 50
                                           Appx10108
   Case: 23-1101         Document: 15     Page: 290        Filed: 05/09/2023




Patent Application Publication Jun. 17, 2004 Sheet 3 of 18      US 2004/0117330 A1


                                                                  1.10D

                          . COMMUNICATIONS
                               TWO WAY                     NODE
                                                       PROCESSOR



     CONTROL POINT
     CONFIGURATION
       INTERFACE

                                                    2.08

                                   Figure 2A
                                                                     1.08A
             1.10

                         1.10A

                         TWO WAY
                     COMMUNICATIONS
                                            NODE      - METERING
                         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: 291     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
                                COMMUNICATIONS
                                    CHANNEL
                                                       prior
                                                         NODE
                                                       PROCESSOR



         CONTROL POINT
        CONFIGURATION
           INTERFACE

                                                      2.08




                     1.10
                                                    AND CONTROLLED
                                                        DEVICE




     CONTROL POINT
     CONFIGURATION
       INTERFACE

                       OTHER NODES OR
                     PROGRAMMING DEVICE
                                             2.08        Figure 2D




                                                    DC_PRIOR_ART_0000407
                            DTX0219, Page 5 of 50
                                 Appx10110
   Case: 23-1101       Document: 15       Page: 292     Filed: 05/09/2023




Patent Application Publication Jun. 17, 2004 Sheet 5 of 18      US 2004/0117330 A1

          GATEWAYNODE N-2.24        2" 220A 2.18
                                            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: 293    Filed: 05/09/2023




Patent Application Publication Jun. 17, 2004 Sheet 6 of 18          US 2004/0117330 A1
                                                                 3.10
                                3.08
                  130D
                                           INDOOR THERMOSTAT                3.10A

         THERMOSTAT                        HUMIDITY SENSOR              3.10B

                                           OTHER SENSORS            3,10C


              GATEWAY         110D
                NODE
                                                   Figure 3B
         OTHER NODES
         AND DEVICES
                              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: 294                 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--------
                             --1 22--------
                                                                                                     U-3,14C
      l                    22-24
     : 76                     /                                   3.12B
     Ss 75 /                                                                                        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
              50                                                                                              sS
              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: 295    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: 296                        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               - Home
                                                                                    1032AMES,  to Maris, a
                                                                                         Help Contact Faos
                                                                                                 Logoffenirea
                                            ce Curtinent      eveSats
                                             ontrol Center
                                                                                                                  ots
                              Direct access to your           Your Schedulingresources               Your en      reporta
                                energy devices                     are located here                   areay      lehere


                                                            414BS                               44C ()
                                                           Yourser Profile information and      Click here to find information
                                                                                                     about yotir system




                           Heating/AC                                      Whole House Meter.
                    Click here to access Heating/AC               Click here to access Whole House Meter




                                                                                                                                 4.22A
                                                                                                                                 4,22B
                                             Stage 1 OFF
                                             AuxHeat OFF
                                                                                                                                 4.22C
                                             Stage 1 OFF                                                                         4,22D
                                               $$$$.                                                                             4.22E
                                                                                                                                 4.22F


                                                 Figure 4C                                              4.22




                                                                                      DC_PRIOR_ART_0000412
                           DTX0219, Page 10 of 50
                                              Appx10115
   Case: 23-1101                   Document: 15                    Page: 297                        Filed: 05/09/2023




Patent Application Publication Jun. 17, 2004 Sheet 10 of 18 US 2004/0117330 A1

              4.24                       4.10
                                         YNY


        Occupancy Modes                                                                                        2.26
                          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°FOF
          Heating setpoint
                                          isM MyEconomical confidenomy refle-432
                                                  home is normally OCCUPIED during Home mode


                                                                                      4.30
                                                Figure 4D



         Occupancy Modes                                                                                       2.26
             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°FoF
          Heating setpoint
                                               (Economical comfortonomy rfiel-432
                                               My home is normally OCCUPIED during Away mode


                                                                                      4.30
                                                Figure 4E



         Occupancy Modes                                                                                       2.26
             Home          Away.      Sleep        Vacant I User            User2          User3       User?
         When my home is in Home Mode            Active
         Use the following settings for the areas controlled by the Heating/ACthermostat
           cooling setpoint,90F          use: Economical confoREconomy Profile               4.32
           Heating setpoint:45F                Ebcurrecturing
                                               Maximum Comfort vacant node

                                                Figure 4F


                                                                                     DC_PRIOR_ART_0000413
                                    DTX0219, Page 11 of 50
                                                   Appx10116
   Case: 23-1101             Document: 15                     Page: 298               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                                11eekday          eekday
                                       18               19
                                         eekday          eekday
                                                        26
                                                         eekday       eekday




                                                  Figure 4G
               Thermostat Scheduling     4.38              4.19
               Select Thermostateating/ACM Select Day Type:Weekday CW
                 Start’ Start at midnightin: Sleep           Wmode             clicktoshownstructions V   4.40
      436--Then   at 04:30am IV witch to Uservinode
             Then at 05:00am Yswitch to User2 Wmode
                                                                               T                           P
               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: 299                  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: 300                        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     - IliasOverit rody
                              Crevious by CNet                                                    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: 301                  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
                                                              Thermost at Data                       Home Data
                     Your personal account settings            Your the nostat 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: 302                  Filed: 05/09/2023




Patent Application Publication Jun. 17, 2004 Sheet 15 of 18                                                          US 2004/0117330 A1

             Program Participation                                                           4.96
              Participate Product Name                                   Supply Type        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
                            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
                          Link to a tree of the               Link to a tree of the Shows a pro                   tale
                          E.E.                                E.E.E.
                          Selectable stabstrations Egg Selectable substratios gig
                                                                                    EEE
                          immediately
                          capacity. available - and tial according
                                                         electrical to "Day
                                                                         bigny
                                                                            Type".


                                                              Supply Histo
                               Esi
                          Substrations are electable and      E.ElelaysFam
                                                                        a table of

                          links
                          activeare provided
                                 supply at thetonoda
                                                 display
                                                     level.   Eas
                                                              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: 303          Filed: 05/09/2023




Patent Application Publication Jun. 17, 2004 Sheet 16 of 18 US 2004/0117330 A1
                   5,16
                                            electrical Distribution Networkfortas

                                             s1
                                            Substrations
                                                                        tow         1069 w   Review/Request supply
                                             a                           cow                 Review / Request Suppl.

                                                                                                                              5,22
                                                                                                                  5.20

     5.18
                                                               Figure 5B
            5.24
              N Available Program Capacity                                                   5.28                      5 30
                          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: 304                        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                          TTT
                                                                     Warsawws Wiswever schedule createSchedule
                                               Philly NonCurtailed
                                                                     weddow          2swow                 27 weeview schedules      realescenes




                                                       Figure 5D                                                                       5.46

     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: 305         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


                                                                           Fi84re 5




                                                                                  DC_PRIOR_ART_0000421
                                         DTX0219, Page 19 of 50
                                                        Appx10124
     Case: 23-1101                    Document: 15                 Page: 306              Filed: 05/09/2023




US 2004/0117330 A1                                                                                             Jun. 17, 2004


   SYSTEMAND METHOD FOR CONTROLLING                                 0009 While both of these programs have been shown to
         USAGE OF A COMMODITY                                      work, they each have their problems. Time of day rate
                                                                   programs may be difficult for customers to understand.
                RELATED APPLICATIONS                               Therefore these programs have a very low participation rate
                                                                   among the customer base. DSM programs, on the other
 0001. The present application claims priority to U.S.             hand, have a much higher participation rate. However, DSM
patent application Ser. No. 10/402,370 filed Mar. 28, 2003,        loadsheds are seldom exercised by the utility. And, when the
which claims priority to U.S. Provisional Patent Application       utility does exercise a loadshed, the resulting interruption of
Serial No. 60/368,963 filed Mar. 28, 2002 and to U.S.              power tends to affect customer comfort, thereby causing
Provisional Patent Application Serial No. 60/383,027 filed         large numbers of customers to drop out of the program. In
on May 24, 2002, all of which are hereby incorporated by           addition, current DSM programs cannot differentiate
reference.                                                         between those consumers that contribute to a load control,
                                                                   and those that don’t, while providing incentive credits to all
               FIELD OF THE INVENTION                              who sign up.
 0002 The present invention relates generally to the deliv          0010 While both time of day rates and DSM programs
ery of a commodity, and more particularly, to a System and         can be effective, each have challenges in the area of cus
method for managing the delivery and usage of a commodity          tomer Satisfaction that erode their usefulness. In addition,
Such as electricity, natural gas, Steam, water, chilled or         utilities earn little revenue from these types of offerings and
heated water, or potable or recycled water.                        therefore look to new generation as a more economically
                                                                   viable option.
          BACKGROUND OF THE INVENTION
                                                                    0011. Thermostats, thermostatic control devices and
 0.003 Traditionally, utilities have done an excellent job of      environmental control Systems have been designed, manu
providing a reliable Source of power to their customers.           factured and placed in use for many years. These devices are
Utilities do this by accurately predicting consumer demand         primarily designed to Sense the temperature inside a site 1.04
and then ensuring that they have adequate generation               and based on occupant designated Setting, activate the
resources available to meet that demand. Historically,             heating and/or air conditioning System or Systems to main
demand for power increases each year during peak heating           tain a comfort level based on the occupants designated level
and cooling months, resulting in a need for ever increasing        of comfort. There are two main types of design for these
amounts of generation capacity. A review of the peak period        devices: a Standard Single control device or a dual control
demand clearly show that the need for a Substantial amount         System.
of new generation assets could be eliminated if there was a         0012. The standard single control device can be set to
way to shift Some of the demand from peak to off peak times.       activate a heating or cooling System based upon a manual
 0004. The deregulation of the electric industry has               Switch to Select either System and a degree Setting mecha
heightened concerns over power outages, price volatility and       nism to Select the desired temperature to heat or cool to if the
how the eventual outcome will impact the economy and our           temperature falls or rises below or above the occupant
way of life.                                                       designated Set point. A dual control System is attached to
                                                                   both a heating and cooling System which has two Set points,
 0005 For example, recent events in California have cap            one for the heating System activation and one for the cooling
tured the headlines and amplify these concerns. California         System activation. With this type of a control, the user Sets
Suffers from 10 years of load growth with no new generation        a desired minimum temperature, below which the heating
facilities being built to meet the demand. Internet data           System will be activated to raise the temperature during
centers like the one in San Jose represent unanticipated new       winter Seasons, and a maximum temperature, above which
demands for power 24 hours a day equal to that of 60,000           the cooling System will be activated to drop the temperature
homes. State mandated deregulation activities forced the           during Summer Seasons.
major utilities to Sell off their generation assets resulting in
them having to buy the power they used to Self generate             0013 This type of temperature control device provides
from others.                                                       the occupant the convenience of not having to manually
                                                                   Select either the heating or cooling System, as is the case of
 0006 Demand reduction programs and more advanced                  the Standard Single control device, and allows the occupant
controls have been proposed to assist in reducing demand           to define a temperature range between which they are
during peak times.                                                 comfortable. Using these two main types of design as a base
 0007 Currently, utilities do offer demand reduction pro           line, there are many variations, which have been developed
grams to their customers. These programs are designed to           over time. Over the years, these Sensing and control devices
shift loads out of peak periods by providing a financial           have moved from traditional bi-metal contractors to more
incentive for consumers to move loads to a time when it is         Sophisticated electronic devices over the years, and have
leSS expensive for the utility to produce or obtain power.         incorporated the ability to be programmed with multiple Set
Time of day rate is an example of Such a program.                  points for both heating and cooling as well as having the
                                                                   ability to activate these different set points based on time of
 0008 Another type of program offered by utilities is the          day, day of week, and/or externally generated control signals
traditional Demand Side Management (DSM) program. This             from utility companies indicating a fixed cost tier that is in
type of program provides the customer a monthly credit for         effect, e.g., low, medium, high & critical, and to interface
allowing the utility to interrupt power to major loads in their    with an infra-red motion Sensor that automatically Sets back
home during peaks or emergencies.                                  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: 307            Filed: 05/09/2023




US 2004/0117330 A1                                                                                       Jun. 17, 2004


presence of a perSon in the area. However, most end use           0024 FIG. 2C is a block diagram of a control node used
consumers do not have the time, experience, and/or acceSS        in the energy management System of FIG. 1A,
to data to monitor, track, and use these devices.                 0025 FIG. 2D is a block diagram of a load control node
 0.014. The present invention is aimed at one or more of         used in the energy management System of FIG. 1A,
the problems set forth above.                                     0026 FIG. 2E is a block diagram of an implementation
             SUMMARY OF THE INVENTION
                                                                 of the energy system of FIG. 1A at a customer site;
                                                                  0027 FIG. 3A is an illustration of an advanced thermo
 0.015. In one aspect of the present invention, a system and     Stat device, according to an embodiment of the present
method manage delivery of energy from a distribution             invention;
network to one or more Sites. Each Site has at least one
device coupled to the distribution network. The at least one     0028 FIG. 3B is a block diagram of the advanced
device controllably consumes energy. The System includes a       thermostat device of FIG. 3A;
node and a control System. The node is coupled to the at least    0029 FIGS. 3C-3G are graphs illustrating an exemplary
one device for Sensing and controlling energy delivered to       economic and comfort management control Strategy, accord
the device. A control System is coupled to the node and          ing to an embodiment of the present invention;
distribution network for delivering to the node at least one      0030 FIG. 4A is a graphical illustration of a customer
characteristic of the distribution network. The node for
controls the Supply of energy to the device as a function of     GUI, according to an embodiment of the present invention;
the at least one characteristic.                                  0031 FIG. 4B is a graphical illustration of a control
 0016. In another aspect of the present invention, a             panel of the GUI of FIG. 4A;
method of shifting energy requirements from a first period of     0032 FIG. 4C is a graphical illustration of a virtual
time is provided. The method includes the Steps of measur        thermostat of the GUI of FIG. 4A;
ing energy usage of a controlled device operated by a            0033 FIG. 4D is a graphical illustration of an occupancy
customer, cutting off energy to the controlled device during     mode screen of the GUI of FIG. 4A;
the first time period, and providing a rebate to the customer
based on actual energy Savings as a function of the first time    0034 FIG. 4E is a second graphical illustration of the
period, the measured energy usage, and known power               occupancy mode screen of FIG. 4D;
requirements.
                                                                 0035 FIG. 4F is a third graphical illustration of the
 0.017. In still another aspect of the present invention, a      occupancy mode screen of the GUI of FIG. 4D;
thermostat device for controlling a heating and/or cooling        0036 FIG. 4G is a graphical illustration of a thermostat
System through interaction with a user is provided. The          scheduling calendar of the GUI of FIG. 4A;
heating and/or cooling System are Supplied with energy
through a power distribution network. The thermostat              0037 FIG. 4H is a graphical illustration of a thermostat
includes a control panel for receiving input from the user and   scheduling panel of the GUI of FIG. 4A;
a display coupled to the control panel for visually presenting    0038 FIG. 4 is a graphical illustration of a select day
information to the user. The thermostat device is adapted to     type drop down list of the GUI of FIG. 4A;
receive a characteristic of the energy being Supplied and for
displaying the characteristic on the display.                     0039 FIG. 4J is a graphical illustration of a config alert
                                                                 screen of the GUI of FIG. 4A;
      BRIEF DESCRIPTION OF THE DRAWINGS
                                                                 0040 FIG. 4K is a graphical illustration of a report
 0.018. Other advantages of the present invention will be        screen of the GUI of FIG. 4A;
readily appreciated as the same becomes better understood         0041 FIG. 4L is a graphical illustration of a daily
by reference to the following detailed description when          temperature report pop up screen of the GUI of FIG. 4A;
considered in connection with the accompanying drawings
wherein:                                                          0042 FIG. 4M is a graphical illustration of a daily
                                                                 electrical report pop up screen of the GUI of FIG. 4A;
 0.019 FIG. 1A is a block diagram of an energy manage
ment System, according to an embodiment of the present            0043 FIG. 4N is a graphical illustration of a configura
invention;                                                       tion data screen of the GUI of FIG. 4A;
 0020 FIG. 1B is a diagrammatic illustration of one              0044 FIG. 4O is a graphical illustration of a thermostat
implementation of the energy management System of FIG.           data screen of the GUI of FIG. 4A;
1A;                                                              004.5 FIG. 4P is a graphical illustration of a heating drop
 0021 FIG. 1C is a flow diagram of a process for man             down list of the GUI of FIG. 4A;
aging energy delivery according to an embodiment of the           0046 FIG. 4Q is a graphical illustration of a cooling
present invention;                                               drop down list of the GUI of FIG. 4A;
 0022 FIG. 2A is a block diagram of a gateway node used           0047 FIG. 4R is a graphical illustration of a program
in the energy management System of FIG. 1A,                      participation screen of the GUI of FIG. 4A;
 0023 FIG. 2B is a block diagram of a metering node               0048 FIG. 5A is a graphical illustration of a utility GUI,
used in the energy management System of FIG. 1A,                 according to an embodiment of the present invention;




                                                                              DC_PRIOR_ART_0000423
                                      DTX0219, Page 21 of 50
                                                    Appx10126
     Case: 23-1101                    Document: 15                Page: 308               Filed: 05/09/2023




US 2004/0117330 A1                                                                                            Jun. 17, 2004


 0049 FIG. 5B is a graphical illustration of an immediate          0063. The load metering node 1.10A, in general, mea
supply screen of the GUI of FIG. 5A;                              Sures the instantaneous power being delivered (typically, in
 0050 FIG. 5C is a graphical illustration of an available         kWh) to the associated metered device 1.08A. The load
program capacity pop-up of the GUI of FIG. 5A;                    metering node 1.10A may also determine the total power
                                                                  delivered to the metered device 1.08A over a predetermined
 0051 FIG.5D is a graphical illustration of a scheduled           period of time, e.g., every 15 or 20 minutes. Information
supply screen of the GUI of FIG. 5A;                              related to the instantaneous power being delivered and the
                                                                  accumulated power is delivered to utility 1.06 via the
 0.052 FIG.5E is a graphical illustration of a find eligible      gateway control node 1.10D. For example, the metered
program dialog of the GUI of FIG. 5A;                             device 1.08A may be an electricity meter which measures all
                                                                  power being Supplied to the customer Site 1.04.
 0053 FIG. 5F is a graphical illustration of program
summery table of the GUI of FIG. 5A;                               0064. The control node 1.10B, in general, is used to
                                                                  control the controlled device 1.08B. In the simplest form the
 0.054 FIG. 5G is a graphical illustration of a program           control node 1.10B may controllably cut off and supply
definition screen of the GUI of FIG. 5A;                          power to the controlled device 1.08B. For example, if the
0055 FIG. 5H is a graphical illustration of a reports             controlled device 1.08B is a pool pump used to filter a pool
screen of the GUI of FIG. 5A; and,                                (not shown), the control node 1.10B may simply turn power
                                                                  to the pool pump on and off. Alternatively, the control node
 0056 FIG.5I is a graphical illustration of a portion of the      1.10B may have control over features of the controlled
reports screen of FIG. 5H.                                        device 1.08B, e.g., Start time, end time, duration, etc.
                                                                   0065. The load control node 1.10C, in general, is used to
              DETAILED DESCRIPTION OF THE                         both measure the instantaneous power being delivered to the
                       INVENTION                                  controlled and metered device 1.08C and controls the device
0057 1. Energy Management System and Methods                      1.08C. The load control node 1.10C may also determine the
Overview                                                          total power delivered to the metered and controlled device
                                                                  1.08C over a predetermined period of time, e.g., every 15 or
 0.058 With reference to the drawings, and in operation,          20 minutes.
the present invention relates generally to a System 1.02 and      0.066 Nodes 1.10 may be utilized with any type of device
method for managing the delivery and usage of a commod            1.08 for which it is desirable to control and/or measure its
ity, Such as electricity, natural gas, Steam, water, chilled or   power usage. For example, nodes 1.10 may be associated
heated water, or potable or recycled water. More Specifically,    with the entire customer site 1.04, a pool pump, an HVAC
the System 1.02 is adaptable to manage the delivery and           System, a water heater, any appliance, Such as a refrigerator,
usage of energy, e.g., electricity and natural gas. While the     dishwasher, hot tubs, irrigation and well pumps, Spas, coffer
below discussion focuses on the management of the delivery        maker, etc., or other electrical or electronic device, e.g.,
and/or usage of electricity, the present invention is not         televisions, Stereos, etc.
limited to Such the delivery and/or usage of electricity.
                                                                   0067. The type of node 1.10 which is used with a device
 0059. In general, the system 1.02 allows at least one            1.08 is dependent upon the device and whether it is desirable
customer (or user) located at a customer Site (indicated by       to measure the device's power usage, control the device or
reference number 1.04) and/or a utility (indicated by refer       both. In one aspect of the present invention a node 1.10 may
ence number 1.06) to manage delivery or usage of the              be separate from the device 1.08. For example, in each
electricity to the customer's site 1.06. The utility 1.06 may     device 1.08 it may be desirable to measure the energy usage
include both the generation of the electricity, e.g., via power   of the entire customer site 1.04. Thus, a load metering node
plants, and/or the transmission of electricity to the customer    1.10A may be associated with the site's electric meter.
sites 1.04.                                                        0068 Nodes 1.10 may either be integrated with the
 0060. The customer site 1.04 includes at least one device        corresponding device 1.08 or be separate. For example, a
1.08 which uses electricity and at least one node 1.10. In the    load metering node 1.10A may be a separate device which
illustrated embodiment, the customer site 1.04 includes three     is coupled to an electric meter (for retro-fit purposes).
devices: a metered device 1.08A, a controlled device 1.08B,       Alternatively, nodes 1.08 may be designed and manufac
and a metered and controlled device 1.08C. Each device            tured to be integral with the devices 1.10.
1.08 may have an associated node 1.10.                             0069. The customer may access and control the system
                                                                  1.02 through a user interface 1.14 (see below). The user
 0061 AS discussed in more detail below, in the illustrated       interface 1.14 may be incorporated into another device, Such
embodiment, there are four different types of nodes 1.10: a       as a thermostat (see below). Additionally, the customer may
load metering node 1.10A, a control node 1.10B, a load            be given access to the System 1.02 through external devices,
control node 1.10C, and a gateway node 1.10D.                     Such as, mobile phones, personal digital assistants (PDA),
 0062) The gateway node 1.10D provides two way com                laptop computers, desktop computers, or other Suitable
munication between the gateway 1.10D and each other node          devices. Such devices may be linked to the system 1.02 via
1.10A, 1.10B, 1.10C and between the gateway node 1.10D            the internet, a wireleSS data network, or other Suitable
and a utility control system 1.12. It should be noted that        System.
although there are only one of each the devices 1.08A,             0070 The system 1.02 may be further accessed and
1.08B, 1.08C, shown, there may be any number of each type         controlled at the utility 1.06 via a utility interface 1.16 (see
of device 1.08A, 1.08B, 1.08C (including zero).                   below).



                                                                                DC_PRIOR_ART_0000424
                                       DTX0219, Page 22 of 50
                                                    Appx10127
     Case: 23-1101                  Document: 15                Page: 309               Filed: 05/09/2023




US 2004/0117330 A1                                                                                          Jun. 17, 2004


 0071. In one aspect of the present invention, the load         butions. In one embodiment, the rebates would be directly
metering node 1.10A, the control node 1.10B, and the load       related to the cost of the fuel or electricity during the shifted
control node 1.10C communicate with the gateway node            period. This PROGRAM delivers the same results Time Of
1.10D. In another aspect of the present invention, the load     Day rates were designed to deliver without a variable KWH
metering node 1.10A, the control node 1.10B, the load           cost component. Rebates for shifting demand provide the
control node 1.10C, and the gateway node 1.10D may all          consumer incentive verSuS higher rates in peak periods.
communicate with each other. In the illustrated embodiment,     Further, the PROGRAM provides a variable rebate based on
the nodes 1.10 are interconnected by a network 1.18. The        a customers actual contribution, instead of a fixed rebate.
network 1.18 may be a wired network, such as an ethernet         0080 With reference to FIG. 1C, in one embodiment of
network, or a wireleSS network.                                 the present invention, a method of shifting energy require
0.072 An exemplary implementation of the system 1.02            ments from a first period of time, is provided. The method
is shown in FIG. 1B. In this illustrated embodiment, the        includes the Step of measuring energy usage of a device 1.08
gateway node 1.10D communicates to the utility control          operated by a customer (first step 1.32A). The device 1.08
system 1.12 via an “always on', secured wired or wireless       has a known power rating. In a Second step 1.32B, energy to
network 1.20 through a cable modem, DSL modem, or other         the device 1.08 is cut off during the first time period. In a
suitable means (not shown). The utility control system 1.12     third step 1.32C, a rebate is provided to the customer based
may be implemented in Software which is Stored and              on actual energy Savings as a function of the first time
executed on a back-end Server 1.22 (see below).                 period, the measured energy usage, and the known power
                                                                requirements.
 0073. In one aspect of the present invention, utility con
trol system 1.12 and the back-end server 1.22 may be             0081 For example, returning to FIG. 1B, a PROGRAM
provided by and/or serviced and/or maintained by a third        may be defined to include all pool pumps for a given Set of
party, i.e., a Service provider, 1.24.                          customers, e.g., in a geographic location. The PROGRAM
                                                                may be further defined by not allowing the pool pumps to
 0.074 Access to the utility control system 1.12 may be         run during a Set period of the day. Customers having a pool
provided at the utility 1.06 through a secure network 1.26      pump may sign up or “subscribe' to the PROGRAM. The
such as a virtual private network (VPN).                        power rating for a customer's pool pump must be known and
 0075 Remote access to the system 1.02 may be provided          is stored within the system 1.02. A load control node 1.10C
to the customer through the back-end server 1.22 via the        is either integral with or Separate and coupled to the pool
internet 1.28.                                                  pump. The load control node 1.10C receives a signal from
                                                                the utility control system 1.12 to disable the pool pump
0.076. In the illustrated embodiment, the customer site         during the first time period. The load control node 1.10C
1.04 includes a metered device 1.30A, shown as an electric      further measures energy usage of the pool pump during the
meter, a controlled device 1.30B, shown as a pool pump          first time period to confirm that the pool pump is not
(illustrated graphically as a pool), and a metered and con      running.
trolled device 1.30C, shown as a water heater. It should be
noted, however, that any particular Site may include Zero,       0082) Another PROGRAM may also perform soft load
one or more of each type of device. In the illustrated          control (control of comfort levels) on HVAC systems by
embodiment, the System 1.02 also includes an advanced           modifying thermostat Set points, use of temperature ramping
thermostat device 1.30D. Each device 1.30A, 1.30B, 1.30C,       and restricting the use of heat Strips and Secondary Stages of
1.30D communicates with the gateway node or gateway             compressors (see below).
1.1OD.                                                           0083. In one aspect of the present invention, the system
 0.077 As discussed more fully below, the customer has          1.02 is designed to operate like a power plant, in that it
access to the System 1.02 and is able to monitor and control    would be dispatched every working day to shift peak loads
the nodes 1.10 and/or the devices 1.08 through the user         but would not operate on weekends or holidays. Further, the
interface 1.14.                                                 energy saved through engagement of a PROGRAM may be
                                                                Viewed as capacity in the same manner as the capacity of a
 0078. The utility 1.06 may also monitor and control the        power plant.
usage of electricity by controlling the nodes 1.10 and/or the
devices 1.08. More specifically, the utility 1.08 may define,    0084. In one aspect of the present invention, the system
modify, implement, and engage one or more Power Supply          1.02 records actual interval data for a given entity or
Program (hereinafter PSP or PROGRAM or PROGRAMS)                customer, and for each device 1.08 within that entity, or
which are designed to alleviate or reduce energy demand         Subsets thereof, as desired. In the case where the entity is a
during peak periods. A PROGRAM may either be manda              home, for example, actual energy interval data can be
tory or optional. The user, through the user interface 1.14,    collected for each appliance, and/or Selected appliances.
may be able to Subscribe or sign up for one or more optional    Communications between the gateway node 1.10D and the
PROGRAMS. A PROGRAM may be either automatically                 other nodes 1.10A, 1.10B, 1.10C can be via wired or wireless
implemented when a predetermined set of conditions occur,       means, including microwave, infrared, Radio Frequency
Such as time of day, or may be engaged, by the utility 1.06,    (RF), or other wireless communications method. The actual
as electricity demands require.                                 interval data can be a basis for computing a customer's
                                                                rebate. The gateway node 1.10D can additionally collect
 007.9 For example, a PROGRAM may automatically                 information regarding the health and maintenance of the
shift discretionary residential loads out of peak demand        energy devices to which it communicates. Accordingly, the
periods and credit consumers who participate with KWH           gateway node 1.10D and the other nodes 1.10A, 1.10B,
rebates based on their actual (measured & Verified) contri      1.10C, can be equipped to communicate based on the wired




                                                                             DC_PRIOR_ART_0000425
                                     DTX0219, Page 23 of 50
                                                   Appx10128
     Case: 23-1101                     Document: 15                 Page: 310              Filed: 05/09/2023




US 2004/0117330 A1                                                                                              Jun. 17, 2004


or wireleSS communications channel. Furthermore, the com            System 1.02 may also record the number of energy units
munications can be bi-directional, and can be encoded. The          (energy units as used here include for examples: kilowatt
gateway node 1.10D can further communicate with the at              hours, BTU’s, Therms, and Jules but is not so limited) used
least one server, and vice-versa. The gateway node 1.10D            as a function of time for each of the loads monitored and/or
can thus include a processor and an Ethernet connection.            controlled by the system 1.02 and would have the ability to
Communications to the Server can be via cable modem,                report back detailed consumption data as a function of time
DSL, power line carrier modem, or another bi-directional            and Summarize these details to provide, at a minimum, daily
wired or wireleSS Secured communications link.                      averages for any defined period, monthly totals, as will as
 0085. In one embodiment, the gateway node 1.10D may                track the costs of each energy unit consumed per period and
include memory (see below) for storing pricing and Sched            provide detailed and average daily cost for any user defined
uling information. For example, a gateway node 1.10D may            period as well as monthly totals. The system 1.02 may
Store fifteen days of data when ninety-six readings from            permit the entry of daily, weekly and monthly budget
devices 1.08 are made per day.                                      amounts for energy. The System 1.02 may monitor usage and
                                                                    provide Visual and audible alerts if these amounts are being
 0.086 Rebates can be provided based on, for example,               exceeded, thereby providing the opportunity to make cor
overall usage. In one illustration, if a water heater is “on” for   rections to System Settings to achieve desired economic
 /3 of the time, historically, a consumer can get a /3 rebate for   results. The system 1.02 may be capable of controlling loads
a non-peak period water heater usage based on the water             beyond its primary management function of the environ
heater being “off” for the entire peak interval.                    mental air management Systems using the same economic
 0087. The system 1.02 may also be adapted to receive               modeling techniques and controls that it uses to manage its
from the customer a budget goal for a Specified time period,        primary functions. It may also manage, report and track total
e.g., one month. The System 1.02 may then monitor the               Site 1.04 energy unit usage and interface with energy unit
customer's usage and Send an email or other notification to         Suppliers via a communications channel. The System con
the customer if it is determined that the Specified budget goal     trols will be located at the site 1.04, while the processors for
will be exceeded during the Specified time period.                  modeling and managing the Sources and types of energy
                                                                    units to be utilized and committed to will be distributed (at
 0088 AS explained above and more fully described                   energy brokers, ESP's and utilities) and operate over a
below, the system 1.02 may also include an advanced                 communications network without regard to the actual loca
thermostat device 1.30D. The system 1.02 may have the               tion of or distance from the site 1.04.
ability to Sense the current indoor temperature and could be        0090. In summary, and as explained in detail below, the
enhanced to include at a minimum, humidity Sensing, out             System 1.02 Supports and provides a wide array of moni
Side temperature, UV intensity, wind direction and Speed,           toring and control points including:
relative humidity, wet bulb thermometer, dew point and
local weather forecast data or encoded signals as well as                 0091) Whole house interval metering;
other analog or digital inputs used in the calculation of and             0092] HVAC thermostat monitoring and control;
maintenance of occupant comfort. In its basic form, the
System 1.02 will manage the indoor air temperature. Using                 0093 Sub-metering and control of other major loads
the optional enhanced System inputs, the System 1.02 may                     (Such as pumps and electric water heaters); and,
also manage the air quality and humidity at the Site by                    0094 Net metering for effective management of
controlling the operation of the appropriate heating, filtra                 distributed generation assets.
tion, conditioning and cooling equipment in conjunction
with damper and fresh air input ducts, electrostatic filters         0095. In one embodiment, the system 1.02 is designed to
and ionization devices to maximize comfort and indoor air           provide monitoring and control of major loads, e.g., total
quality. The System 1.02 may manage its operation of the            electric load, HVAC systems, water heater, and pool pump
available environmental conditioning resources to maintain          (if existent). In another embodiment, the system 1.02 pro
the optimum temperature, humidity and air quality condi             vides monitoring of most, if not all, devices which require
tions based on user defined minimum and maximum values              energy, e.g., electricity or gas.
for comfort indices and price of energy indices. In a more           0096. The system 1.02 is “always on', connecting the
elaborate implementation, the System 1.02 may also have the         nodes 1.10 to the utility control system 1.02. This allows the
ability to Switch energy types e.g., electric Versus gas for        system 1.02 to provide much higher levels of monitoring and
environment heating and would also have the ability to              management of loads. The always on connectivity allows
Switch Suppliers based on the asking price of the energy            the utility 1.06 to know exactly how much load is available
Supplier Serving the location if the Services of an energy          from each participating end use device 1.08 at a customer
broker are utilized.                                                site 1.04 and allows the utility 1.06 to aggregate that load up
 0089. In one aspect of the present invention, the system           to a circuit, Sub Station or to any other desired combined
1.02 balances two primary factors. First, the system 1.02           total. The utility 1.06 may target Specific loads or geographic
maintains the environment within occupant defined accept            areas and manage demand more closely by getting verifi
able minimum and maximum values at least for temperature            cation of control requests as curtailment commands are
and could be expanded to handle humidity and air quality.           initiated. The utility 1.06 can then pass detailed load cur
Second, the System 1.02 may vary these acceptable param             tailment data on to the back-office billing programs at the
eters based, on at a minimum, user defined preferences, price       utility where credits can be applied to consumer bills com
                                                                    menSurate with their contributions.
points and historical data (the gathering and retention of
which is described later) to achieve the optimum environ             0097. In another aspect of the present invention, the
mental conditions. To provide feedback to the customer, the         system 1.02 has the ability to monitor and control remote




                                                                                 DC_PRIOR_ART_0000426
                                        DTX0219, Page 24 of 50
                                                      Appx10129
     Case: 23-1101                    Document: 15                 Page: 311              Filed: 05/09/2023




US 2004/0117330 A1                                                                                             Jun. 17, 2004


generating capacity Such as photovoltaic Systems (not              work (TSS, DSS and circuit). The view may display an
shown) which may be located at a consumer site 1.04. Just          aggregated capacity for a branch of the network currently
as the System can monitor and Verify load control reductions,      available. The view may also indicate whether a PRO
it is equally capable of monitoring, dispatching and verify        GRAM is currently active on a branch of the system 1.02.
ing remote generation capacity.                                    For an active power Supply program, the Scheduled comple
 0098. In still another aspect of the present invention, the       tion time may also be indicated.
system 1.02 allows the utility 1.06 to respond to requests for      0106 The system 1.02 may also continually aggregate
additional electrical Supply. For example, when the utility        capacity and the current Status of the distribution network
1.06 requires an increase in electrical supply, the utility 1.06   and provides the updated information for display on the
will be able to review current capacity and call upon Some         utility interface 1.16.
or all of that capacity in an Immediate Supply Request.             0107. In a further aspect of the present invention, the
Using the system 1.02, the utility 1.06 may command one or         utility interface 1.16 may allow the operator to analyze
more customer Sites 1.04 that meet the Specified criteria,         profiles of homes and individual load types. This data can
e.g., or enrolled in a specific PROGRAM, to provide their          allow the utility 1.06 to assess which loads should be
power contribution to the System's power generation Supply.        curtailed to achieve the needed demand reduction. The
The gateway nodes 1.10D will continuously update the               System 1.02 may calculate home load profiles based upon
system 1.02 with current demand information in the form of         information received from the load metering nodes 1.10A
available messages. That information, along with profile
data, can be presented to a System operator to help them           and/or load control nodes 1.10C. This may include HVAC
locate the best Supply to call upon.                               profiling. Using this data, Site load profile data can be
                                                                   aggregated for the electrical distribution network topology.
 0099. In one embodiment of the present invention, the              0108. The network topology load profile may be dis
utility interface 1.16 and the user interface 1.14 may be          played as a Snapshot to the operator. The operator may also
provided through a web browser (see below), Such as                review load profiles available in the system 1.02 at a
Internet Explorer, available from Microsoft Corp. of Red           Specified time of day.
mond, Wash.
 0100. The utility interface 1.16 may display the capabil           0109 Configuration data is downloaded from the system
ity to define Power Supply Programs (PSP or PROGRAMS)              1.02 to each of the gateway nodes 1.10D. For example, this
in the System 1.02 and Selectively apply Substations and           may be done at one or more of the following: at predeter
circuits that will participate in the PROGRAM when acti            mined times, when requested by a gateway node 1.10D,
vated. The system 1.02 through the utility interface 1.16 may      and/or when a change, such as activation of a PROGRAM,
                                                                   has occurred.
include the following capabilities.
 0101 The system 1.02 may allow an operator at the                  0110 For example, configuration data may include, but is
utility 1.06 to selectively assign devices 1.08 that apply to a    not limited to the following: communication parameters for
specific PROGRAM. One or more substations and/or cir               System components, Schedules and power Supply programs.
cuits may be included within the PROGRAM.                          In one embodiment, each device 1.08 has a unique identifier,
                                                                   such as a MAC address or an RF logical address. The
 0102) The system 1.02 may receive or generate an Imme             intended device 1.08 for a given message may be included
diate Supply Request (ISR) when additional electrical Sup          in the message received from the System 1.02.
ply is needed. The Immediate Supply Request may include
a start time and the Supply request duration.                       0111. In one aspect of the present invention, communi
                                                                   cations to and from the gateway nodes 1.10D or other nodes
 0103) An operator, using the utility interface 1.16, acti         1.10 are Secured. For example, the communications may be
vates one or more PROGRAMS in response to the ISR.                 Secured using Secure Sockets Layer (SSL).
Activation of the one or more PROGRAMS may be imme                  0112 In another aspect of the present invention, if the
diate or Scheduled at a future time. To activate a PRO
GRAM, a PROGRAM schedule is downloaded to each of                  System 1.02 loses communications with a gateway node
the gateway nodes 1.10D or nodes 1.10 affected. In one             1.10D for a predetermined time, the system 1.02 may
embodiment, the PROGRAM schedule may be downloaded                 generate a Service Report.
to the appropriate gateway nodes 1.10D or other node 1.10           0113. In one aspect of the present invention, a gateway
in advance of the Scheduled time of operation.                     1.10D may generate a message when a controlled device
 0104. In another aspect of the present invention, the             1.08 has a change of state that alters its contributable supply
System 1.02 can track, record, Store, compute, etc. which          by more than a predetermined range, i.e., a real-time demand
customers actually participate in a PSP and how much               range. The System 1.02 may use these updates to keep a live
demand was reduced in the home for the PROGRAM                     running total of available Supply for the entire electrical
period.                                                            distribution network and make these values available at the
                                                                   utility interface 1.16. In another aspect of the present inven
 0105 The utility interface 1.16 may also display the              tion, the System maintains a history of the consumption rates
current load generation available from the existing System         as a function fo time to create historical usage by device type
1.02. For example, a view of the current Power Distribution        and program to aid in planning and forecasting demand by
Network for a utility company including Transmission Sub           device type. These values are available at the utility interface
stations (TSS), Distribution Substations (DSS), and circuits       1.16. In one embodiment, the system 1.02 may ignore
may be provided. The View may be appropriately annotated           supply values from a gateway node 1.10D that are older than
with identification information for each branch of the net         a predetermined period of time, Such as 30 minutes old.




                                                                                DC_PRIOR_ART_0000427
                                       DTX0219, Page 25 of 50
                                                     Appx10130
     Case: 23-1101                   Document: 15                Page: 312             Filed: 05/09/2023




US 2004/0117330 A1                                                                                         Jun. 17, 2004


 0114. The system may also receive messages from a                      0127. Monthly electrical reports displaying daily
gateway node 1.10D at predetermined time intervals, Such as               low, high and average energy consumption.
15 minutes, whether a load changes or not. These messages               0128 Monthly cost reports displaying daily low,
can include the (a) demands generated for a device 1.08 in                high and average energy costs.
a PROGRAM and (b) the total demand generated for                        0.129 Monthly consumption reports displaying
devices 1.08 in a PROGRAM. In one embodiment these
messages may also include a gateway ID, a utility ID String,              daily energy consumption and costs.
time/date Stamp, current power draw of every controllable               0.130 Yearly consumption and cost reports display
device 1.08, and whole house demand.                                      ing monthly energy consumption and cost.
0115 Through the user interface 1.14, the customer may            0131. In another aspect of the present invention, the
have local and remote access to a rich Set of functions and      customer may also view information related to Power Sup
features. Some or all of these functions and features may be     ply Programs. For example, the customer may generate or
accessible through the thermostat 1.30D and/or through the       view a report detailing the PROGRAMS offered by the
internet 1.28 (via a web browser).                               utility 1.06. Additionally, the customer may select the PRO
 0116. Using the user interface 1.14, the customer may           GRAMS in which they choose to participate.
directly access and control in-home devices 1.08. For             0.132. Using the user interface 1.14, the customer may
example, with regard to the thermostat 1.30D, the customer       have access to their account and home attributes. For
may view current temperature, View current heating or            example, the customer may be able to view and modify
cooling setpoint(s), override heating or cooling setpoint(s),    various parameters associated with their user profile. Such
resume Scheduled heating or cooling setpoint(s), view heat/      parameters may include name, address, home, work and
cool/auto mode, change the heat/cool/auto mode.                  mobile phone numbers, primary and Secondary E-mail
 0117. With regard to the electric meter 1.30A, the cus          addresses, password (modify only) and password reminder,
tomer may view current electric meter accumulated con            and/or budget thresholds. Furthermore, the customer may be
Sumption (kWh), view current electric meter demand (kW),         able to View and modify various parameters associated with
View historical meter data.                                      the thermostat 1.30D and HVAC system. Such parameters
                                                                 may include thermostat name, heating type and Stages,
 0118 With regard to a metered controlled device 1.08C,          cooling type and Stages, and Safety, alarm, heat and cool
such as the water heater 1.30C, the customer may view            limits.
current equipment load Status (on/off data), control the State   0.133 Using the user interface 1.14, the customer may
of output relays (on/off), view and override curtailment         also be able to view and modify various parameters asso
conditions of the device 1.08C, and/or view current demand
and consumption data of the device 1.08C.                        ciated with any metered and controlled devices. Such param
                                                                 eters may include, e.g., the device name and description.
 0119). In one aspect of the present invention, the user          0.134. Using the user interface 1.14, the customer may
interface 1.14 includes a Scheduling feature. The Scheduling     also be able to view and modify various parameters asso
feature allows the customer to customize the devices 1.08 to
operate according to personal preferences (rather than a         ciated with their home. Such parameters may include age
default configuration).                                          and size, construction characteristics, water heater capacity
                                                                 and type(s), and energy related home accessories.
 0120 In one embodiment, the following scheduling fea
tures are accessible through the user interface 1.14.             0135) When the system 1.02 activates a PROGRAM
                                                                 (either automatically or via manual activation), a Supply
 0121 With regard to the thermostat, the customer may            request is broadcast. The Supply request may include a
define up to a plurality of occupancy modes, e.g., 8, for use    Curtailment ID, a Utility ID sub-string, Device Type Iden
in daily Schedules, define daily Schedules using an unlimited    tifiers of the devices that are to contribute, a transaction
number of day-types, assign day-types using monthly cal          identifier, and time elements indicating Start time and dura
endars.                                                          tion. In one embodiment, the Supply request is Sent to all
 0122) With regard to a controlled and metered device            gateway nodes 1.10D and other nodes 1.10 and may be
1.08C, the customer may, for example, define a run-time          repeated to ensure that all of the gateways 1.10D and other
operation and/or a desired Start time.                           nodes 1.10 will receive the request. Each gateway 1.10D and
                                                                 other nodes 1.10 receive the request and when the start time
 0123. Using the user interface 1.14, the customer may           occurs, begin a Supply Request transaction.
View or generate a variety of reports to view historical
information about their homes and the devices 1.08 within.        0.136. In one embodiment, the gateway node 1.10D takes
For example, Some of the reports which may be available          a whole-house meter reading (demand and consumption)
include:                                                         and reports back to the system 1.02 that it has received the
                                                                 request and is participating. In the illustrated embodiment,
      0.124 Daily temperature reports displaying tempera         every message includes the Curtailment ID So that the
        ture and Setpoints in, e.g., 15-minute intervals.        System 1.02 can collect all of the responses to the Supply
                                                                 request and provide accurate analysis and billing/crediting
      0.125 Monthly temperature reports displaying daily         information for the activated PROGRAM.
        low, high and average temperatures.
                                                                  0137) The gateway node 1.10D and other nodes 1.10 then
      0.126 Daily electrical reports displaying electrical       proceeds to control the specified devices 1.08 and report the
        consumption hourly and electrical costs in e.g.,         status of each device 1.08 back to the system 1.02 as they are
          15-minute intervals.                                   processed.




                                                                              DC_PRIOR_ART_0000428
                                      DTX0219, Page 26 of 50
                                                    Appx10131
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US 2004/0117330 A1                                                                                          Jun. 17, 2004


 0.138. Devices 1.08 that are currently drawing power             uled supply request. The gateway node 1.10D may be
report the total watts contributed and then proceed to open       responsible for administering the PROGRAM within cus
the relay for controlled devices 1.08B and/or controlled and      tomer site 1.04. For example, the gateway node 1.10D may
metered device 1.08C. If a controlled device 1.08B is being       accept or download scheduled PROGRAMS from the sys
used, an associated power rating may be used for the              tem 1.02 in advance of the scheduled operation. The gate
contributed power value. A controlled device 1.08 may be          way node 1.10D may then monitor and control the affected
either Shut-off, i.e., power cut off, or controlled to Some       devices 1.08 to carry out the PROGRAM.
predetermined State, e.g., a heating/cooling offset may be Set
to a maximum value for a HVAC system (see below).                  0146). During the PROGRAM, the gateway node 1.08D
                                                                  may report the electrical demand generated by each device
 0.139. Devices 1.08 that are not currently drawing power         1.08 in the PROGRAM.
will report Zero watts contributed and leave the relay closed.
With the relay closed, once the device 1.08 starts to draw         0147 The gateway node 1.10D may also receive occu
power, the gateway node 1.10D will measure its demand and         pant device Schedules from the System. Device Schedules
then open the relay and then measure and report its contri        apply to customer devices 1.08 Such as water heater, pool
bution.                                                           pump, hot tub and Spas. The gateway node 1.10D may then
                                                                  be responsible for administering the device Schedules within
 0140. In one embodiment, a device's 1.08 contribution is         the customer site. The device schedules may be received by
equal to the power consumption rate prior to activation of        the gateway node 1.10D in advance of the scheduled opera
the program for the time period of the PROGRAM, i.e., the         tion. Then the gateway node 1.10D may monitor and control
amount of energy being Saved.                                     the affected devices 1.08 per the downloaded device sched
 0.141. If the device 1.08 is an HVAC system, adjusting the       ules.
Setpoint may not guarantee that the System may not run at          0.148. In another aspect of the present invention, if the
all. If the HVAC is not running, its supply contribution          gateway node 1.10D loses communications with the System
message is reported as Zero. The Setpoints are offset and the     1.02 for a predetermined time, the gateway node 1.10D can
temperature is monitored. When the temperature exceeds the        re-enable devices 1.08 (water heater, pool pump, hot tub and
appropriate heating or cooling original setpoint (prior to the    spa). Note that the gateway node may have multiple days,
offset change), the gateway node 1.10D may indicate what          e.g., three days, of Schedules available. Water heaters can
the contribution is. This represents when the equipment           fall back to an operational mode, however, pool pump, Spas,
would have come on without the curtailment. By adjusting          hot tubs and irrigation and well pumps may not. These latter
the setpoint of the thermostat 1.30D, the actual consumption      devices may have to be cycled based on Some programmed
of the HVAC system should reduce as a result of a higher          interval like, for example, 8 hours a day. Other devices 1.08
Setpoint for heating or cooling being established. The actual     like an irrigation pump could not simply default to “on” or
usage for a particular setpoint for a Site 1.04 may, over time,   it may start and never Stop. The ability to receive and run
be known and/or Sampled and the offsets can then be               schedules is not limited to the gateway node 1.10D. Depend
computed and Verified as needed to ensure that the reduc          ing on the System implementation requirements, Schedules,
tions that are calculated are correct. The System 1.02 can        cycle run times and other operational commands may be
thus measure the Shorter and leSS frequent cycling of the         downloaded to the control nodes 1.10 which will operate
HVAC system to create an overall energy Savings amount.           independently their individual schedules. This capability is
For example, if the unit consumes 5 kwh set at 72 and used        designed to permit normal operation of the site 1.04 should
4.6 kwh set at 76 then the savings is 0.4 kwh per hour.           the gateway node 1.10D fail or communications are lost
 0142. At the end of the Supply Request period, the               between the gateway node 1.10D and the control node 1.10.
gateway node 1.10D will re-enable the devices 1.08 and             0149. With reference to FIG.3A, the thermostat 1.30D in
report a completion message to the System 1.02 that includes      one embodiment, is a wall mounted device which has a
the whole house demand data and total consumption data.           control panel 3.02 with a display screen 3.04 and a plurality
For the thermostat or thermostat devices, a reverse ramp can      of input buttons 3.06. In the illustrated embodiment, the
initiate to reduce the potential of creating a peak demand at     input buttons 3.06 includes a system button 3.06A, a fan
the end of a curtailment or control period. This reverse ramp     button 3.06B, an occupancy button 3.06C, and a hold/
could include the restriction of Secondary compressor Stages      resume button 3.06D. The input buttons 3.06 further include
as well as heat Strips depending on the mode (heating or          an first control button 3.06E and a second control button
cooling) that the thermostat is in.                               30.6F.
 0143. The system 1.02 may also send a supply request              0150. Using the input buttons, the customer can control
cancel message to abort the PROGRAM. When a supply                the HVAC system and other parts of the system 1.02 (see
request cancel message is received, the gateway node 1.10D        below). The thermostat 1.30D is in communication with the
will perform as if the time has expired and performed all         gateway node 1.10D (See above) and the gateway node
necessary clean-up, wrap-up and reporting as described            1.10D can query the current temperature and Setpoint values
above.
                                                                  of the thermostat 1.30D. Further, the gateway node 1.10D
 0144. In addition to reporting individual demand contrib         can change the heating and cooling setpoint(s) and offset
uted by each device 1.08 during the PROGRAM, the gate             values of the thermostat 1.30D (see below).
way node 1.10D may also send the total demand generated            0151. In one aspect of the present invention, the thermo
for all devices 1.08 for the PROGRAM to the system 1.02.          stat 1.30D may inform the gateway node 1.10D when its
 0145. In another aspect of the present invention, the            relay outputS or contact inputs change State, or the gateway
gateway node 1.10D may receive a utility generated Sched          node 1.10D can poll for this status. When this occurs, the




                                                                              DC_PRIOR_ART_0000429
                                       DTX0219, Page 27 of 50
                                                    Appx10132
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US 2004/0117330 A1                                                                                         Jun. 17, 2004


gateway node 1.10D can query the thermostat 1.30D and          the System 1.02 to focus on the entire Supply chain, from
Send the current temperature and corresponding input or        well head production and generation to the end consumption
output status to the system 1.02.                              point. The nodes 1.10 are designed to give every energy
 0152 The thermostat 1.30D may operate in a fallback           consuming device 1.08 the ability to intercommunicate with
mode upon loSS of communication with the gateway node          the entire Supply chain if necessary and utilizes Supply and
1.10D. When communication resumes, the gateway node            demand balancing control logic, to improve the operational
1.10D can ascertain the state of the thermostat 1.30D and      efficiency of end point devices 1.08, groups of end-point
restore the desired functionality.                             devices and the entire Supply chain. This is accomplished by
                                                               giving each end-point knowledge about the current demand
 0153 All changes made at the thermostat 1.30D can be          on the entire Supply chain coupled with the ability to alter its
communicated to the gateway node 1.10D or be received          operation to assist in managing and balancing the overall
during a poll of the thermostat 1.30D. In one embodiment,      demand on the delivery System. This information exchange
the following functions can be accessible directly from the    is accomplished over an always on broadband, high-Speed,
thermostat 1.30D:                                              point-to-point, point to multipoint or mesh network (see
      0154)      View current temperature.                     above).
      O155       View current heating or cooling setpoint.      0.167 Energy consuming devices 1.08 within a customer
                                                               Site 1.04 may have varying levels of operational intelligence.
      0156       Override heating and cooling setpoints.       Appliances and other utility consuming devices 1.08 range
     (O157)      Resume Scheduled heating and cooling Set      from Super energy efficient refrigeration units with embed
       points.                                                 ded micro processor controls to dumb devices like water
                                                               heaters and pool pumps which simply operate in an on or off
      0158 View Heat/Cool/Auto mode.                           State using Sensors or timers to control their operational
      0159) Change Heat/Cool/Auto mode.                        state. The nodes 1.10 provide an entirely new level of
                                                               intelligence to each end device 1.08 and are designed to be
      0160 Activate/deactivate the fan.                        modular in nature So as not to burden the end point control
                                                               with more features or functions than it needs.
 0.161 AS discussed above, load control nodes 1.10C
provide two primary functions: 1) measure power consump         0168 Nodes 1.10 may be designed to retrofit existing
tion and instantaneous demand of an attached load and 2)       devices 1.08, as well as be fully integrated into the end point
control the load. In one embodiment, the load control node     at the time of manufacture of a device 1.08.
1.10C includes a means, e.g., one or more means (see below)
to allow the attached load to be connected or disconnected      0169. In one embodiment, there are three types of nodes
from main power. Alternatively, the load control node 1.10C    1.10: a load metering node 1.10A, a control node 1.10B, and
may be integrated and/or coupled to a controller of the load   a load control node 1.10C, as well as the gateway node
for control of its functions.                                  1.10D. Each type of node 1.10 has common basic features
 0162. In one embodiment, the load control node 1.10C          as well as optional Sub modules Such as Interfaces, Metering
may disconnect the load when a Supply request command is       or Control modules (see below).
received from the gateway node 1.10D and reconnect the          0170 The nodes 1.10 are designed to increase the opera
load when a cancel Supply request command is received          tional efficiency of even the most intelligent end use device
from the gateway node 1.10D. The load control node 1.10C       1.08 by giving it knowledge of the entire “utility' supply
may further provide Status information, e.g., State of load    chain that it is connected to, making it possible for the end
control means, when a Status request command is received       use device 1.08 to perform its given function more effi
from the gateway.                                              ciently and economically.
 0163. In one aspect of the present invention, a load           0171 As shown, each node 1.10 includes a node proces
metering node 1.10A is coupled to a site's electric meter      Sor 2.02. In one embodiment, the node processor 2.02 is a
1.30A. The load metering node 1.10A may accumulate time        microprocessor. The node 1.10 also includes a memory
Stamped cumulative consumption (kWh) data over a prede         device 2.04, Such as non-volatile memory, for Storing pro
termined period, e.g., 15 or 20 minute time periods and be     gram and other data, as needed. Each node 1.10 also
capable of Storing up to a predetermined period of time's      includes a two-way communications 2.06 channel for com
Worth of data, e.g., 10 dayS.                                  municating with other components in the system 1.02. The
 0164. The load metering node 1.10A is in communication        communications channel 2.06 may be either a hardwired or
with the gateway node 1.10D. The gateway 1.10D may             a wireleSS System. Any Suitable communications means may
query current accumulated consumption (kWh) from the           be used to communicate with the intended device. For
meter 1.30A and/or “instantaneous” load measurement (kW)       example, the two way communications channel 2.06 may
from the meter on request. "Instantaneous' can be deter        provide a means to communicate with other nodes 1.10 or a
mined by the capabilities of the meter. The gateway node       programming device 2.08. The programming device 2.08
1.10D can query the 15-minute interval data. Data values       may be used either at the site of manufacturing of the node
can be returned with a timestamp.                              1.10 or onsite to configure and/or program the node 1.10. In
 0.165 2. Nodes                                                one embodiment, the programming device 2.08 is coupled to
                                                               the node 1.10 through a communications port (not shown).
 0166 With specific reference to FIGS. 2A, 2B, 2C and          The two way communications channel 2.06 may also pro
2D, the interaction with the devices 1.08 located at the       vide communication to the gateway node 1.10D and/or the
customer site 1.04 is the node 1.10. The nodes 1.10 permit     other nodes 1.10A, 1.10B, 1.10C. The nodes 1.10 may be




                                                                            DC_PRIOR_ART_0000430
                                     DTX0219, Page 28 of 50
                                                  Appx10133
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US 2004/0117330 A1                                                                                          Jun. 17, 2004


connected in a network by the two way communications              determine the total power delivered to the metered device
channel 2.06. The network may either be a wired, wireless,        1.08A over a predetermined time period, e.g., 15 or 20
or a combined network.                                            minutes. The load metering node 1.10A includes a metering
                                                                  module 2.10 which is coupled to the metered device 1.08A
 0172 In one aspect of the present invention, the nodes           for measuring power delivered to the metered device 1.08A.
1.10 provide the system 1.02 with the ability to monitor and      This information is relayed through the gateway node 1.10D
control the operation of on Site distributed generation           over the two way communications channel 2.06 to the utility
resources, Such as a photovoltaic System (not shown). This        control System 1.12. In one embodiment, the metering
permits the System 1.02 to dispatch on Site capacity when the     module 2.10 includes a metering processor and memory for
demand and economics are favorable or the demand exceeds          calculating and Storing power data, Such as accumulated
the Supply creating an energy Shortage. The System 1.02 may       power consumption.
do this in conjunction with any other utility resource Such as
natural gas or propane that might be used to power the a           0176). In one embodiment, the metering module 2.10
device 1.08. This ability is further enhanced by a nodes 1.10     includes means, Such as one or more current transformers,
ability to communicate with a plurality of other similar          for measuring power delivered to (or from) the associated
nodes 1.10 or any other control, monitoring, configuration or     device 1.08.
management node attached directly or indirectly to the            0177. With specific reference to FIG. 2C, an exemplary
system 1.02 making it possible for individual nodes 1.10 to       control node 1.10B is shown. As discussed above, the
jointly share the energy management process among many            control node 1.10B is used to control the controlled device
devices 1.08 using a unique Set of decision criteria to           1.08. In the illustrated embodiment, the control node 1.10B
maintain the operation integrity of the customer Site 1.04 or     is coupled to the controlled device 1.08B by a controlled
any other Sphere of control, e.g., a plurality of nodes 1.10      device communications channel 2.12. In one embodiment,
acroSS multiple sites, while managing total demand, the           the control node 1.10 includes one or more relays (not
economics of the operation and the end use devices.               shown) for connecting and disconnecting the controlled
 0173. In another aspect of the present invention, the            device 1.08B from power. In another embodiment, the
System 1.02 permits communications outside the customer           control node 1.10 is interconnected to the controlled
site 1.04, permitting individual nodes 1.10 or a plurality of     device's 1.08B onboard controls. In this embodiment, the
nodes 1.10 in aggregation to intercommunicate with other          control node 1.10B directly controls the operation of the
control points which might include, but are not limited to,       controlled device 1.08B.
utility companies, energy Suppliers, other sites or groups of     0.178 With specific reference to FIG. 2D, an exemplary
Sites, other sites or points of operation under the same          load control node 1.10C is shown. As discussed above, the
ownership, energy and utility brokers, energy and utility         load control node 1.10C performs both the metering func
Service providers, independent power and utility producers,       tion of the load metering node 1.10A and the control node
distribution Sub Stations, transmission Sub Stations, Gas and     1.10B. Thus, the load control node 1.10C includes both the
Water well operator and any other point of control or             metering module 2.10 and the controlled device communi
management or Service organization associated with the Site       cations channel 2.12.
1.04, the end point device or the “utility” delivery network
Servicing it.                                                      0179 AS discussed above, each node 1.10, in its simplest
                                                                  form includes a processor 2.20 and a memory device 2.04
 0.174 As discussed above, each node 1.10 includes a two          within which control logic resides and runs. This control
way communications channel 2.06, which permits the node           logic, processor 2.02 and memory 2.04 provide the node
1.10 to intercommunicate with any other point or points           1.10 with the necessary control intelligence to manage its
within the system 1.02. This intercommunication may occur         asSociated load or generation resource as a Stand-alone point
with any other point within the system 1.02 and may be, but       or in conjunction with a plurality of other nodes 1.10
is not limited to, another associated Node 1.10, a control        locations as well as manage communications over the con
aggregation point or an outside point like an energy or utility   trolled device communications channel 2.12 (for control and
Supply point associated with the customer Site 1.03 or a          load control nodes 1.10B, 1.10C) and over the two way
control configuration, monitoring or management point. The        communications channel 2.06.
system 1.02 interconnects either directly or indirectly a          0180. In one aspect of the present invention, the gateway
plurality of nodes 1.10 and related Supply, monitoring,
configuration and management points to create a Secure            node 1.10D acts as a central control node, providing inter
                                                                  communications between the other nodes 1.10 at the cus
ubiquitous communications channel over which broadcast,           tomer site 1.04.
point to point, mesh and point to multipoint communications
can occur as well as any other communications necessary to         0181. In another aspect of the present invention, a plu
perform the energy management function. Because of the            rality of nodes 1.10, which may be located at a single
plurality of communications protocols and physical media          customer site 1.04 or across multiple sites 1.04, may be
over which data communications can occur, nodes 1.10 may          grouped for a Specific purpose, e.g., control of all pool
have multiple Two Way Communications Channels, permit             pumps in a defined geographic region or all pool pumps in
ting the best media and protocols to be implemented to            a PROGRAM in a defined geographic region. For the
achieve the desired end result.                                   plurality of nodes 1.10, a Single node, which may be a
 0175 With specific reference to FIG. 2B, an exemplary            gateway node 1.10D, may be chosen as the central control
                                                                  node.
load metering node 1.10A is shown. As discussed above, the
load metering node 1.10A measures the instantaneous power          0182. In one embodiment of the present invention, the
being delivered to the metered device 1.08A and may also          processor 2.02 and control logic provide the node 1.10 with




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                                       DTX0219, Page 29 of 50
                                                    Appx10134
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US 2004/0117330 A1                                                                                            Jun. 17, 2004


the ability to Sense what its current State of operation should   monitor and control the operation of its associated load or
be, based on commands received from the central control           generation capacity based on, but not limited to: the demand
node or gateway node 1.10D, either within the customer site       for the utility product, cost of the utility product, congestion
1.04 or within the aggregation control Sphere of the central      levels on the delivery System and/or their associated cost, for
control Node, and would manage the associated devices 1.08        electricity it would at a minimum, but not be limited to,
based on this control state. Each node 1.10 may also report       monitoring demand, usage, sign Wave frequency, Voltage,
back the status of the associated device 1.08, their energy       and for other utilities Such as, but not limited to, gas, Steam
usage or other utility consumption rate (based on measure         or water, it would, but not be limited to, measuring line
ment from the metering module 2.10), to the assigned              preSSure, ambient temperature and any other factors and
central control node 1.10.
                                                                  determine the best operating mode for its associated load or
 0183 Under this configuration, the nodes 1.10 may be             generation resource. Using parameters from a plurality of
cascaded from the central master control point down to the        measurement, monitoring and control points associated with
lowest level of control at an endpoint within the system 1.02     the utility delivery system, available to all nodes on the
using, but not limited to, a tree and branch or Star network,     network, the node 1.10 would manage its associated con
however deep the architecture dictates, to achieve the level      Sumption or generation demand and load on the "utility”
of control desired. Each Sub level of control would receive       delivery System in accordance with control parameters gov
control parameters or commands from its Subsequent higher         erning its operation, Supplied to it through a control point
level node 1.10 and would either directly control loads           configuration interface 2.16 and report any and all opera
attached to it or command nodes 1.10 Subordinate to it, to        tional data, Status and conditions back to one or multiple
achieve the desired control or management State. Through          asSociated measurement, monitoring and control points as
cascading control functions into a chain of command, higher       configured through the control point configuration interface
level nodes 1.10 can more effectively manage a plurality of       2.16. One example of a control point configuration interface
devices 1.08 without encountering Scaling limitations usu         2.16 is an input touch screen located on a device 1.08.
ally associated with automation control Systems managing a
plurality of loads from a central processor. By the nature of      0187. In both the simplest form or the enhanced imple
its design, the node 1.10 operating in a cascading control        mentation above or any other combination of nodes 1.10 and
network as described above would not be limited or fixed in       control points, the individual nodes 1.10 are capable of
its structure and nodes 1.10 could migrate dynamically from       controlling the operation of the associated load or generation
one "group' to another or move up or down in the cascade          capacity to shift, reduce or cap demand on the delivery
Structure to permit different control spheres and algorithms.     system or in the case of generation to dispatch the available
This unique architecture permits each node 1.10 to have a         capacity to help meet the demand and ensure the integrity
customized proceSS control program and data collection            and reliability of the delivery System. Based on triggering
criteria allowing its level of control and interaction with its   parameters, which include but are not limited to: the time of
asSociated load or generation capacity to be designed to          day, the total demand on the delivery System, the real time
meet the management control program objectives.                   cost of the utility, the full weighted cost of delivery includ
 0184. In addition, the process is further enhanced if the        ing congestion charges, the minimum operating character
load or generation point under the control of the control or      istics of the associated load or generation Source, the total
load control node 1.10B, 1.10C has its own operational            demand for the site 1.04, the total demand for the individual
control processor (not shown) which is interconnected with        nodes 1.10 within an aggregate group, externalities like
the node 1.10B, 1.10C over the controlled device communi          weather factors and the historical usage and demand patterns
cations channel 2.12 to provide operational State and control     of the individual node 1.10 and/or its aggregate group of
commands, run diagnostics and tests, operational health and       nodes 1.10, individual nodes 1.10 will determine their
performance data, and alarm conditions. Data from the             optimum operating characteristics and will operate their
controlled or controlled and metered device 1.08B, 1.08C          asSociated load or generation resource to improve those
being accessible to other nodes 1.10 or control or monitoring     operational and performance characteristics.
or measurement nodes associated with the system 1.02 for           0188 As discussed above in one embodiment of the
either direct use or transfer to nodes external to the network,   present invention, the load metering, control and load con
through whatever data transfer means are most Suitable for        trol nodes 1.10A, 1.10B, 1.10C communicate with the
the data type and priority level.                                 gateway node 1.10D through a wireleSS or radio frequency
 0185. With reference to FIGS. 2C and 2D, to manage the           communications link. With reference to FIG. 1D, when a
operation of basic consumption points like pumps, motorS or       node 1.10A, 1.10B, 1.10C comes online or powers up,
heating elements that are typically thermostatic, Valve or        including initial power up when the node 1.10A, 1.10B,
relay controlled, the control node or load control node           1.10C is being added to the system 1.02, an initialization
1.10B, 1.10C may include a mains coupler 2.14 which               process 1.32 must be performed. In first step 1.32A, the
permits the control node 1.10B or load control node 1.10C         gateway node 1.10D emits a beaconing Signal. Generally,
to attach or disconnect the load or generation capacity to the    the gateway node 1.10D continually emits the beaconing
mains or distribution network for the “utility” product used      signal. In a second step 1.32B, the node 1.10A, 1.10B, 1.10C
or generated by the end device 1.08B, 1.08C.                      receives the beaconing Signal and responsively generates a
                                                                  response Signal. In a third Step 1.32C, the node being
 0186. In another embodiment of the present invention,            initialized 1.10A, 1.10B, 1.10C joins the network of nodes
the node control logic or program would be capable of             1.10A, 1.10B, 1.10C through a handshaking routine between
receiving and processing data independent of Specific con         the gateway node 1.10D and the node being initialized
trols from a central control point and at a minimum would         1.10A, 1.10B, 1.10C.




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US 2004/0117330 A1                                                                                         Jun. 17, 2004


0189 In another aspect of the present invention, the              0196) The nodes are connected in a network (as described
control and load control nodes 1.10B, 1.10C are connected        above), but may operate autonomously or require direct
to the whole distribution channel up to the utility 1.06. The    commands to change their operational State. In one embodi
control and load control nodes 1.10B, 1.10C may receive          ment, the nodes 2.20 include basic logic so that if the node
data, control parameters, and PROGRAM schedules through          2.20 is severed from the network either intentionally or by
and/or from the gateway node 1.10D. Based on the received        accident, the node 2.20 will continue to perform their
data, control parameters and/or Schedules, the control and       management and monitoring functions to optimize their
load control nodes 1.10B, 1.10C may control operation of         attached loads performance based on the last known condi
the associated device 1.08.                                      tion of their associated utility Supply chain.
 0190. With reference to FIG. 2E, an example of the               0197). In its simplest form, the home 2.18, may participate
System 1.02 applied to a specific customer Site, i.e., a         in any number of conservation or demand limiting pro
residence or home 2.18 will be used to illustrate several        grams, i.e., Power Saving Programs or PROGRAMS. The
functions of the system 1.02. In the illustrated embodiment,     following illustrated how the nodes 2.20 may support these
the home 2.18 includes eight nodes 2.20 coupled to eight         PROGRAMS. However, the following should not be inter
devices 2.22.                                                    preted to limit the present invention to any such PRO
                                                                 GRAM.
0191) A load metering node 2.20A is coupled to a whole
house meter 2.22A. The whole house meter 2.22A could be           0198 By its nature of having a processor 2.02, memory
associated with revenue grade power (electricity), gas or        2.04, metering module 2.10, mains coupler 2.14, controlled
water. However for purposes of illustration, the whole house     device communications channel 2.12, two way communi
meter 2.22A is associated with electricity delivered to the      cations channels 2.06, control point configuration interface
home 2.18. The load metering node 2.20A monitors and             2.16 and the ability to communicate with and coordinate
reports the total house consumption of electricity. The load     operational and load management processes among a plu
metering node 2.20A measures and reports total consump           rality of end points, the node 2.20 may be programmed and
tion as well as instantaneous demand and records and report      configured to perform a plurality of control and interface
consumption in total. Furthermore, the load metering node        functions and is not limited or constrained in its ability.
2.20A may store interval data in non-volatile memory (see
above) in accordance with industry standards and System           0199 For example, the nodes 2.20 may be configured in
management requirements for the entire home to other             a Load Limit or Load Cap Program. The term load limit or
control nodes 2.20 within the home 2.18 and/or any other         load cap may be interpreted in this example to mean a limit
node associated with its aggregation group, the delivery         or cap on either the KW demand or the total cost of operation
Supply chain or any other node needing or authorized to          making this example either a physical energy usage or
receive or access it.                                            economic control process. Because of the optional metering
                                                                 capability of each node 2.20 and its ability to receive
 0.192 In addition, the home 2.18 has first and second load      economic data from the Supply chain Serving it, the node
control nodes 2.20B, 2.20C associated with its heating and       2.20 is capable of making decisions based on its rate of
air conditioning Systems one controlling the main living         consumption as well as the cost it is incurring at any point
space, i.e., the 1 floor HVAC system 2.22B and the other         in time.
controlling the second floor bedroom space, i.e., the 2" floor
HVAC system 2.22C.                                               0200 Under a Load Limit or Load Cap Program, the
                                                                 customer would commit to maintain their total demand for
 0193 Third, fourth and fifth load control nodes 2.20D,          any “utility Supplied product to a maximum demand level
2.20E, 2.20F are associated with a refrigerator/freezer          under an agreement with the Supplier. Under Such a Program
2.22D, an electric water heater 2.22E, and a well pump (for      the customer would be Subject to a billing rate, which
yard irrigation) 2.22F, respectively. Sixth and Seventh load     increases as the total demand for the product, increases. AS
control nodes 2.20G, 2.20H are associated with a roof            a result, the customer that manages to maintain their demand
mounted photovoltaic System 2.22G (comprised of a storage        in a flat pattern would have a much lower overall rate per
battery bank and inverter capable of generating 2500 watts       unit of “utility” product consumed than one that had erratic
of 240 V 60 hz A/C power for up to 12 hours) and a               usage patterns of peaks and Valleys. The reasoning for Such
dishwasher 2.22H.
                                                                 a program is that Suppliers of “utility’ products must commit
 0194 While the system 1.02 will work with any “utility”         to meet all demands on their System and therefore they
provided product Such as, but not limited to, gas, water,        reward consumers with consistent, managed consumption
electric or Steam, for ease of illustration electricity is the   patterns with lower rates, because to meet their needs they
only utility product being used in this example. Each node       do not have to have maintain large reserve margins. On the
2.20 in this example has control parameters Stored in its        opposite side of the Scale, they charge higher “demand
asSociated memory, which the control program for the node        charges' to those who do not manage their loads. As a result,
2.20 uses to determine the optimum operating characteristics     customers can lower their costs by maintaining a consistent
for the management of its associated load or generation          and flat load profile.
capacity.
                                                                  0201 In our example, it will be assumed that the cus
 0.195. In one embodiment of the present invention, a            tomer has agreed upon a maximum demand of 5,000 watts
gateway node 2.24 may be utilized to aggregate the premise       or 5 kW with its Supplier, the utility. AS mentioned earlier,
nodes 2.20 and consolidate the communications proceSS            this demand could just as easily have been a financial limit
and/or control processes with upper level nodes 2.20 or any      based on the fully loaded cost of delivering the utility
other nodes directly or indirectly in the system 1.02.           product to the point of consumption and may be set by the




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US 2004/0117330 A1                                                                                           Jun. 17, 2004


owner, customer or any other entity associated with the Site       0204. The first and second load control nodes 2.20B,
1.04 wishing to maintain cost control over the utility prod       2.20C for the HVAC systems 2.22B2.22C monitor and
uct.                                                              control the operation of compressors and resistive heating
                                                                  elements to maintain the indoor temperature. It also has the
 0202) The gateway node 2.24 acts as the gatekeeper for           ability to intercommunicate with the HVAC systems 2.22B,
usage and monitors and reports on the consumption and             2.22C directly and control the temperature Settings as well
demand for energy at the whole premise level. The gateway         as have direct control over multi Speed compressors and
node 2.24 could be, but is not limited to, a Single point node    emergency heat Strip operations using the controlled device
dedicated to just this site 1.04 as part of a tree and branch     communications channel 2.12 if the thermostatic control
control configuration or it could be a node which is part of      unit of the home 2.18 has a communications interface. This
an aggregate group of homes in a Star network. By its nature,     communications channel 2.12 also permits it to report on the
the gateway node 2.24 will monitor and Store consumption          Systems 2.22B, 2.22C operational characteristics and con
and demand information and report it to other nodes 2.20 in       tact the customer, outside Service providers or the manufac
the network within the home 2.18, as well as nodes outside        turer if any segment of the HVAC systems 2.22B, 2.22C
the home 2.18 Such as a central control node for the home         malfunction using the two way communications channels
2.18 or aggregation group, energy providers, energy brokers,      2.06 either directly or through a cascade of nodes 2.20. The
energy Service providers, ISO's and other authorized agents.      load control nodes 2.20B, 2.20C for the HVAC systems
As the total demand for the home 2.18 approaches the              2.22B, 2.22C would utilize the metering modules 2.10 to
agreed upon energy consumption limit of 5 kW, the rate of         monitor and report on the systems 2.22B, 2.22C rate of
consumption data flowing from the gateway node 2.24 over          consumption of utility energy units but would not need the
the two way communications channels 2.06 would be                 mains coupler 2.14 if it was managing the Systems 2.22B,
received at a minimum by either the individual nodes 2.20         2.22C operation through the controlled device communica
within the home 2.18 or by a central aggregation node in          tions channel 2.12. Depending on the total demand for
more elaborate implementations. Based on parameters pro           energy units of the home 2.18, the node 2.20 may have the
Vided to each node 2.20 through the control point configu         ability to manage the temperature within the home 2.18
ration interface 2.16 or master control node parameters           based on customer's Supplied parameterS Supplied through
provided to an aggregation control node through the control       the control point configuration interface 2.16 to cause the
point configuration interface 2.16 the load reduction, Shift      HVAC systems 2.22B, 2.22C to reduce total demand and
ing and management process would be initiated. Based on           could based on a priority Setting maintain Separate control
the amount of load reduction needed, different levels of          parameter for each HVAC system 2.22B, 2.22C depending
action may be taken to reduce the total demand utilizing          on the time of day and occupancy Status. To further enhance
priority Shedding parameters which would result in the least      its operation efficiency, the load control node 2.20B, 2.20C
important load in the group to perform a reduction function       associated with each HVAC system 2.22B, 2.22C may
if operating and report the results followed by the Subse         SuppreSS the operation of Secondary compressor operating
quently higher levels within the group until the total demand     Stages and restrict the use of emergency resistive heat Strips
for the site 1.04 was reduced to an acceptable level. The         provided that the temperature recovery within the site 1.04
reverse process may initiate as the total load of the site 1.04   was progressing at a Satisfactory rate. This capability per
dropped below known levels of individual load consumption         mits the system 1.02 to operate at standard efficiency when
rates permitting previously shed or reduced loads to resume       the Supply and associated cost of energy is low while greatly
normal operation without exceeding the agreed upon                improving the operational efficiency of the System 2.22B,
demand cap. In addition, any device 2.22 which was shed           2.22C when the Supply and associated cost of energy is high.
due to its low priority in the demand prioritization Scheme       Using a plurality of optional parameterS Supplied by the
could increase its priority based on its minimum operating        customer, the energy provider and the gateway node 2.24,
control parameters and cause its priority to be increase to a     the system 2.22B, 2.22C would be capable of determining
point that it will force a once higher priority load to become    which mode of operation it should be implementing and
Subordinate to it and thus Swap its shed Status with a device     control the overall consumption of the HVAC system 2.22B,
2.22 of equal or greater load value to meet its minimum           2.22C to achieve the desired consumption goal. By varying
operational requirements.                                         the operational parameter for the control of the System, the
                                                                  load control node 2.20B, 2.20C may choose, but not be
 0203 This simplistic example is only to illustrate how a         limited to, Selecting a higher level on comfort over cost; vary
Simple load reduction might be accomplished using the node        the rate of temperature change differently based on cost and
2.20. In this example, the Stored energy available in the         occupancy Status, totally restrict the operation of Secondary
photovoltaic System's 2.22G Storage batteries would most          States of compressor operation or emergency heat Strips
likely be dispatched first to offset the use of grid provided     based on energy Supplier critical load level Signals or total
energy to meet the Site’s 1.04 energy needs verSuS Shedding       premise consumption cap level attainment; modify the tem
load if Sufficient Stored energy was available. To complete       perature Setting or Suspend the Systems 2.22B, 2.22C opera
this example, the actions performed at each of the nodes 2.20     tion for a specified period of time under energy Supplier
in the home 2.18 will now be examined individually. It            critical load situations or total premise consumption cap
should be noted that control can exist at the individual node     level attainment, alternately cycle multiple units in a Site
level as illustrated by this example or could exist at the        1.04 to avoid multiple units operating Simultaneously; per
aggregation node level or at any high level in the overall        form pre-cooling or pre-heating prior to higher pricing or
node cascade depending on the deployment architecture and         demand periods being in effect; perform Smooth and gradual
node processor control programming and control parameters         temperature change Setting in periods of moderate increased
chosen by the implementer.                                        demand or price and more radical temperature change




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US 2004/0117330 A1                                                                                             Jun. 17, 2004


Setting in periods of rapid increased demand or price;             time to Schedule a refill by the provider balanced against the
over-ride all controls and operate as normal causing other         projected quantity of propone the Site 1.04 will consume
nodes 2.20 to carry the full burden of any load reductions         between the current time and predicted refill schedule time
necessary, cease operation until the indoor environmental          all must be factored into alternative fuel usage as part of the
condition reaches a parameter Set maximum critical level or        Supply chain balancing logic.
any other action programmed into the node 2.20B, 2.20C.             0208. The fifth load control node 2.20F for the well pump
This and other combinations of load curtailment and control
negotiated between the nodes 2.20 in the home 2.18 or              2.22F has direct control over the operation of the well pump
aggregation control group are monitored and reported by the        2.22F and operates the well pump 2.22F based on param
central control point or the gateway node 2.24 to alert nodes      eterS Supplied to it through the control point configuration
within the home 2.18 or aggregation group of the total load        interface 2.16. The parameters may include the run time
level, demand, cost of energy and delivery, congestion costs       requirements and preferred times of operation, established
and other related control parameter triggerS.                      by the customer as well as network node updates, which
                                                                   could include weather information relating to local precipi
 0205 The third load control node 2.20D for the refrig             tation. Sensor input could be present using the local com
erator/freezer 2.22D monitors consumption of the refrigera         munications channel (controlled device communications
tor/freezer 2.22D using the metering module 2.10 and also          channel 2.12), which could provide precipitation input or
communicates directly with the processor controls of the           ground moisture content. It is important to note at this point
refrigerator/freezer 2.22D using the controlled device com         that the controlled device communications channel 2.12 may
munications channel 2.12 to determine the operational Status       be used to not only communicate with other node processor
of the refrigerator/freezer 2.22D and to provide over-ride         2.02 embedded into associated loads or generation, but also
controls for normal default functions like defrost cycles          has the ability to interface with analog to digital processors
when they might be delayed to reduce overall demand. This          or devices or any other form of communicating Sensor or
communications channel 2.12 also permits the third load            node to supply inputs to the node 2.20F. This channel 2.12
control node 2.20D to report on the refrigerator/freezer's         enhances the operational control logic for items like pumps
2.22D operational characteristics and contact outside Service      that have no embedded process controllers or Sensors. In a
providers or the manufacturer if it malfunctions using the         Similar fashion however, this communications channel and
two way communications channels.                                   communicating Sensors can be used in conjunction with
 0206. The fourth load control node 220E for the water             embedded process controllers to enhance their operation and
heater 2.22E monitors and reports on consumption and               performance to even greater levels where practical.
demand for the water heater 2.22E using the metering               0209. On site generation, while not prevalent today, is
module 2.10 and also has the ability to directly control when      being promoted by State and Federal regulatory agencies,
the water heater 2.22E is connected to the utility Supply          utilities, DOE and others concerned with maintaining a high
chain or not through the use of the mains coupler 2.14 which       level of reliability and integrity in the electric delivery
permits the fourth load control node 2.20E to connect or           Systems. In particular, renewable generation resources are
disconnect it from the utility Supply. In more elaborate           being promoted, as they have no environmental impact and
implementations the fourth load control node 220E may use          do not consume any natural resources. Solar and wind
the controlled device communications channel 2.12 and the          generation are the most common of these power generation
metering module 2.10 to monitor the rate of water usage, the       resources. Due to the relatively low capacity output of Solar
input water temperature and the Stored water temperature           and wind generation Systems, to be effective in offsetting
available within the water heater 2.22E. These advanced            peak demands for power, they must have an associated
features add intelligence to the process of water heating          Storage System into which they can Stockpile power in
improving the operational efficiency of the water heating          relatively low input quantities and then retrieve it in bulk
proceSS and improving the energy demand pattern for the            when necessary. The most common form of bulk power
water heater 2.22E. If So equipped, the water heater 2.22E         Storage today are wet cell, deep cycle, active glass mat, lead
may be interconnected to a heat recovery System of the             acid batteries, which can be connected in parallel and Series
HVAC system 2.22B, 2.22C and if demand for heating water           to create an electric Storage facility of Virtually any capacity
can be accomplished through the heat recovery System               and Voltage. Great improvements have been made over the
Versus energizing the heating elements within the water            years in battery and inverter/charger technology. Companies
heater directly, the nodes 2.20 of these devices 2.22 or a         like Hart, SignWave, Balmar and Trace are leaders in the
central control node for the home 2.18 would coordinate and        battery charger/inverter market. By using embedded proces
execute that collaborative action thus reducing the total          Sors, Sensors and Solid State power converters, these com
demand for the home 2.18                                           panies have Systems which can Store DC power into battery
 0207. At this point it should be noted that water heaters         Storage Systems at 12, 24, 36 and 48 volts and then retrieve
can be recharged in multiple ways using either waste heat          it on demand and convert it to 120 V or 240. AC power at
                                                                   60 hz with utility quality and reliability. Companies like
from a heat or fuel cell or other on Site generation unit. More    Trace already manufacture and market Inverter Systems that
advanced water heating Systems in the South would benefit          manage photovoltaic arrays attached to battery Storage SyS
from using Solar panels in conjunction with other forms of         tems that not only can be used to Supply or Supplement the
regeneration to eliminate any load on the energy delivery          needs of a residential home, but can safely Sync and connect
System. It is important to note that in the case of Solar panels   to the utility grid and sell power back to the utility at levels
and propane the Supply chain is limited to the premise             and for time periods Specified by the owner.
geography but would be effected by the weather in the case
of Solar and by the market price for propane. In the case of        0210 While photovoltaic systems have come a long way
propane other factors like the quantity on hand and the lead       in the past 15 years, they are limited in their energy




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US 2004/0117330 A1                                                                                             Jun. 17, 2004


management capability and need the addition of the inven           1.10 being fed information directly from the supply chain,
tion to manage the Storage and conversion process from DC          i.e., the utility, regarding the availability and/or cost of
to AC to make them part of a fully integrated energy               energy, the device 1.08 may make decisions based upon this
management system. The load control node 2.20G with its            information. For example, functions of the device 1.08 may
ability to communicate with other nodes 2.20, Sharing load         be delayed and re-scheduled for another time. Or a different
and control data and managing demand within a Site 1.04 or         more energy efficient mode may be chosen.
other group permits on Site generation resources like the           0217. In another aspect of the present invention, energy
Trace power inverter to provide maximum benefit to the             consumption for a device 1.08 may be trended or otherwise
customer, the energy industry and the environment.                 compared with predetermined threshold to detect and/or
 0211) The seventh load control node 2.20H for the dish            predict a failure or need for maintenance. For example, if the
washer 2.22H meters and monitors the dishwasher 2.22H              door of the refrigerator 2.22D was left open, energy con
and communicate with its embedded control processor                Sumption would increase. If energy consumption was
through the controlled device communications channel how           increasing, the rate of increase could be compared with a
ever in most cases would not require the mains coupler 2.14.       predetermined value and an alert or message generated if the
With the addition of the load control node 2.20H, the              rate met or exceeded a predetermined value. Alternatively,
dishwasher 2.22H may be capable of performing its desig            the rate of consumption could be directly compared with a
nated function at the best time and in the most efficient          predetermined value to determine if an error or malfunction
manner to meet the needs of the customer while interacting         existed. In another example, if the filter of the pool pump
with all of the other nodes 2.20 in the home 2.18 to meet the      1.30B becomes clogged, the pool pump 1.30B will begin to
contractual obligations of the energy demand cap under             work harder. This may also be seen through analysis of the
which it must operate. In this example, the node 2.20G may         energy consumption of the pool pump 1.30B.
be a retrofit device attached to the embedded controller of
the dishwasher 2.22H or may be fully integrated into the            0218. In still another aspect of the present invention, a
embedded processor thus reducing the overall cost of the           control node 1.10B or load control node 1.10C may be
combined Systems by Sharing processor and memory com               linked to one or more Sensors (not shown) which sense
ponents.                                                           parameters of the corresponding device 1.08B, 1.08C. The
                                                                   sensors may currently exist or be a part of the device 1.08B,
 0212. The system, as described above, is designed to              1.08C or be added to the device 1.08B, 1.08C. For example,
integrate all “utility consuming and generating resources          the water heater 1.30C of the above example may have a
over a plurality of network media and designs to create            water temperature Sensor. Readings from the water tempera
dynamically defined and reconfigurable groups of any size          ture sensor may be received by the control node 1.10B or the
and provide them with the ability to collaborate and inter         load control node 1.10C and used in determined how to
communicate to manage the demand on the delivery System            control the water heater 1.30C. For example, if the water
and Supply chain of “utility providers and their products.         heater's 1.30C control is instructing the water heater 1.30D
 0213 AS discussed more fully below, alerts or message             to heat the water contained therein (based, at least in part, on
may be sent to the utility 1.06 and/or the customer (via email     the water temperature), the water heater 1.30C may first
or the customer interface 1.14) and/or the service provider        check with the associated load control node 1.10C to deter
and/or a maintenance provider.                                     mine if it should proceed. The load control node 1.10C may
 0214. In one aspect of the present invention the control          approve or not approve based on a number of factors,
and/or load control node 1.10B, 1.10C receives information         including as indicated above, a characteristic of the elec
related to a characteristic of the commodity Supplied by the       tricity Supply and/or cost or relative cost of electricity, as
utility 1.02, i.e., electricity, and controls operation of the     well as the energy requirements of other devices 1.08 within
controlled or controlled and metered device 1.08B, 1.08C. In       the home 2.18 (or devices 1.08 at other sites).
one embodiment, the characteristic is related to the avail          0219. In another aspect of the present invention, a device
ability of electricity. In another embodiment, the character       1.08 may be a storage system or an inverter system. For
istic is related to the cost or relative cost of electricity.      example, the device 1.08 could include one or more batteries
 0215 For example, using the exemplary home 2.18 dis               (not shown) coupled to the power transmission network by
cussed above, if the refrigerator 2.22D was scheduled or           a load control node 1.10C. When energy is relatively less
otherwise needed to initiate or perform a defrost cycle, the       costly or more available, e.g., during non-peak hours, the
onboard refrigerator controls may query the associated load        load control node 1.10C could control a mains coupler 2.14
control node 2.20D to determine the cost or relative cost of       to provide energy to the batteries. During peak periods, the
electricity. The cost may be expressed as an actual value, i.e.,   load control node 1.10C may then control the mains coupler
dollars per unit electricity, or as an relative classification,    2.14 to reverse and direct energy from the batteries to other
e.g., high or low or peak vs. non-peak time periods. Based         devices 1.08.
on the received cost or relative cost, the onboard controller       0220. In another aspect of the present invention, the
of the refrigerator 2.22D may decide to either whether to          system 1.02 allows the devices 1.08 working with their
perform the defrost cycle or to postpone the defrost cycle. In     asSociated nodes 1.10 to make joint decisions based upon the
one embodiment, this decision may be based on a simple             information received from the Supply chain. For example, if
comparison between the actual cost and a predetermined             a curtailment PROGRAM affects a group of pool pumps
value which may have been input by the customer. In other          within a certain geographic region, limiting each pump's run
words, if the actual cost were above the predetermined             time to 15 minutes per every hour. Each pump and/or
value, then the Scheduled action would be postponed.               corresponding load control nodes 1.10C may determine
 0216) In one embodiment of the present invention, each            which pumps will run during each 15 minute Segment of
device 1.08 has an integrate node 1.10. By virtue of the node      each hour.




                                                                                DC_PRIOR_ART_0000436
                                       DTX0219, Page 34 of 50
                                                     Appx10139
     Case: 23-1101                     Document: 15                 Page: 321             Filed: 05/09/2023




US 2004/0117330 A1                                                                                            Jun. 17, 2004


 0221) In still another aspect of the present invention, the         0229. With particular reference to FIG. 3B, in another
customer may set a limit for the total power demand for the         aspect of the present invention the thermostat 1.30D forms
home 2.18 during any given period, e.g., 5000 Watts. The            part of a temperature and environmental Sensing and control
gateway node 1.10D receives the total current demand, i.e.,         system 3.08. In this aspect of the present invention, the
power being used, on a real-time basis. Thus, if another            thermostat 1.30D is a node having a node processor 2.02,
device 1.08 in the home 2.18 wanted to perform a function,          memory 2.04 and two-way communications channel 2.06.
the device 1.08 (through the associated node 1.10) may              AS Shown, in the illustrated embodiment, the thermostat
query the gateway node 1.10D for permission. If the                 1.30D is coupled to the nodes 1.10 at the customer site 1.04
requested function would cause total demand to exceed this          through the gateway node 1.10D. The thermostat 1.30D is
amount (or come within a predetermined threshold), the              also coupled to one more Sensors 3.10 which are adapted to
gateway node 1.10D may not allow the device 1.08 to                 Sense one or more parameters related to indoor or Outdoor air
perform that function.                                              quality. Based on the sensed data, the thermostat 1.30D
 0222. In a further aspect of the present invention, the            controls other devices 1.08 to manage air quality. The
customer or System 1.12 may set up a desired operating              managed devices may include one or more HVAC systems,
parameter for a particular device 1.08. For example, the            air cleaners or electro-Static filters, fans, humidifiers, de
customer may indicate that he wants the pool pump 1.30B             humidifiers, damper and fresh air input ducts, and ionization
to operate for a given period of time each day, e.g., eight         devices or at type of device 1.08 which may affect air
hours. In one embodiment, the system 1.12 will schedule the         quality.
operation of the pool pump 1.30B based on the information            0230. In one embodiment the sensors 3.10 include an
received from the Supply chain, e.g., the cost or availability      indoor air temperature Sensor 3.10A and a humidity Sensor
of electricity.                                                     3.10B. In another embodiment, the thermostat 1.30D may
 0223) 3. Advanced Thermostatic Control Device                      also include Sensors 3.10C for measuring and/or Sensing one
                                                                    or more of the following: outside temperature, UV intensity,
 0224 AS discussed, in one aspect of the present invention          wind direction and speed, relative humidity, wet bulb ther
the thermostat 1.30D is an advanced thermostatic control
device linked to the power distribution network. The ther           mometer, dew point. In Still another embodiment, the ther
mostat 1.30D is also linked to the nodes 1.10 within the            mostat 1.30D may receive external information through the
customer site 1.04 either directly or through the gateway           gateway node 1.10D, such as information related to the local
                                                                    weather forecast.
node 1.10D and receives information from and regarding the
power distribution network and the devices 1.08. As a result         0231. In a first embodiment of the present invention, the
of the availability of information from up and down the             temperature and environmental Sensing and control System
supply chain, the thermostat 1.30D may more efficiently             3.08 will manage indoor air temperature. In a second
manage and offer additional functionality to the user.              embodiment, using the Sensor data and/or external informa
 0225. In one aspect of the present invention, the thermo           tion, the temperature and environmental Sensing and control
stat device 1.30D receives information related to a charac          system 3.08 will manage the air quality and humidity in the
teristic of the energy being Supplied and displays the char         Site 1.04 by controlling the operation of the appropriate
acteristic on the display 3.04. In one embodiment, the              heating, filtration, conditioning and cooling equipment in
characteristic is related to the availability of the energy. For    conjunction with damper and fresh air input ducts, electro
example, the characteristic could be either “peak' or “non          Static filters and ionization devices to maximize comfort and
peak' hours. If the power distribution network was operat           indoor air quality.
ing during peak hours, “PEAK could be displayed on the               0232. In one aspect of the invention, the system 3.08 will
display 3.04. Or if the power distribution network was              manage the available environmental conditioning devices
operating during non-peak hours, “NON-PEAK could be                 1.08 to maintain the optimum temperature, humidity and air
displayed on the display 3.04.                                      quality conditions based on user defined minimum and
 0226. In another embodiment, the present invention, the            maximum values for comfort indices and price of energy
characteristic may be related to the cost of the energy or          indices.
electrical power being Supplied. For example, the charac             0233. In another aspect of the present invention, the
teristic could be the actual cost of a specified unit of energy.    System would be able to Switch between energy types, e.g.,
The actual cost could be displayed on the display 3.04.             electric verSuS gas for environment heating and would also
Alternatively, the characteristic could be a relative cost, i.e.,   have the ability to Switch Suppliers based on the asking price
is the actual cost near or about a baseline cost, or above or       of the energy Suppliers or brokerS Serving the location.
below the baseline cost.
 0227. With specific reference to FIG. 3A, in the illus              0234. In still another aspect of the present invention, the
trated embodiment, the cost or relative cost may be dis             system 3.08 would balance two primary factors. First, the
played to the user graphically. In other words, the cost could      system 3.08 would maintain the environment within user
be displayed using a one or more symbols (shown as “S”).            defined acceptable minimum and maximum values for one
The number of Symbols are related to the cost, i.e., the more       or more air quality parameters, for example, air temperature
Symbols displayed the greater the actual or relative cost. For      and/or humidity. Second, the system 3.08 also vary these
example, the thermostat 1.30D may use a scale from 1 to X           acceptable parameters based on user defined preferences
Symbols. X could be any number, e.g., 4 or 10.                      and/or price points and and/or historical data (see below) to
 0228. The user, in viewing this information, could make            achieve the optimum environmental conditions.
an informed decision on where to Set the desired temperature         0235) To provide feedback to the user, the system 3.08
(or setpoints) using the control panel 3.02.                        may also record the number of energy units (energy units as



                                                                                DC_PRIOR_ART_0000437
                                        DTX0219, Page 35 of 50
                                                      Appx10140
     Case: 23-1101                    Document: 15                Page: 322              Filed: 05/09/2023




US 2004/0117330 A1                                                                                           Jun. 17, 2004


used here include for examples: kilowatt hours, BTU's,            example, the system 3.08 would not initiate cooling until the
Therms, and Jules but is not so limited) used as a function       actual temperature reached 77 degrees or would not initiate
of time for each of the devices 1.08 monitored and/or             heating until the actual temperature reached 67 degrees.
controlled by the system 3.08. Furthermore, the system 3.08        0241. In another aspect of the present invention, the
may report back detailed consumption data as a function of        variable dead band of operation of the system 3.08 may be
time and Summarize these details to provide at a minimum,         directly tied to the cost of energy and the customer's
daily averages for any user defined period, monthly totals, as    WillingneSS to pay. For example, a fixed Set point to a cost
will as track the costs of each energy unit consumed per          of energy may be set and an optimal ramp rate based on a
period and provide detailed and average daily cost for any        time and temperature differential to achieve Savings. Alter
user defined period as well as monthly totals.                    natively a user defined ramping rate Such as 1 degree per 30
 0236. In one aspect of the present invention, the system         minutes to modify the temperature set point of the site 1.04
3.08 may be capable of communicating with the devices             to reduce the operation of the heating or cooling System
1.08 which have associated control or load control nodes          during periods of high energy prices may be defined.
1.10B, 1.10C, beyond its primary management function of            0242. In one aspect of the invention, the system 3.08
the environmental air management Systems permitting each          manages comfort for the customer Site 1.04 by learning from
control node point within the site 1.04 or other sphere of        the user's inputs or adjustments to the system 3.08 to change
control up to and including the entire utility Supply chain, to   or modify indoor air temperature. This learning process
use the same economic modeling techniques and controls            alters the operation of the system 3.08, freeing the customer
that it uses to manage their primary functions.                   from having to make changes to manage the indoor envi
 0237) The thermostat 1.30D is the customer or user's             ronmental condition. To accomplish this, the system 3.08
primary interface with the system 3.08. As discussed above,       must actively monitor and control not only the temperature
the thermostat 1.30D will be capable of displaying to the         setting in the home 2.18 but may also monitor and actively
user the current cost of energy as well as its relative cost as   control the humidity levels.
a graphical or numeric value (1-10) or (SSSSSSSSS) where           0243 In one embodiment, the system 3.08 determines the
1 is low and 10 is high or S is low and SSSSSSS is high.          effective temperature to accommodate changes in the indoor
 0238. In another aspect of the present invention, the            humidity Settings. For example, if the customer initially Sets
system 3.08 may also display on the display screen 3.04.          the thermostat at 72 degrees F., the system 3.08 senses the
energy efficiency data. The energy efficiency data may used       indoor humidity level and maintains a relationship between
to indicate, based on control parameters set in the System        the temperature and humidity level Sensed. AS the humidity
3.08, how energy efficient the management protocol and            level of the home 2.18 rises in Summer, the set point would
control parameters capabilities are. This relative efficiency     remain at 72 degree F., however, the effective setpoint that
data may relate to the Site’s 1.04 performance on a Standa        the system 3.08 must maintain is automatically lowered to
lone basis or may be tied to a comparison group against           maintain a consistent level of comfort. As a default param
which relative efficiency can be determined or both. This         eter, the system 2.18 may have to lower the effective set
data indicating the relative and actual cost of energy and        point from that established by the customer by 3 degrees F.
effiency can also be communicated to other remote devices         for every 10% of relative humidity that is sensed to retain the
1.08 like TV screens, or other display devices (at the site       comfort level in the site 1.04. On the opposite side of the
1.04 or remote) which are capable of communicating and            control algorithm, as a default parameter, the effective Set
displaying information. These devices 1.08 may includes but       point would be raised by 3 degrees F. for every 10%
are not limited to appliances with displayS or indicator lights   reduction in sensed humidity within the home 2.18 to
                                                                  maintain the desired comfort level in winter. The ratio of 3
to reflect the cost of energy or any other means available at     degrees F. + or - is a default Setting and would be modified
points of consumption or Stand along means to inform the          as needed based on the user's changes to the Set point at the
customer of the relative and actual cost of energy and their      thermostat 1.30D. Changes to the effective set point as it
relative energy efficiency level. The system 3.08 may also        relates to the Sensed humidity therefore may be increased of
manage, report and track its energy unit usage and interface      decreased from the default ratioS permitting the control
with energy unit Suppliers via a communications channel. In       algorithm to learn the user's individual preferences and over
one embodiment, the system 3.08 controls will be located at       time, eliminate the need for the Site 1.04 occupant to make
the site 1.04, while the processors for modeling and man          any changes.
aging the Sources and types of energy units to be utilized and
committed to can be local or distributed and operate over a        0244. In another aspect of the present invention, the
communications network without regard to the actual loca          system 3.08 allows one or more occupancy modes to be
tion of or distance from the site 1.04.                           defined and/or modified and/or utilized by the user. The use
                                                                  of different occupancy modes would assist in achieving a
 0239). In one aspect of the invention, the user may set a        reduced level of demand on the energy delivery System as
temperature Setpoint, i.e., a desired temperature and the         well as reduce the total cost of operation site 1.04. In one
System 3.08 based on the temperature setpoint, Sensed data,       embodiment, the occupancy modes may be defined or modi
as well as the user's historical use of the system 3.08 may       fied through the user interface 1.14 (see below) and activated
determine an effective setpoint. The system 3.08 may then         through the thermostat 1.30D and/or the user interface 1.14.
control the devices 1.08 as a function of the effective           Examples of possible occupancy modes include: home,
Setpoint.                                                         away, weekend, weekday, holiday. Specific modes may also
 0240 The temperature setpoint may have an associated             be defined for different users.
“deadband'. For example, a temperature setpoint of 72              0245. The system's 3.08 performance and energy reduc
degrees may have a deadband of +/-5 degrees. In this              tion capabilities are further enhanced during all periods by




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                                       DTX0219, Page 36 of 50
                                                    Appx10141
        Case: 23-1101                 Document: 15                 Page: 323              Filed: 05/09/2023




US 2004/0117330 A1                                                                                             Jun. 17, 2004


applying the most energy effective Set point or its related off    FIG. 3C to illustrate how the tiers would be used by a
Set if the occupancy mode is “vacant' and applying the             energy Supplier to Signal the customer and the System about
comfort management off Set if the occupancy mode is                the relative cost of energy.
“home”. This occupancy sensitive control is further                 0251 This feature is applicable to the systems 3.08
enhanced by the addition of occupancy Sensing devices that         described above when either a fixed Set point is used or can
communicate with the system 3.08.                                  further improve the ability of the system that utilizes the
 0246. In still another aspect of the present invention, the       programmable Set point feature to expand the operating
system 3.08 may determine the time necessary to recover            efficiency of the heating and/or cooling Systems while
from a one occupancy mode to another mode. In another              reducing the total demand on the energy delivery System. By
words, this recovery time at which a transition or recovery        combining the price data with preconditioning of the Site
process is to be initiated if the system 3.08 is set to a          temperature and humidity levels and further applying the
“recover by time versus the default of “start recovery at”         occupancy mode of the Site, additional Savings as described
time.                                                              above can be achieved. As a direct result, if deployed in
                                                                   Sufficient quantities in a geographic area, price volatility in
 0247 The system 3.08 may be enhanced by having                    energy prices can be reduced.
access to energy pricing data. Energy price information is
used by the system 3.08 to predict the total cost of operation      0252) In one aspect, the system 3.08 manages comfort by
at the site 1.04 for maintaining the environmental comfort.        balancing humidity and temperature based on its learned
Forward projection of pricing enables the system 3.08 to           preference Setting using customer inputs or using System
determine the optimal humidity and temperature Settings            defaults. This ability to manage temperatures is enhanced by
that can be achieved for the site 1.04 and perform humidity        including a economic management System built into the
level increases in the case of heating or humidity level           system 3.08 which will direct the operation of the devices
decreases in the case of cooling So that the effective Set point   1.08 System to achieve customer desired economic goals.
can be either lowered in the case of heating or raised in the      This example of how the System can manage costs and
case of cooling, permitting the heating or cooling System to       comfort Should not be construed as limiting or constraining
run leSS during periods of higher prices. This ability to          the ability of the system 3.08 to deliver additional benefits
precondition the Site in anticipation of increased pricing on      of comfort or cost management.
average will reduce the total energy bill for the site 1.04.        0253) To begin the process the system 3.08 tracks and
 0248 Energy pricing information may be entered by the             learns about the thermal gain characteristics of the home
customer, be pre-established as part of an energy Supplier         2.18. To do this, the system 3.08 tracks the thermal gain rate
program or be set to a default value designed to create a          of the home 2.18 for each set point selected over time by the
balance of comfort and Savings.                                    customer. With reference to FIG. 3D, a thermal gain table
                                                                   for two set points is illustrated. FIG.3d shows two set points
 0249. With reference to FIGS. 3C-3G, one implementa               for the home 2.18 that the thermostat 1.30D has recorded.
tion of the above described system 3.08 will now be                The first set point for which data is available is 72 degrees
explained. The graph of FIG. 3C, depicts how, as energy            F. The three trends illustrated as lines 3.12A, 3.12B, and
prices rise, the ability of the system 3.08 to manage the          3.12C plot the thermal rate of gain in the site 1.04 for
indoor air temperature may be managed. In the graph of             different outside temperatures. On the day represented by
FIG. 3C, three scenarios are presented, however the present        line 3.12A the outside temperature was 99 degrees F. On the
invention is not limited in the number or type of Scenarios        day represented by line 3.12B, the outside temperature was
that might be offered or exist with any given implementa           90 degrees F. On the day represented by line 3.12C, the
tion. In the illustrated embodiment, the three Scenarios are       outside temperature was 77 degrees F. The next set point for
maximum Savings, balanced Savings and comfort, and maxi            which data is illustrated is the set point of 76 degrees F. The
mum comfort. For each user Selected Scenario, the System           three trends shown as lines 3.14A, 3.14B, and 3.14C illus
3.08 has a predetermined default offset (which defines the         trate the thermal rate of gain in the home 2.18 for the same
deadband). Additionally, the offset may vary as a function of      outside temperatures plotted in the 3.12A, 3.12B, 3.12C data
a characteristic of the Supplied energy, e.g., availability        points. This illustration is used to show the impact the Set
and/or price. In the illustrated embodiment, different offsets     point versus outside temperature differential has over the
are defined for energy Supply classifications of low, medium,      thermal gain rate in the home 2.18. While these graphs are
high, and critical.                                                drawn to illustrate the rate of thermal gain, they do not depict
                                                                   the rapid initial gain when the differential is large and the
 0250 Because some energy Suppliers offer what is                  slower rate of thermal gain, which occurs as the indoor
known as time-of-day pricing in their tariffs, the illustrated     temperature reaches the outside temperature. This rate if
price points could be tied directly to the tariff structure for    thermal gain change is illustrated in FIG. 3D as plot line
the energy Supplier. If real time pricing is offered by the        3.16 which shows the thermal gain for a set point of 74
energy Supplier Serving the Site 1.04, this same temperature       degree F. and an outside temperature of 90 degrees F.
allowed variance could be utilized to generate Savings and
reduce Supply chain demand. Another load management                 0254 The second step is to learn the operational run
program offered by energy Supplier utilizes price tiers which      characteristics of the HVAC system as a function of the
the utility manages dynamically to reflect the total cost of       thermal gain. Since the outside temperature varies continu
energy delivery to its customers. These tiers provide the          ously during a typical day, the rate of thermal gain and the
customer a relative indicator of the price of energy and are       HVAC run times also vary in accordance with these changes.
usually defined as being LOW, MEDIUM., HIGH and                    FIG. 1E illustrates a typical day showing plot lines for the
CRITICAL. These 4 tiers are Superimposed in the graph of           thermal gain rate and the associated HVAC run time. It




                                                                                DC_PRIOR_ART_0000439
                                       DTX0219, Page 37 of 50
                                                     Appx10142
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US 2004/0117330 A1                                                                                          Jun. 17, 2004


should be noted here that the set point of the system 3.08 was    1.04. For the maximum savings setting, the dead band in this
Set at a fixed point for the entire day and the use of humidity   example would be raised to 3 degrees F. and the rate of
Sensing and control of humidity levels were not introduced        thermal gain per hour would be set at 3 degrees F. per hour.
into the illustration So that the graphical plots depict a        The results of this example are illustrated in FIG. 3F. The
normal home with a normal HVAC control thermostat. Here           examples here are only used to illustrate how the System
again, the illustration depicts that as the outside temperature   3.08 using the inputs from the customer would vary the
rises and the differential between the indoor set point and the   operation of individual parameters as described to either
outside temperature increase, the thermal gain causes the         maintain an optimum comfort or optimum Savings control
HVAC system to cycle more frequently. At Some point, in           algorithm and are not meant to limit the number of control
extremely hot weather or more importantly in periods of           parameters that the system 3.08 might use of the way in
high humidity, with the Set point at a low Setting, the thermal   which these different levels of comfort or savings are
gain would exceed the HVAC units’ ability to recover the          achieved. Additional parameters and controls could also be
indoor air temperature to the Set point. When this occurs, the    in more elaborate implementations of the System. The fol
HVAC run time plot would plateau at 100% of operation and         lowing paragraphs disclose these additional control param
the indoor air temperature would rise above the Set point,        eters and control modes but should not be construed as
until the outside temperature dropped to a level where the        limiting the System's capabilities to these examples.
thermal gain did not exceed the HVAC units ability to              0256 In another aspect of the present invention, the
recover the indoor temperature Setting or the indoor humid
ity level dropped to the point where the occupant began to        system 3.08 uses the learned thermal gain characteristics of
feel cold and adjusted the Set point higher, permitting the       the site 1.04 along with the customer selected allowable
unit to resume a more normal cyclical pattern.                    temperature variation range to maintain a flat level of
                                                                  demand and consumption. Under this control program, the
 0255 The third step is for the user to pick from a plurality     system 3.08 uses the thermal gain rate of the home 2.18 and
of economic options offered by the system 3.08. These             its associated HVAC System run time to produce a base line
options range from 100% comfort management without any            of consumption. Using this base line the system 3.08 can be
regard for cost to 100% economic management without any           instructed to manage the demand and consumption rate at
regard to comfort. This choice at a high level, for example,      either a flat level or at some reduced level by varying the
would be but is not limited to a selection scheme from 1 to       indoor air temperature within the allowable range. The
10 which the user would select from, where 1 is pure              following illustrates how this control program works, but
comfort management and 10 is pure economic management.            should not be construed to limit the capabilities of the
While this example would in its simplest from provide a           System 3.08 to perform these functions using different
Selection of 10 options, the underlying control options used      control logic or additional Sensing devices to improve the
by the system 3.08 could be modified and expanded to              process. For this example, the Set point of the thermostat is
provide an infinite number of options. To illustrate how the      72 degrees F. and the allowed variation selected by the
options in this example would drive the control logic we will     customer is 4 degrees F. making the acceptable range for
now review the control parameters effected and illustrate the     indoor temperature from 72 degrees F. to 76 degrees F. Since
resulting controls. The primary control parameter would be        the time, when the base line is Set can be triggered by a
tied to the number of degrees from the set point that the         plurality of conditions, Such as a user or program defined
customer would make available to the system 3.08 to               time of day, percentage level of operating run time, energy
achieve economic benefits. This parameter would start with        consumption rate for a give period of time or any other
the set point established by the CUSTOMER (for this               measurable on Sensed event, for this example it is assumed
example 72 degrees F.) and at the maximum comfort Setting         that the customer has set the base line trigger to be set when
would not move off of this set point (see FIG. 3F). In the        the HVAC units run time reaches 33%. In the early morning
maximum Savings Setting, the Set point offset would be 4          when it is cool, the system 3.08 in this example will be
degrees F. which would permit the System in this example to       operating at a cycle rate of 10%. AS the outside temperature
vary the temperature in the home form the normal Set point        rises, the thermal gain on the home 2.18 is monitored along
of 72 F by the 4 degree offset making the acceptable              with the HVAC cycle rate on a continuous basis. The rise in
temperature range 72 F to 76 F within which the system 3.08       the outside temperature causes the HVAC cycle time to
would manage the environment. The next parameter that             increase as illustrated in FIG. 3E. As the system 3.08
would be used to achieve economic goals would be the              reaches the trigger level of 33% cycle run time, the base line
ramping rate at which the system 3.08 would permit the            is established and the system 3.08 using its computed
temperature to rise within the site 1.04 as it moved from one     thermal gain rate and the corresponding HVAC cycle run
Set point to a higher or lower one to achieve economic            time projections, computes the required effective Set point
benefit. Here again, for the maximum comfort Setting, Since       offset needed to keep the HVAC cycle run time at the
the allowable offset is Zero, the ramping rate has no effect.     specified trigger level of 33%. By adjusting the effective set
In this case however, another parameter that regulates the        point upward, the system 3.08 is able to maintain the HVAC
offset from the set point used by the system 3.08 to trigger      run time at the predetermined trigger level up to the point
recovery back to the set point (the dead band of operation)       that the thermal gain rise rate exhausts the allowed tempera
would be an alternative control parameter. In this case, if the   ture variant allowed for the site 1.04. At this point, the
normal dead band was 2 degrees F., for the maximum                System will have the option, based on control parameterS Set
comfort range this might be lowered to 1 degree. In the           in the System by the customer or user or any other control
maximum Savings Setting where the allowable temperature           ling entity, to exceed the cycle run time trigger level or
range has a 4 degree variable, the ramping rate would be          exceed the allowed temperature depending on whether com
capable of being controlled through a combination of vary         fort or economic requirements are the primary drivers for the
ing the dead band range and the thermal gain rate in the Site     Site 1.04, the energy Supply chain or a combination of both.




                                                                               DC_PRIOR_ART_0000440
                                       DTX0219, Page 38 of 50
                                                     Appx10143
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US 2004/0117330 A1                                                                                                 Jun. 17, 2004
                                                                  20

FIG. 3G illustrates this scenario, assuming that the thermal           achieve the customers goals would increase from 8 degrees
gain of the site 1.04 does not exhaust the allowed tempera             to 14 degrees giving the system 3.08 a lot of latitude to
ture variant for the site 1.04.                                        manage within.
 0257. It should be noted that the setting of this trigger              0260 Another feature of the system 3.08 that improves
point and the control of the system 3.08 may be for this               both comfort and energy efficiency is its ability to determine
example, or for any example, or for the entire System, under           the optimal fan extended run time that can be applied to
the control of a party other than the customer and therefore           forced air HVAC systems to gain additional cooling and
is not be limited in its Scope as a residential or commercial          heating benefit from residual cooling and heating absorbed
control System. In a large-scale deployment, the System 3.08           into the duct System during the thermal recovery process.
                                                                       Traditionally, heating and cooling Systems upon reaching the
can be under the control of an energy Supplier and can be              desired Set point Shut down the heating or cooling generation
used to manage a plurality of environmental control devices            unit and enter a State of non-operation. In the case of heating,
attached to the energy Supply chain. It should also be noted           a Sensor in the plenum unit will force the fan to continue to
that the control of the system 3.08 may be shared by a                 operate, for Safety reasons, until the plenum temperature
plurality of Sources each having a defined level of authority          drops to a Safe level. At this point the fan and System cease
and control over an individual control point or group of               to operate. When in cooling mode, the entire system 3.08,
points as needed to manage, monitor and balance the                    including the fan, typically cease operation as Soon as the Set
demand of the delivery Supply chain.                                   point is achieved. In both of these cases, there is residual
                                                                       thermal benefit stored in the ductwork that is lost to the site
 0258 As discussed above, another feature of the system                1.04. The system 3.08, using sensors, will continue to
3.08 is its ability to receive the cost of energy from the             operate the fan to extract this residual thermal benefit from
energy Supply chain. Price Signals could take the form of              the duct System and transfer it into the conditioned space of
tiers or actual prices. In either case, the customer would be          the site 1.04. In the case of heating, the fan will continue to
capable of specifying to the system 3.08 their willingness to          operate until the duct temperature lowers to the point of
pay for comfort or their desire to Save by inputting into the          being equal to that of the Sensed temperature of the condi
system 3.08 a plurality of offsets from the set point that the         tioned Space. In the case of cooling, the fan will continue to
system 3.08 could use to manage the environmental air                  operate until the duct temperature rises to the point of being
comfort range. In FIG. 3C several scenarios are illustrated.           equal to or Some offset greater than that of the Sensed
In the first Scenario, the customer can specify using levels of        temperature of the conditioned Space.
comfort or savings their willingness to provide additional             0261. In a more elaborate implementation of the system
temperature variants based on the cost of energy from the              3.08, the environmental control system would utilize addi
Supply chain. Three lines are depicted, one be for maximum             tional Sensors, controls and in Some cases ancillary humidity
comfort, one for balance comfort and Savings and the third             control devices to maximize Savings for the customer and
for maximum Savings. In the maximum comfort Setting the                reduce the impacts on the environment. This is accom
customer is indicating that they will not give up anything             plished by making the system 3.08 overall more energy
based on the price of energy and therefore will not generate           efficient, thus permitting power generators to reduce the
any Savings. In the balanced comfort and Savings Setting, the          operation of their power generation facilities, resulting in a
customer is willing to give up 4 degrees of comfort to                 reduction in air pollution and the consumption of our limited
achieve Savings. In the maximum Savings Setting the cus                natural resources. Energy efficiency improvements through
tomer is indicating that they will give up 8 degrees of                a combination of balancing thermal gain and Sensed humid
comfort to achieve Savings over comfort. These Setting are             ity can be performed in a plurality of ways. For illustration
Specified as being Set by the customer, however they may be            purposes, Several will be discussed here but should not be
controlled by other means Such as the energy Supplier or               considered as limiting the ways that improvements in energy
other outside management entities. An example of this might            consumption rates and comfort can be achieved.
be a utility or other energy Services company that offers a
customer a flat rate per month for energy but under that                0262 The two primary factors effecting comfort in con
agreement the customer would relinquish control of their               ditioned air space are temperature and humidity. AS Stated
heating and cooling System to the provide.                             earlier, humidity plays a large factor in comfort and by
                                                                       controlling humidity levels, temperatures can be raised and
 0259 Under this example the entity managing the system                traditional HVAC systems will run less thus Saving energy.
3.08 would provide pricing commensurate with their ability             Traditional HVAC systems, by their design, remove humid
to control the home and the premise occupant or customer               ity in the air as a function of moving air through a cooling
would pay less for their energy as that level of control by the        coil. This humidity remove creates a more comfortable
Supplier increased. In this example as in all other examples           environment but typically, the removal of the humidity is
it should be noted that these features of the system 3.08 are          purely a byproduct of the cooling process and is not con
not separate and can be used in a plurality of combinations            trolled. The system 3.08 may offer the ability to modify
to create control Systems capable of delivering benefits to all        existing HVAC systems to make them humidity control
parties associated with the generation, delivery and con               Systems by the addition of humidity Sensing communicating
Sumption of energy. In our example above, where the                    nodes. These nodes Sense humidity levels in the conditioned
customer wanted to achieve maximum Savings to was will                 space and provide the input to the system 3.08 so that it can
ing to give up 8 degrees of comfort to achieve that goal, if           manage not only the temperature but the humidity levels in
the Site 1.04 as equipped to manage humidity levels, and the           the site 1.04. Sensors alone however cannot perform the
humidity level could be managed so as to reduce it by 20%,             humidity control process. In addition, the system 3.08 Sup
the actual temperature variant available to the system 3.08 to         ports a plurality of communicating control Switching, moni




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US 2004/0117330 A1                                                                                            Jun. 17, 2004


toring and metering Sensors to complete the process. The           preSSors would operate more efficiently in this Scenario than
following example of humidity control, that can be incor           Standard Single speed compressor units. For dehumidifica
porated into new HVAC systems or as a modification to              tion in a home with a multi Speed compressor, the low speed
existing HVAC Systems, is designed to illustrate how the           compressor Setting would be used to reduce the amount of
System 3.08 can significantly improve on the operating             energy the system 3.08 uses. To complete the dehumidifi
efficiency and the associated cost of operation of HVAC            cation control process, one of two additional two way
units. Through improved operating efficiency the Systems           communicating Sensors or a combination of both would be
will reduce the total energy they consume, improving the           needed. Because the cooling coil as it removes humidity
economy, reducing emissions and preserving natural energy          from the air might become over loaded with condensation
 CSOUCCS.
                                                                   and begin to freeze up, Sensors to detect either airflow or the
 0263 A traditional HVAC forced air system consists of a           presence of icing of the compressor coil would be needed.
heating unit, a cooling unit, a fan and air filtration System.     The system 3.08 is capable of utilizing inputs from these
Air is drawn from the conditioned space through a return air       Sensors to either increase the fan Speed to cause the coil to
duct System and is filtered and them passes through the fan        defrost or cycle the compressor while operating the fan in
chamber where it is then directed through a heating chamber        either a low or high Speed to force warm air through it thus
followed by a cooling chamber. In the case of a heat pump,         defrosting the coil. In heating Season, as the outside tem
the heating and cooling are performed by the same chamber          perature dropS. So do the humidity levels, resulting in low
using a common coil, and may be Supplemented by a                  relative humidity levels. Just as humidity removal in sum
resistive heating Strip chamber in climates where heat pump        mer makes the air feel colder, removal of humidity in winter
operation may be marginal during periods of extreme cold           has the same effect. The major difference is that in winter,
weather. Air them is passed into the Supply duct System            the resulting cold feeling creates an indoor air comfort level
where it is transported back to the conditioned space through      that is undesirable and customers raise the temperature as
a Series of ducts and registers. In a cooling Scenario, the        the humidity levels drop to maintain a more comfortable
heating chamber is inoperative and only the cooling proceSS        environment. This condition dries out wood doors and floors
is active. AS air passes through the cooling coil, the cooling     as well as human Sinuses resulting in Shrinking of wood
coil reducing the ambient air temperature by absorbing heat.       products and bloody noses. By increasing the humidity
At the same time, moisture in the air condenses on the             levels in the site 1.04, the temperature can be maintained at
cooling coil and flows down the coil as a result of gravita        a lower level while retaining the same relative level of
tional forces and is collected into a drip pan at the bottom of    comfort. In addition, by increase the humidity level, wood
the chamber from there the moisture is piped to a Suitable         products will not tend to shrink as much and Sinus conditions
point of disposal. By default, as mentioned earlier, this          will not plague the customer. To accomplish humidity con
proceSS removes humidity from the air. Another important           trol during the heating Season, the addition of a humidifier
point is that traditional HVAC units have a multi speed fan.       in the supply air duct system 3.08, boosts the humidity levels
This fan is designed to operate a Several Speeds depending         of the conditioned air Space allowing a lower temperature
on its design and operates at a low Speed Setting when the         Setting to be maintained thus reducing the amount of energy
heating process is active and at a high Speed when the             required to maintain a Satisfactory comfort level. The System
cooling proceSS is active. It does this because heated air is      3.08 is capable of managing the humidity levels using the
lighter and moves easily through the duct System requiring         humidity-Sensing node described earlier in the cooling Sec
less force to move Sufficient air into the conditioned Space to    tion but does not require the additional freeze and defrost
recover the temperature to the designated Set point. Cooled        Sensors. Unfortunately, traditional humidification Systems
air because it is denser requires greater force to move it         are designed to only work when the heating process is
through the duct System and therefore requires a higher fan        active. This is because they depend on the heated air exiting
Speed to move an equivalent amount of air through the              the heating chamber to pass through a Series of mesh grids
system 3.08. As a result, traditional HVAC systems have            or membrane that is Soaked with water. AS the heater air
multi Speed fans built in but are Solely used to compensate        passes through these grids or membranes, they pickup
for the air density. The system 3.08 takes advantage of this       moisture through the process of evaporation and transport it
capability to utilize the lower Speed fan Settings to reduce the   through the Supply duct System into the conditioned air
humidity levels in the home. It accomplishes this task by          space. To improve on this process, the system 3.08 incor
using a two-way communicating control node capable of              porates a modified duct humidification process which heats
modifying the fan Speed Settings to operate it in its normal       this grid or membrane to permit unheated air passing
high Setting when recovery of the ambient air temperature is       through it to transport moisture into the conditioned Space,
required and in the low Speed Setting to reduce the humidity       not requiring the main heating process to be active to
levels in the home. To dehumidify the home 2.18, the system        accomplish its task. In addition, the system 3.08 is capable
3.08 would operate the air conditioning compressor to cause        of controlling remote, distributed humidification units
the cooling coil to drop in temperature and would operate the      throughout the site 1.04, like the units available for sale
fan at a low speed causing more humidity to be removed             today in a number of retail Stores, which are Specially
from the air as it passes through the cooling coil at a slower     equipped with a two way communications node controller
rate allowing more moisture to be removed. The cooled air          integrated into them. A less elaborate adaptation of this fully
would follow its normal path through the Supply duct System        integrated solution that the system 3.08 Supports, is a wall
and would pass the dryer and colder air into the conditioned       plug adapter with an integrated two way communicating
Space. Through a learning process, the System 3.08 would be        control node, relay contactor and optional humidity Sensor.
able to determine and record in its memory, the rate of            This unit can be used to adapt traditional humidification
dehumidification its associated HVAC unit is capable of            units or vaporizers and make them an integral part of the
delivering. HVAC units equipped with multi Speed com               humidity control System. An additional Sensor device is used




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US 2004/0117330 A1                                                                                                Jun. 17, 2004
                                                                  22


to measure moisture content on Surfaces, which are exposed              0266. Additional two-way communicating sensors will
directly to the outside like glass windows. AS the humidity            also improve the operational capabilities of the system 3.08
level rises in the Site 1.04, exceSS moisture may gather on            by providing additional input data. Occupancy Sensors as an
these cold Surfaces resulting in condensation accumulation.            example would provide the system 3.08 with knowledge of
To manage this condition, optional communicating Sensors               if there were people present in the site 1.04. The system 3.08
to detect moisture accumulation are included with the SyS              is capable of receiving authorization from any authorized
tem 3.08.                                                              entity to perform items like ramping, Set point modifications
 0264. Another method of controlling humidity levels in                or dehumidification differently depending on the presence or
the Site 1.04 during the cooling Season which the System               absence of the occupant. If unoccupied, the System 3.08 can
3.08 Supports is the modification of the cooling chamber coil          be directed to take more Savings related actions and defer
to incorporate heat pipe technology to increase the units              comfort control options. This ability increases its ability to
dehumidification capabilities on average by 2 times. Com               deliver Savings and reduce demand on the Supply chain
municating Sensors as described above would still be needed            without affecting the occupants’ level of comfort.
if low Speed fan operation was used, however with heat pipe             0267 Additional two-way communicating sensors are
cooling coil retrofit devices, often times humidity levels can         supported by the system 3.08 to support indoor air quality as
be maintained without the need to perform additional dehu              well. Examples of such sensors are CO2, NOX, Radon, Gas,
midification. The amount of humidity reduction and the                 Formaldehyde and CO detectors. These sensors would Sup
ability of the system 3.08 to perform the process efficiently          ply input to the system 3.08 and if so equipped, would
all must be balanced to achieve Savings and comfort. Cool              trigger the operation of air exchange Systems to lower levels
ing coil heat pipe retrofit devices are available from numer           of Such gases in the Site 1.04 or trigger and alarm condition.
ous companies throughout the world like Heat Pipe Tech                 Other communicating Sensors to detect Smoke or fire are
nology Inc. of Gainesville, Fla. Companies like Heat Pipe              also supported and permit the system 3.08 to perform
Technology also make Stand alone retrofit dehumidification             emergency shut down of the air handler and other equipment
units that can tied directly into the existing residential HVAC        should such a condition be detected. With such safety and
System, permitting the dehumidification process to use the             security features, the system 3.08, as a direct result of its
existing duct work in the home to distributed dehumidified             communications capabilities, has the ability to interface with
air without the need to operate the existing air conditioning          and report alarm conditions to a plurality of end points.
compressor. This process is much more energy efficient as              Examples of Such points include but are not limited to cell
the compressor used in the retrofit add-on dehumidification            phones, pagers, monitoring centers, local and remote alarm
unit uses considerably less energy than the whole house                horns, bells and lights as well as digital display devices like
compressor but does require a capital investment on the                PCS, in premise kiosks, TV Screens and personal radioS
from front end which might make it leSS appealing to Some              with digital display screen capabilities like XM Radio and
customers. The system 3.08 also supports other forms of                Sirius Radio. The system 3.08 also supports traditional air
dehumidification like desiccant Systems and other forms of             filtration filter monitoring as well as more Sophisticated
humidity absorption technology.                                        electro static filtration systems and UVG bacteria and virus
 0265 Dehumidification control in more elaborate imple                 air cleansing Systems. In all cases the System 3.08 uses its
mentations of the system 3.08 can be used to precondition              two-way communicating Senor node technology to control
the site 1.04 in anticipation of events that would call for or         and monitor the performance of these units.
require demand reductions on the energy Supply chain. An                0268. In one aspect of the invention data various data
example would be a simply energy Supplier program where                elements are stored within the system 1.02. In one embodi
time of day rates are used to encourage the reduction of               ment, the data may be stored in gateway node 1.10D.
System demand during peak periods. In anticipation of Such             However, each node 1.10 in the system 1.02 includes a node
events, the system 3.08 is capable of preconditioning the              processor 2.02 and memory 2.04. Therefore, any node 1.10
home to reduce the humidity levels in Summer or increase               in the System may assume the processing and/or the control
them in winter thus permitting comfort levels to be main               of one or more devices and/or the Storage of System data
tained while raising the ambient air temperature to reduce             1.02 in the event the gateway node 1.10D becomes disabled.
demand and total consumption. This preconditioning pro                 In one embodiment, the following data may be maintained
cess while described here and supported by the system 3.08             or stored by the system 1.02.
as a “on demand” or “on request' type of program, could be
used as the System default, resulting in a permanent reduc              0269. 1. The current supplier of energy units, the current
tion of demand on the system 3.08 and a total reduction in             price per energy unit including delivery.
energy usage. The capital investment to manage humidity                 0270 2. The current operating cost per hour based on the
levels in the site 1.04, represent about 20% of the annual             rate and cost of energy units being used.
energy bill but can be easily recovered by managing humid
ity, which in topical climate conditions would result in an             0271 3. The total energy units used and their cost for
annual energy usage decrease of up to 14%. On the reverse              today, this week, and this billing period and the past 14
Side of this Scenario, is the heating load reduction, which            billing periods by Supplier and energy type if multiple types
would impact a number of different energy Supply chains                are available.
and natural resources. Here again, the equipment to                     0272 4. The total energy units used by type and their
humidify the site 1.04 to increase humidity levels during              asSociated cost for the day, week and billing period for the
heating Seasons would be capable of being recovered within             past 14 billing periods.
18 to 24 months assuming that they were managed by the
system 3.08 to achieve lower heating set points as a function           0273) 5. The balance of available credit per energy unit
of relative humidity levels.                                           Supplier and an estimate of the available hours and days of




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US 2004/0117330 A1                                                                                          Jun. 17, 2004


energy unit purchases that represents if a debit system 3.08      0295 27. Computed thermal recovery time for heating
for prepaid energy is being used.                                and cooling adjusted to compensate for the external tem
 0274 6. A computed average cost per energy unit by              perature, wind Speed, direction, UV index, humidity and
Supplier and a percentage of the total energy unit require       cooling or heating degree day factors. This computed factor
ment being purchased from that Supplier including delivery       is used to more accurately compute the recovery time for
COStS.                                                           thermal gain or loSS when combined with the average
                                                                 normalized thermal gain or loss for the site 1.04. This factor
 0275 7. Abreakdown of energy units consumed and their           may also be computed centrally and transmitted, frequently
cost and Supplier by individual appliances if multiple appli     enough to permit adequate factoring of recovery times to
ance control and metering is activated.                          maximize efficiency and reduce operating costs. Transmit
 0276 8. A projected total billing period cost for each          ting centrally computer factors will eliminate the need for
energy type and Source.                                          external Sensors at each location thus lowering the cost of
                                                                 installation and ongoing maintenance.
 0277 9. An aggregated total by type and Source of energy         0296 28. A Table of available energy suppliers and user
unit.
                                                                 defined preference indicators by Supplier and type of energy
 0278 10. A history of temperature set points for the day.       units provided to be used in choosing the Supplier of choice
 0279 11. An average of temperature set points for the           if price points and terms of Sale are equal during a given time
week and billing period                                          period.
 0280 12. Historical totals of energy units usage and cost        0297 29. A table used to compute supplier parity when
for this month, last 14 months and year to date.                 option 28 above is not entered which contains at a minimum,
                                                                 the available Suppliers, the type of energy units available and
 0281 13. The current temperature set point both user set        the number and cost of energy units purchase this billing
and fixed.                                                       period.
 0282) 14. The current dead-band high and low degree              0298 30. An optional user supplied preferred energy unit
Spread both user Set and fixed.                                  type indicator.
 0283) 15. The average temperature maintained for the             0299 31. User selected temperature ramping option indi
day, week and billing period.                                    cator with default 1 degree per hour ramping and optional
0284 16. The average thermal degree gain or loss per             user defined ramping time frames and degree Settings.
unit of time for the site 1.04 for a rolling 30, 60 and 90 day    0300 32. Low and high temperature alarm settings to
period by hour of the day.                                       protect against heating and cooling System failures. This
 0285) 17. The average thermal recovery time per degree          alarm trigger point is user defined, and if not entered,
when heating and cooling Systems are operational for a           defaults to + or -5 degrees above and below the maximum
rolling 30, 60, and 90 day period by hour of the day.            dead-band comfort range entered by the user. This feature is
                                                                 defeated if the system 3.08 is placed in the off position, but
 0286 18. The projected annual cost of operation for each        will be overridden if the user elects to activate the tempera
of the appliances being monitored.                               ture alarm mode capability of the system 3.08.
 0287. 19. The operational efficiency factor of each appli        0301 33. Alarm activation indicator which is user
ance being monitored based on historical consumption pat         Selected to permit the automatic alarming and notification of
terns and current operating Statistics.                          a monitoring Service if one is available and Subscribed to by
 0288. 20. The current and historical settings for minimum       the occupant, owner or System provider. Alarm points and
and maximum dead-band temperature and cost Settings.             Settings are user defined or can be allowed to default to
 0289. 21. Warning indicators of operational irregularities      system 3.08 defined default points based on the users,
in monitored appliance consumption patterns.                     owners or operators preference.
 0290 22. Warning indicators for low balances in debit            0302 34. Communications channel interface parameters
accounts if prepaid energy unit accounts are present.            and data including types and routing information necessary
                                                                 to perform communications activities on the attached net
 0291 23. Average daily cost of operation of whole site          work or networks available. These parameters include all
1.04 and individual appliances on a 30, 60 and 90 day rolling    information required to perform password Verification and
average and Same period last year.                               encryption as needed or deemed necessary by the owner,
 0292 24. Data, text and billing messages from energy            operator or communications System provider. These param
unit Suppliers and information Sources.                          eters also include the necessary routing and identification
                                                                 data for alarm trigger reporting points and Services used by
 0293 25. Weather information and history data including         or Subscribed for or available to the site 1.04.
at a minimum outside temperature lows and highs, humidity,        0303 35. Consumption rates and consumption signature
chance of precipitation wind Speed and direction, Solar          and weather related normalization factors for major appli
exposure time and angle and UV indexes by day, by week,          ances in the site 1.04 under the control of the system 3.08 for
by billing period.
                                                                 which a direct form of metering consumption is not avail
 0294 26. Total heating and cooling degree days and other        able. Estimated consumption rates for major appliances in
Statistical data needed to normalize consumption and usage       the site 1.04 under the control of the system 3.08 for which
data.                                                            a direct form of metering consumption is not available.




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US 2004/0117330 A1                                                                                               Jun. 17, 2004
                                                                  24


 0304 36. Centralized load aggregation and computa                      0316. With reference to FIG. 4B, when the customer
tional Service providers interface information.                        Selects the direct access icon 4.14Aa, a plurality of direct
 0305 37. Computed normalization factor for the site 1.04              access icons 4.16 will be displayed in the control panel 4.10.
                                                                       In the illustrated embodiment, the customer has direct access
based on historical consumption and external factors.                  of the HVAC system and the whole house meter. Corre
 0306 38. Energy efficiency factors derived from model                 spondingly, a heating/AC icon 4.16a and a whole house
ing the site 1.04 using a model such as the DOE-2.1                    meter 4.16B are displayed within the control panel 4.10. In
modeling System for comparison of operational efficiency.              another embodiment, all devices 1.08 to which the customer
                                                                       may have acceSS are accessible here, e.g., a Second thermo
 0307 39. Minimum requirements dead-band range defi                    stator the water heater. With reference to FIG. 4C, selection
nitions to be used when the site 1.04 if vacant or unoccupied.         of the heating/AC icon 4.16A, displays a virtual thermostat
 0308 40. Set point pattern change tracking tables to                  4.18 within the control panel 4.10. The virtual thermostat
reflect Specific day, time and day type Setting changes to be          4.18 contains an information section or display 4.20 and a
used with “follow my lead” artificial intelligence learning            plurality of thermostat buttons 4.22. The display section 4.20
and execution routines.                                                includes information related to the actual or real time
                                                                       conditions at the site 1.04. In the illustrated embodiment as
 0309 41. Set point pattern change tracking tables to                  shown, the current temperature within the customer site 1.04
reflect Specific outside weather conditions in relationship to         is 67 Fahrenheit. The heating and cooling Set points are set
Set point changes initiated by the occupant for use with the           to 58° and 85, respectively. The system 3.08 is in an
“follow my lead' artificial intelligence learning and execu            automatic mode and the heating and cooling Systems are in
tion routines.                                                         an off condition. Furthermore, as indicated, the occupancy
0310. 4. Customer Control Node Management System                       mode is set to “Away”. As discussed below, the system 3.08
and Methods                                                            allows the customer to program the HVAC systems use the
                                                                       Virtual thermostat 4.18 and according to occupancy modes
 0311. With references to FIGS. 4A through 4R, the user                using heating and cooling Set points. By using the thermostat
interface 1.14 may be implemented as a web page or                     buttons 4.22, the customer can change the current operating
graphical user interface (“GUI”) 4.02. The GUI 4.02 may be             parameters of the thermoStat. For example, Selection of a
accessible from remote locations, as discussed above. In one           change System mode thermostat button 4.22A allows the
embodiment, the customer may access the GUI 4.02 through               customer to Select between automatic and a manual modes.
a web browser or other display device like a television. In            Selection of a change fan mode button 4.22B allows the
another embodiment, the customer may access the GUI 4.02               customer to change the fan mode from “on” to “automatic'.
through a remote device, Such as a mobile phone and/or                 Furthermore, Selection of an override temperature button
personal digital assistant. By entering a user I.D. and pass           4.22C or an override occupancy button 4.22D allow the
word, the customer may access his or her account.                      customer to override the current temperature and occupancy
                                                                       Schedules as defined below. Selection of a cancel override
 0312. With reference to FIG. 4A, after the customer logs              button 4.22E allows the customer to cancel a temperature or
on to the system 3.08, a system home page 4.04 may be                  occupancy change which was input using the override
displayed. The System home page 4.04, includes an infor                temperature button 4.22C or the override occupancy button
mation section 4.05, a plurality of navigation buttons 4.06,           4.22D. A cancel curtailment button 4.22F allows a customer
a navigation menu 4.08, and a control panel 4.10.                      to cancel any curtailment program (where permissible).
 0313. In the illustrated embodiment, the information sec               0317 Returning to FIG. 4B, selection of the whole house
tion 4.05 for an exemplary customer, Earl Minem is shown.              meter icon 4.16B displays information within the control
The information section 4.05 includes a greeting, the time             panel 4.10 related to the current power being delivered or
and date, as well as Several linkS. Actuation of the linkS may,        utilized by the customer site 1.04. Additionally, information
for example, redirect the customer to the home page, the               related to the accumulated power draw over a predetermined
help Screen, an e-mail contact Section, frequently asked               period of time may also be displayed. This information may
questions, or may log the customer off of the web site.                be displayed graphically and/or numerically.
 0314. The plurality of navigation buttons 4.06 includes a              0318 Returning to FIG. 4A, selection of some of the
device management button 4.06A, a configure alerts button              menu items within the navigation menu 4.08 are redundant
4.06B, a systems data button 4.06C, a cancel curtailment               with the icons 4.14 in the homeowner control center 4.12.
button 4.06D and a device status button 4.06E. The navi                For example, selection of a direct access button 4.08A
gation menu 4.08 includes links to several areas of the GUI            displays the direct access icons 4.16 within the control panel
4.02 as described below.                                               4.10.
 0315. When initialized, the GUI 4.02 displays a home                   0319 Selection of the scheduling icon 4.14B or a sched
owner control center 4.12 in the control panel. In the                 uling menu item 4.08B, displays icons for each thermostat
illustrated embodiment, the homeowner control center 4.12              within the customer Site 1.04 or an occupancy mode icon
includes a plurality of hyperlinked icons 4.14. In the illus           (not shown). With reference to FIGS. 4D, 4E, and 4F,
trated embodiment, the hyperlinked icons 4.14 include a                Selection of the thermost at Scheduling icon or the thermostat
direct access icon 4.14A, a Scheduling icon 4.14B, a my                menu item underneath the scheduling menu item 4.08B,
reports icon 4.14C, an alerts icon 4.14D, a configuration data         displays an occupancy mode Screen 4.24 within the control
icon 4.14E and a user help icon 4.14F. Selection of a home             panel 4.10. In one embodiment, the system 3.08 allows the
link within the information section 4.05 will return the GUI           customer to define one or more occupancy modes (see
4.02 to the homeowner control center 4.12.                             above). Within each occupancy mode, the customer may set



                                                                                   DC_PRIOR_ART_0000445
                                       DTX0219, Page 43 of 50
                                                    Appx10148
     Case: 23-1101                    Document: 15                 Page: 330              Filed: 05/09/2023




US 2004/0117330 A1                                                                                             Jun. 17, 2004


one or more parameters which control one or more devices            0326 For example, in the illustrated embodiment, at
1.08, such as the HVAC system(s) while the occupancy               midnight of the selected day, the thermostat will be in the
mode is active.                                                    Sleep occupancy mode. Beginning at 4:30 a.m., the thermo
 0320 For example, in one embodiment, the customer                 Stat will be in the user 1 occupancy mode and So forth as
may set a cooling Set point, a heating Set point, and may also     shown. The thermostat scheduling panel 4.36 also includes
Set an economy profile.                                            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.
 0321) In the illustrated embodiment, the customer has             Selection of the apply to current day button 4.42 will apply
eight occupancy modes. For example, the System 3.08 may            the Start times and defined occupancy modes in the thermo
include a home occupancy mode, an away occupancy mode,             Stat Scheduling panel 4.36 to the Selected day in the ther
a sleep occupancy mode, and a vacant occupancy mode, as            mostat Scheduling calendar 4.34. Selection of the apply to all
well as four user-defined occupancy modes. Each of these           button 4.44 will apply the scheduled start times and occu
modes is indicated with a respective tab 2.26 along the top        pancy modes defined in the thermostat Scheduling panel
of the occupancy mode screen 4.24. As shown in FIG. 4D,            4.36 to all of the day types which are selected in the select
Selection of a tab 2.26 allows the customer to set the
parameters for each mode.                                          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
 0322 For example, in the illustrated embodiment under             pre-defined day types Such as weekday, weekend, or holiday
the home occupancy mode, the cooling Set point is set to 80        as well as the number of user-defined day types.
Fahrenheit, the heating set point is set to 68 Fahrenheit, and
the economy profile is set to economical comfort. The               0327. With reference to FIGS. 4A and 4J, selection of
economy profile may be used to control the HVAC system             the alerts menu item 4.08D displays a configure alert Screen
and/or other devices 1.08 based on characteristics of the          4.48 within the control panel 4.10. The system 3.08 includes
Supply chain, e.g., cost or availability of power. In one          a number of pre-defined alerts, for example, thermostat
embodiment, each profile has an associated Setpoint offset,        temperature out of range control, gateway node not respond
e.g., +/-5 degrees. The parameters for each mode may be Set        ing, budget limit alarm, device malfunctioning, communi
to a Set of default parameters by Selection of a default button.   cation failure, ramping recovery failure, or duplicate IP
Any changes made within the occupancy mode Screen may              address. For each alert, the customer may Select or designate
be applied to the respective mode through Selection of an          the destination, i.e., who gets notified for each alert, and how
apply button 4.30. In a further example, with reference to         they are notified. In the illustrated embodiment, the config
FIG. 4E in the away mode, the cooling set point is set to 85,      ure alert Screen 4.48 includes a destination drop down list
and the heating set point is set to 58 Fahrenheit.                 4.50 for each alert. The destination drop down list 4.50
 0323 In the illustrated embodiment, the economy profile           allows the customer to Select who gets notified when the
is set through an economy profile drop down list 4.32. With        alert occurs. For example, in the illustrated embodiment, the
                                                                   drop down list may include the home occupant, the Service
reference to FIG. 4F, in the illustrated embodiment, the           provider or the energy provider. The configure alert Screen
economy profile may be set to one of three profiles: maxi          4.48 also includes one or more checkboxes 4.52 to indicate
mum comfort, balance comfort, and economical comfort.              how the communication of the alert is to occur, for example,
 0324 With reference to FIG. 4G, selection of the ther             whether or not it is to occur by e-mail or through the
mostat Scheduling icon or the thermostat menu item under           customer or utility interfaces 1.14, 1.16. The configure alert
the scheduling menu 4.08B, displays a thermostat schedul           screen 4.48 may also include a check box 4.54 for each alert
ing calendar 4.34 within the control panel 4.10. In the            to indicate whether or not the alert is configurable. The
illustrated embodiment, the thermostat Scheduling calendar         configure alert Screen 4.48 may also include an entry box
4.34 displays the month corresponding to the current date.         4.56 for each alert which allows the customer to indicate
However, the thermostat scheduling calendar 4.34 may be            what priority the alert should have. However in the another
navigated using a navigation bar 4.36. Each day on the             embodiment, the priority may be used to, e.g., provide a
calendar 4.34 may be defined as a type of day, for example,        different delivery system based on the priority. In the illus
any day may be defined as a weekday, a weekend, or a               trated embodiment, this is primarily for information pur
holiday. In the illustrated embodiment, all Saturdays and          poses. Furthermore, the configure alert Screen 4.48 may also
Sundays have been defined as weekends, and all MondayS,            include an alert type drop down list 4.58 which allows the
Tuesdays, Wednesdays, Thursdays and Fridays have been              customer to indicate whether or not a Single alert Should be
defined as weekdays. However, it should be noted that any          Sent or whether an alert should be sent each time an alert
day may be defined as any type of day. Each day within the         condition occurs. For example, if over a pre-determined
calendar 4.34 is a hyperlink. Selection of the hyperlink for       amount of time, for example an hour, a thermostat tempera
any particular day on the calendar 4.34 displays a thermostat      ture is out of range, the system 3.08 may be set to deliver a
scheduling panel 4.36 as shown in FIG. 4H. The thermostat          Single alert or to Send an alert each time the temperature is
Scheduling panel 4.36 includes a thermostat dropdown list          out of bounds.
4.38 and a select date drop down list 4.40. The thermostat
drop down list 4.38 allows the customer to select between           0328. The configure alert Screen 4.48 also includes a
one or more thermostats which may be present within the            submit button 4.60 and a reset button 4.62 for updating the
customer site 1.04. The select day type drop down list 4.40        System 3.08 with any input changes or resetting the alerts to
allows the customer to Select between various pre-defined          default values.
day types as well as to define a new day type.                      0329. The configure alert screen 4.48 may also include a
 0325 The thermostat scheduling panel 4.36 permits the             personal data update link 4.64. Activation of the personal
customer to Select the occupancy mode which will be used           data update link 4.64 will display a personal data Screen (not
for various time periods during the day.                           shown) within the control panel 4.10 which allows the



                                                                                DC_PRIOR_ART_0000446
                                       DTX0219, Page 44 of 50
                                                     Appx10149
     Case: 23-1101                    Document: 15                     Page: 331             Filed: 05/09/2023




US 2004/0117330 A1                                                                                               Jun. 17, 2004
                                                                  26

customer to update its personal information Such as address,           shown in FIG. 4P, the thermostat data screen 4.90 allows the
telephone and e-mail information as well as user name and              customer to Set a plurality of high and low limits. For
passwords. The personal data Screen may also allow the                 example, in the illustrated embodiment, the customer may
customer to enter or update a budget threshold, e.g., a                Set Safety, alert, heat, and cool high and low limits. These
monthly budget threshold. AS discussed above, the System               limits may be used in controlling the corresponding HVAC
3.08 may be set to send an alert when the monthly budget               System, as well as Setting or delivering alert messages.
threshold has been reached and/or is likely to be reached
based on current usage.                                                 0333 Selection of a home data icon 4.88C on the con
                                                                       figuration data Screen 4.86 displays a home data Screen (not
 0330. With reference to FIGS. 4A and 4K through 4M,                   shown) within the control panel 4.10. The home data screen
Selection of the my reports icon 4.14C or the reports menu             allows the customer to define various parameters regarding
item 4.08C, will display a report screen 4.66 in the control           their home or the customer site 1.04 including details about
panel 4.10. The report screen 4.66 includes a plurality of             the construction as well as defining water heaters and other
reports icons 4.68. Selection of a reports icon 4.68 will              devices which may be found at the customer Site Such as
display a pop-up Screen within the control panel 4.10. For             Swimming pools, whirlpool baths, hot tubs, heated ponds,
example, Selection of a daily temperature icon 4.68A will              Saunas, fountains, decorative lighting Systems, auxiliary heat
display a daily temperature report pop-up Screen 4.70 as               Systems, and/or irrigation Systems.
shown in FIG. 4L. Likewise, selection of a monthly tem
perature icon 4.68B will display a monthly temperature                  0334 Selection of an energy switch icon 4.88D on the
report pop-up Screen (not shown). The daily temperature                configuration data Screen 4.86 displays information and
report pop-up Screen 4.70 may allow the customer to Select             allows the customer to modify parameters related to any
between multiple thermostats using a thermostat drop down              energy management Switches at the customer Site 1.04.
list 4.72. The daily temperature report pop-up screen 4.70              0335). With reference to FIGS. 4N and 4R, selection of
may also include a plurality of drop down lists and/or                 the program icon 4.88E on the configuration data Screen
buttons 4.74 which allow the customer to change the date or            4.86 displays a program participation screen 4.96 in the
dates of the information being displayed in the report Screen          control panel 4.10. The program participation screen 4.96
4.70. For example, the customer may designate a specific               provides a list 4.98 of all available power supply programs
date or navigate through the calendar by days or months.               (“PSP”) or PROGRAMS. The program participation screen
 0331. The report screen 4.66 may also include a daily                 4.96 also includes a plurality of corresponding check boxes
electrical usage icon 4.68C. With refence to FIG. 4M,                  4.100 which allow the customer to designate which PRO
selection of the daily electrical usage icon 4.68C will display        GRAMS the customer desires to participate. The program
a daily electrical report pop up Screen 4.72. AS with the              participation Screen 4.96 may also include other information
temperature report pop up Screen 4.70, the daily electrical            regarding the listed PROGRAMS, including supply type,
report pop up Screen 4.76 includes a Service device drop               effective dates, and effective times. Each PROGRAM listed
down list 4.78, which allows the customer to select the                on the program participation Screen 4.96 may be a hyperlink
device 1.08 for which data is being displayed. The daily               which, when Selected, displayS additional information
electrical report pop up Screen 4.76 also includes a plurality         related to the Selected PROGRAM.
of navigation buttons 4.80 which allow the customer to                  0336 AS discussed above, the customer GUI 4.02 allows
navigate through the calendar as well as to display electrical         the customer to view, configure and/or modify various
usage information on a monthly or a yearly basis. A refresh            parameters of the system 3.08. Generally, the type and
button 4.82 updates the electrical report pop up screen 4.76           nature of parameters which may be viewed or modified will
based on any changes made within the Service device drop               be defined by the utility 1.06. As shown above, some of these
down list 4.78 or the navigation buttons 4.80. Selection of a          parameters may be configured and/or modified using various
close button 4.84 closes the daily electrical report pop up            drop down boxes, checkboxes and/or entry boxes. However,
report 4.76.
                                                                       it should be noted that some of these entry boxes, drop down
 0332 With reference to FIG. 4N, selection of a config                 lists and/or check boxes may be used to display certain
data menu item 4.08E displays a configuration data Screen              parameters; however the utility may designate that the
4.86 within the control panel 4.10. The configuration data             customer cannot modify these parameters.
Screen 4.86 includes a number of configuration data icons               0337) 5. Utility Control Node Management System and
4.88. Selection of a personal data icon 4.88A displays a               Method
personal data Screen described above. Selection of a ther
mostat data icon 4.88C displays a list of the thermostats               0338. With reference to FIGS. 5A through 5, as dis
within the customer site 1.04. Each thermostat may be                  cussed above, the utility interface 1.16 may be accessible
selected and a thermostat data screen 4.90 will be displayed           through a web browser. With specific reference to FIG. 5A,
within the control panel 4.10, as shown in FIG. 4O. The                after an authorized user at the utility 1.06 logs onto the
thermostat data Screen includes a first Section for defining           system 1.02, a utility graphic user interface 5.02 is dis
the heating Section of the corresponding HVAC system and               played. The utility GUI 5.02 includes a plurality of naviga
a cooling Section for defining the corresponding cooling               tion links 5.04 on a utility display panel 5.06.
section of the HVAC system. The heating section includes a
heating drop down list 4.92 which allows the customer to                0339. In the illustrated embodiment, the navigation links
Select the type of heating which corresponds to the current            5.04 include an immediate Supply link, a Scheduled Supply
thermostat as shown in FIG. 4P. A cooling drop down list               link, a program definitions link, an active Supply link, a
4.94 allows the customer to set the type of cooling corre              Supply history link, and a reports link. The navigation links
sponding to the current thermostat as shown in FIG. 4Q. As             also include a link to the utility GUI 5.02 home page and a




                                                                                   DC_PRIOR_ART_0000447
                                       DTX0219, Page 45 of 50
                                                    Appx10150
     Case: 23-1101                     Document: 15                      Page: 332              Filed: 05/09/2023




US 2004/0117330 A1                                                                                                  Jun. 17, 2004
                                                                    27

link to log off the system. The utility display panel 5.08               the information Section by Selection of the corresponding
includes a plurality of utility icons 5.08.                              level within the power distribution network section 5.12.
 0340. In the illustrated embodiment, the utility icons                  The information section 5.14 may also include a review/
                                                                         request Supply link 5.22 for each component listed in the
include an immediate Supply icon 5.08A, a Scheduled Supply               information section 5.14.
icon 5.08B, a program definitions icon 5.08C, and active
supply icon 5.08D, a Supply history icon 5.08E and a reports              0346) With reference to FIG. 5C, selection of the review
icon 5.08F. As discussed above, the utility interface 1.16               request link 5.22 for a given node or Station displays an
may be used to define or modify PROGRAMS, to display                     available program capacity pop-up 5.24. The available pro
information regarding the current active Supply of electricity           gram capacity pop-up 5.24 lists all defined PROGRAMS
over an electrical distribution network, provide information             that are available for the given node at the current time. Each
relating to the capacity of electricity available through                PROGRAM includes a corresponding checkbox 5.26 which
implementation of one or more of the PROGRAMS, to                        enables the utility to activate a given PROGRAM. For each
Supply historical data related to the distribution of electricity        PROGRAM listed, the instantaneous, real time available
and to generate one or more reports.                                     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
 0341) With reference to FIG. 5B, when the immediate                     defined devices 1.08 within a given PROGRAM were cur
Supply icon 5.08A is Selected, an immediate Supply Screen                rently drawing power. The available power refers to the
5.10 is displayed within the utility display panel 5.06. The             instantaneous power which would be available if the respec
immediate supply screen 5.10 includes a power distribution               tive or corresponding PROGRAM were activated. The
network section 5.12 and an information section 5.14. In the             available program capacity pop-up 5.24 also includes a
illustrated embodiment, the power distribution network sec               duration drop-down list 5.32. The available program capac
tion 5.12 includes a meter 5.16 which provides an indication             ity pop-up 5.24 may be utilized to immediately activate one
of the immediate capacity in watts (in real time) for the                or more PROGRAMS to free up capacity for selected
power distribution network.                                              duration. For example, in the illustrated embodiment if the
 0342. In the illustrated embodiment, the power distribu                 emergency HVAC curtailment program and the emergency
tion network includes a Single transmission Substation, des              shut-off program were activated, the instantaneous available
ignated tSS1, and a Single distribution Substation, designated           power would be 1200 watts. The available program capacity
diss1. Under the distribution substation, the following nodes            pop-up 5.24 also includes a submit button 5.34, a closed
are available: Phoenix, Richmond, Philadelphia and Philly                button 5.36 and a refresh button 5.38. If one or more of the
non-curtailed, as shown. Within the system 1.02, one or                  checkboxes 5.26 were activated, and the Submit button 5.34
more PROGRAMS may be defined which when activated                        were selected, the utility control system 1.12 would broad
may curtail one or more devices 1.08 acroSS one or more                  cast a curtailment signal to the gateway nodes 1.10D to shut
                                                                         down the affected devices 1.08 or otherwise curtail those
customer sites 1.04 (see above). The meter 5.16 gives a                  devices 1.08. Activation of the closed button 5.36 closes the
graphical indication of the immediate power Supply which is
available from the PROGRAMS defined in the power dis                     available program capacity pop-up 5.24. Activation of the
tribution network.                                                       refresh button 5.38 updates the available power available for
                                                                         each PROGRAM.
 0343 Underneath the meter 5.16, a collapsible/expand
able tree 5.18 is displayed. Each of the levels in the tree 5.18          0347 With reference to FIG. 5D, selection of the sched
are selectable. When a particular level within the tree 5.18             uled supply button 5.08B displays a scheduled supply screen
is Selected, information regarding that level and the power              5.40 in the utility display panel 5.06. The scheduled supply
distribution network above it are displayed within the infor             screen 5.40 includes a power distribution network tree 5.42
mation section 5.14. For example, as shown in FIG. 5B,                   and an information Section 5.44. AS in the immediate Supply
when the distribution Substation dss1 is selected, informa               screen 5.10, the tree 5.42 displays the stations, Substations
tion regarding the Station tSS1 and the distribution Substation          and nodes within the power distribution network. Each of
dSS1 are displayed.                                                      the Stations, Substations and/or nodes may be Selectable
                                                                         within the tree 5.42. Information related to the capacity
 0344) In the information section 5.14 for each level of the             available at the selected level within the tree 5.42 is dis
distribution network, the immediate capacity and the total               played within the information section 5.44. In the illustrated
capacity are displayed. Immediate capacity is the real time              embodiment, the power available at the given level during
instantaneous capacity available for the given level based on            predetermined time periods of the current day are shown.
the defined PROGRAMS and the current status of all                       This information is reflective of the capacity or power
devices within those PROGRAMS. For example, for Sub                      available from the scheduled PROGRAMS. For example,
station dss1 for all devices currently in a defined PRO                  based on the activated programs, between military time
GRAM, those devices are drawing 1,040 watts. If the                      0000 and 0600, the scheduled programs in Philadelphia have
defined PROGRAMS were implemented, those devices                         a capacity of 832 watts. For each Station, Substation or node
would make available or supply 1,040 watts. The total                    within the network, the utility 1.06 may review scheduled
capacity is the average for the current hour over a prede                programs or create a new Schedule for programs. The
termined period, for example, the last Seven weeks.                      scheduled supply screen 5.40 also includes a refresh button
 0345 The information section 5.14 also includes a                       5.46 which when actuated updates the information in the
                                                                         information section 5.44.
refresh button 5.20 which, when activated, refreshes or
updates the information within the information section 5.14.              0348 Within the create schedules section of the GUI
Information related to each node, i.e., Phoenix, Richmond,               5.02, a find eligible programs pop-up dialog 5.48 as shown
Philadelphia or Philly non-curtail, may also be displayed in             in FIG.5E is available. This dialog 5.48 allows the user at




                                                                                      DC_PRIOR_ART_0000448
                                        DTX0219, Page 46 of 50
                                                      Appx10151
     Case: 23-1101                  Document: 15                     Page: 333              Filed: 05/09/2023




US 2004/0117330 A1                                                                                               Jun. 17, 2004
                                                                28

the utility to enter Some or all information regarding a             Screen may include a tree similar to the trees described
desired program or criteria for a program and Search for any         above which details the power distribution network. The
available program that fits the input criteria.                      screen will also provide information related to all of the
 0349 With reference to FIG. 5F, activation of the pro               active PROGRAMS for any selected station, substation or
gram definition button 5.08C displays a program summary              node within the power distribution network. For example,
table 5.50 in the utility display panel 5.10. The program            for a given active PROGRAM, the following information
summary table 5.50 lists and describes all available PRO             may be provided: based on real time data received from the
GRAMS. In the illustrated embodiment, each listed program            nodes 1.10, how many customers have signed up for the
may include a link 5.52 which leads to additional specific           given program, how many customers are actively contrib
PROGRAM details. The program summary table 5.50 may                  uting to the given PROGRAM, and how many customers
also include a new button 5.54.                                      have opted out of the program. Furthermore, each device
                                                                     which may be affected by the program may be viewed.
 0350. With reference to FIG. 5G, selection of the new                0357 Selection of the supply history button 5.08E dis
button 5.54 displays a program definition screen 5.56 in the         plays a screen within the utility display panel 5.06 which
utility control panel 5.10. The program definition screen            provides historical data regarding any active program. The
5.56 creates a new PROGRAM (see below). In one embodi                same type of information available for the active PRO
ment, the new PROGRAM may be broadcast to the gateway                GRAMS (see above) may be available for any past time or
node 1.10D at each customer site 1.04. The customer may              time period.
view the new PROGRAM along with the other available
PROGRAM and subscribe to the new PROGRAM or any                       0358. With reference to FIGS. 5H and 51, selection of
other available PROGRAM (see above).                                 the report button 5.08F displays a reports screen 5.76 within
                                                                     the utility display panel 5.06 which provides a graph of
 0351. In the illustrated embodiment, the program defini             energy consumption for a given period of time for a given
tion screen 5.56 includes a program name entry box 5.58 and          device or Set of devices. In the illustrated reports Screen
a description entry box 5.60, both of which allow the user to        5.76, the total hourly energy consumption for Mar. 18, 2003
enter appropriate text information.                                  (as measured by the electric meters) is shown. The reports
 0352. The program definition screen 5.56 further includes           screen 5.76 includes an input section 5.78 which allows the
a set of mutually exclusive supply type buttons 5.62 which           user to Select the device, e.g., electric meter, thermostat,
allow the user to define a type associated with the PRO              water heater, pool pump or hut tub/spa, or the time period,
GRAM. In the illustrated embodiment, the type may be one             e.g., daily, hourly, or monthly. The input section 5.78 also
of “on demand’ or “Scheduled. An on demand PROGRAM                   allows the user to change the time and/or date for which data
can be implemented at any time, as needed, by the utility.           is shown. The reports screen 5.76 also includes a refresh
However, an on demand PROGRAM may be limited to                      chart button 5.80 which may be used to update the graph to
specific time periods. A scheduled PROGRAM is generally              show updated real-time data and/or to reflect any changes
Scheduled for Specific days during Specific time periods.            made in the input section 5.78.
 0353. The program definition screen 5.56 also includes a             0359 Obviously, many modifications and variations of
set of drop down lists 5.64 which may be used to set                 the present invention are possible in light of the above
PROGRAM available dates and times.                                   teachings. The invention may be practiced otherwise than as
                                                                     Specifically described within the Scope of the appended
 0354) The PROGRAM may also be identified as                         claims.
“optional” or “overrideable” using one or more checkboxes
5.66. An optional PROGRAM may be opted into or Sub                      1. A method for providing at least one program to a
scribed to by the user. An overrideable PROGRAM means                customer of a utility of a commodity, the program aimed at
that once subscribed, the user may override the PROGRAM              managing demand for the commodity, the utility delivering
while it is running.                                                 the commodity to at least one customer Site, the customer
                                                                     Site having a plurality of devices which use the commodity,
 0355 The program definition screen 5.56 may also                    including the Steps of:
include a plurality of checkboxes to 5.68 which is used to              defining a program having a Subset of the plurality of
identify the types of devices 1.08 which may be included in                devices for which usage of the commodity may be
the PROGRAM. In the illustrated embodiment, the system                     managed by activating the program;
3.08 includes HVAC systems, water heaters, pool pump and
hot tubs/spas. A PROGRAM may be defined to include all                  allowing the customer to Subscribe to the program;
devices 1.08 or one or more types of devices 1.08. The                  delivering the commodity to the Subset of devices,
program definition screen 5.56 includes back button 5.70, a
save button 5.72, and a reset button 5.74. Activation of the            measuring the instantaneous rate at which the commodity
backbutton 5.70 returns the GUI 5.02 to the previous screen                is being delivered to the subset of the devices;
without saving the PROGRAM. Activation of the save                      Sending the instantaneous rate for each device within the
button 5.72 save the current PROGRAM and returns the
GUI 5.02 to the previous screen. Activation of the reset                   Subset to the utility.
button 5.74 sets the values in the program definition screen            2. A method, as Set forth in claim 1, including the Steps of:
5.56 to default values.                                                 activating the program; and,
 0356) Selection of the active supply button 5.08D dis                  Subsequently measuring at least one of a rate and a change
plays a screen within the utility display panel 5.06 which                 in a rate at which the commodity is being delivered to
provides detail regarding any active PROGRAMS. This                       the Subset of the devices.




                                                                                  DC_PRIOR_ART_0000449
                                     DTX0219, Page 47 of 50
                                                   Appx10152
        Case: 23-1101                   Document: 15                    Page: 334              Filed: 05/09/2023




US 2004/0117330 A1                                                                                                 Jun. 17, 2004
                                                                   29

  3. A method, as Set forth in claim 2, including the Step of             20. A method, as set forth in claim 1, wherein the
determining an actual change in a rate of consumption of the            commodity is electrical power.
commodity and recording the rate of change in a memory.                   21. A method, as set forth in claim 1, wherein the
  4. A method, as Set forth in claim 3, including the Step of           commodity is water.
providing at least one of an alternative rate and a billing               22. A method, as Set forth in claim 1, wherein the
adjustment to the customer as a function of the actual                  commodity is gas.
capacity Saved at the related customer Site by the program.               23. A method, as Set forth in claim 1, including the Step
   5. A method, as set forth in claim 4, wherein the at least           of automatically activating the program under a predeter
one of an alternative rate and a billing adjustment is also a           mined set of conditions.
function of historical usage information.                                 24. A method, as set forth in claim 23, wherein the
      6. A method, as Set forth in claim 4, wherein the at least        predetermined set of conditions includes at least one of a
one of an alternative rate and a billing adjustment is a                time of day and a day.
function of an actual cost related to the commodity while the              25. A method, as Set forth in claim 1, including the Step
program is activated.                                                   of manually activating the program as a function of an actual
   7. A method, as Set forth in claim 2, including the Step of          demand of the commodity.
Verifying management of the devices within the Subset of the               26. A method, as Set forth in claim 1, wherein the program
devices.                                                                at least one of shifts demand away from a first time period
  8. A method, as Set forth in claim 1, including the Step of           and eliminates demand for the first period.
providing a user interface for interaction with the customer.              27. A method, as Set forth in claim 1, including the Step
   9. A method, as set forth in claim 8, wherein the user               of controlling the Subset of devices in response to activation
interface is accessible through a web browser.                          of the program.
      10. A method, as set forth in claim 1, wherein each device           28. A method, as set forth in claim 27, wherein the step of
has an associated node, and the method includes the Step of             controlling the Subset of devices includes the Step of at least
allowing the customer to control one or more of the devices             one of preventing and limiting usage of the commodity
through the associated node.                                            during a predetermined period of time.
   11. A method, as set forth in claim 1, wherein the utility             29. A method, as set forth in claim 27, wherein at least one
delivers the commodity to a plurality of customer Sites, each           of the devices has an operating Setpoint, and wherein the
customer Site having a plurality of devices and the Step of             Step of controlling the Subset of devices includes the Step of
defining the program includes the Step of including within              modifying the Setpoint.
the program all devices of a similar type at each customer                 30. A method, as Set forth in claim 1, wherein each device
Site.                                                                   has an associated node, and the method includes the Step of
   12. A method, as set forth in claim 1, wherein the utility           downloading to each node, a program Schedule containing
delivers the commodity to a plurality of customer Sites, each           Scheduling information for the program.
customer Site having a plurality of devices and the Step of                31. A method for providing at least one program to a
defining at least one program includes the Step of defining a           customer of a utility of a commodity, the program aimed at
plurality of programs, each program having a respective                 managing demand for the commodity, the utility delivering
Subset of the devices.                                                  the commodity to at least one customer Site, the customer
      13. A method, as Set forth in claim 1, including the Steps        Site having a plurality of devices which use the commodity,
of:                                                                     including the Steps of:
   activating the program; and,                                            defining a program having a Subset of the plurality of
   allowing the customer to cancel the program when acti                      devices for which usage of the commodity may be
        Vated.
                                                                              managed by activating the program;
      14. A method, as Set forth in claim 1, including the Steps           allowing the customer to Subscribe to the program;
of:
                                                                           delivering the commodity to the Subset of devices,
   Setting a budget goal; and,
                                                                           measuring the instantaneous rate at which the commodity
   monitoring an aspect of usage of the commodity related to                  is being delivered to the subset of the devices;
      the budget goal.
   15. A method, as set forth in claim 14, wherein the budget              Sending the instantaneous rate for each device within the
goal is defined in terms of usage of the commodity.                           Subset to the utility;
   16. A method, as set forth in claim 14, wherein the budget              activating the program;
goal is defined in terms of cost of actual amount of the                   determining an actual rate of change in consumption of
commodity used.                                                               the commodity induced by activating of the program;
   17. A method, as set forth in claim 14, wherein the budget                and,
goal is defined relative to a predetermined time period and
the method includes the Step of generating an alert if actual             providing a at least one of an alternative rate and billing
usage will exceed the budget goal in the predetermined time                 adjustment to at least one customer as a function of the
period.                                                                     actual capacity Saved at the related customer Site by the
      18. A method, as set forth in claim 17, wherein the alert              program.
is Sent to the customer.                                                  32. A method for providing at least one program to a
      19. A method, as set forth in claim 17, wherein the alert         customer of a utility of a commodity, the program aimed at
is Sent to the utility.                                                 managing demand for the commodity, the utility delivering




                                                                                     DC_PRIOR_ART_0000450
                                         DTX0219, Page 48 of 50
                                                      Appx10153
     Case: 23-1101                    Document: 15                     Page: 335               Filed: 05/09/2023




US 2004/0117330 A1                                                                                                Jun. 17, 2004
                                                                  30

the commodity to at least one customer Site, the customer                 41. A system, as set forth in claim 33, wherein each device
Site having a plurality of devices which use the commodity,            has an associated node for allowing the customer to control
including the Steps of:                                                one or more of the devices through the associated node.
   defining a program having a Subset of the plurality of                 42. A system, as set forth in claim 33, wherein the utility
      devices for which usage of the commodity may be                  delivers the commodity to a plurality of customer Sites, each
      managed by activating the program;                               customer Site having a plurality of devices and the program
                                                                       includes all devices of a similar type at each customer Site.
   allowing the customer to Subscribe to the program;                     43. A system, as set forth in claim 33, wherein the utility
                                                                       delivers the commodity to a plurality of customer Sites, each
   delivering the commodity to the Subset of devices,                  customer Site having a plurality of devices, wherein a
   measuring the instantaneous rate at which the commodity             plurality of programs are defined, each program having a
      is being delivered to the subset of the devices;                 respective Subset of the devices.
                                                                          44. A system, as set forth in claim 33, wherein the user
   Sending the instantaneous rate for each device within the           interface allows the customer to cancel the program after it
      Subset to the utility;                                           has been activated.
                                                                          45. A system, as set forth in claim 33, wherein the user
   activating the program; and,                                        interface allows the customer to Set a budget goal and the at
   Verifying management of the devices within the Subset of            least one node monitors an aspect of usage of the commodity
     the devices.                                                      related to the budget goal.
   33. A System for providing a program to a customer of a                46. A system, as set forth in claim 45, wherein the budget
utility of a commodity, the utility delivering the commodity           goal is defined in terms of usage of the commodity.
                                                                          47. A system, as set forth in claim 45, wherein the budget
to at least one customer Site, the customer Site having a              goal is defined in terms of cost of actual amount of the
plurality of devices which use the commodity, the program              commodity used.
aimed at managing demand for the commodity and having                     48. A system, as set forth in claim 45, wherein the budget
a subset of the plurality of devices for which usage of the            goal is defined relative to a predetermined time period and
commodity may be managed by activating the program,                    the at least one node generates an alert if actual usage will
comprising:                                                            exceed the budget goal in the predetermined time period.
   a user interface for allowing the customer to Subscribe to             49. A system, as set forth in claim 48, wherein the alert is
      the program;                                                     Sent to the customer.
                                                                         50. A system, as set forth in claim 48, wherein the alert is
   a distribution network coupled to the Subset of devices for         sent to the utility.
      delivering the commodity to the Subset of devices, and,            51. A system, as set forth in claim 33, wherein the
   at least one node coupled to the Subset of devices for              commodity is electrical power.
      measuring the instantaneous rate at which the commod               52. A system, as set forth in claim 33, wherein the
      ity is being delivered to the Subset of the devices and          commodity is water.
      for Sending the instantaneous rate for each device                 53. A system, as set forth in claim 33, wherein the
      within the subset to the utility.                                commodity is gas.
   34. A System, as Set forth in claim 33, further comprising            54. A system, as set forth in claim 34, wherein the control
a control System coupled to the distribution network for               System automatically activates the program under a prede
                                                                       termined set of conditions.
controlling delivery of the commodity and activating the
program, the at least one node adapted to Subsequently                    55. A system, as set forth in claim 54, wherein the
measure the rate at which the commodity is being delivered             predetermined set of conditions includes at least one of a
to the Subset of the devices.                                          time of day and a day.
   35. A system, as set forth in claim 34, wherein the control            56. A system, as set forth in claim 34, wherein the control
System determines an actual rate of change in the rate of              System allows the program to be manually activated as a
consumption induced by activating the program.                         function of an actual demand of the commodity.
                                                                          57. A system, as set forth in claim 33, wherein the
   36. A system, as set forth in claim 35, wherein the control         program at least one of shifts demand away from a first time
System determines at least one of an alternative rate and              period and eliminates demand from the first time period
billing adjustment to the customer as a function of the actual            58. A system, as set forth in claim 34, wherein the control
capacity Saved at the related customer Site by the program.            System controls the Subset of devices in response to activa
   37. A system, as set forth in claim 36, wherein the at least        tion of the program.
one of an alternative rate and billing adjustment is also a               59. A system, as set forth in claim 58, wherein the control
function of historical usage information.                              System at least one of prevents and limits usage of the
   38. A system, as set forth in claim 36, wherein the at least        commodity during a predetermined period of time.
one of an alternative rate and billing adjustment is a function           60. A system, as set forth in claim 34, wherein at least one
of an actual cost related to the commodity while the program           of the devices has an operating Setpoint, and wherein control
is activated.                                                          System the Subset of devices by modifying the Setpoint.
  39. A system, as set forth in claim 34, wherein the control             61. A system, as set forth in claim 34, wherein the control
System including verifies curtailment of the devices within            System downloads a program Schedule containing Schedul
the Subset of the devices.                                             ing information for the program to the at least one node.
   40. A system, as set forth in claim 33, wherein the user               62. A System for providing at least one program to a
interface is accessible through a web browser.                         customer of a utility of a commodity, the utility delivering




                                                                                    DC_PRIOR_ART_0000451
                                       DTX0219, Page 49 of 50
                                                    Appx10154
     Case: 23-1101                     Document: 15                 Page: 336             Filed: 05/09/2023




US 2004/0117330 A1                                                                                           Jun. 17, 2004


the commodity to at least one customer Site, the customer              63. A System for providing at least one program to a
Site having a plurality of devices which use the commodity,         customer of a utility of a commodity, the utility delivering
the program aimed at managing reducing demand for the               the commodity to at least one customer Site, the customer
commodity and having a Subset of the plurality of devices           Site having a plurality of devices which use the commodity,
for which usage of the commodity may be managed by                  the program aimed at managing demand for the commodity
activating the program, comprising:
                                                                    and having a subset of the plurality of devices for which
   a user interface for allowing the customer to Subscribe to       usage of the commodity may be managed by activating the
      the program;                                                  program, comprising:
   a distribution network coupled to the Subset of devices for        a user interface for allowing the customer to Subscribe to
      delivering the commodity to the Subset of devices,                 the program;
   at least one node coupled to the Subset of the devices for
      measuring the instantaneous rate at which the commod            a distribution network coupled to the Subset of devices for
      ity is being delivered to the Subset of the devices and            delivering the commodity to the Subset of devices,
      for Sending the instantaneous rate for each device
      within the subset to the utility;                               at least one node coupled to the Subset of devices for
   a control System coupled to the user interface, the distri            measuring the instantaneous rate at which the commod
      bution network and the at least one node for controlling           ity is being delivered to the subset of the devices and
      delivery of the commodity, for activating the program,             for Sending the instantaneous rate for each device
      for determining at least one of an actual rate of con              within the subset to the utility; and,
      Sumption of the commodity and a change in the rate of           a control System for activating the program and Verifying
      consumption by activating of the program, and for
      providing at least one of an alternative rate and a billing        management of the devices within the Subset of the
      adjustment to at least one customer as a function of the           devices.
      actual rate of consumption Saved at the related cus
      tomer Site by the program.




                                                                                DC_PRIOR_ART_0000452
                                        DTX0219, Page 50 of 50
                                                      Appx10155
Case: 23-1101   Document: 15   Page: 337   Filed: 05/09/2023




  Pages APPX10181-APPX10272
Removed Due to Confidential Material
Case: 23-1101   Document: 15   Page: 338   Filed: 05/09/2023




                                                           Defendant's Physical
                                                                 Exhibit

                                                                 DPX 1
                                                               Case No. 20-cv-00075


                       Appx10273
Case: 23-1101   Document: 15   Page: 339   Filed: 05/09/2023




                                                          Defendant's Physical
                                                                Exhibit

                                                                 DPX 2
                                                               Case No. 20-cv-00075


                       Appx10274
Case: 23-1101   Document: 15   Page: 340   Filed: 05/09/2023




                                                          Defendant's Physical
                                                                Exhibit

                                                                 DPX 3
                                                               Case No. 20-cv-00075


                       Appx10275
Case: 23-1101   Document: 15   Page: 341   Filed: 05/09/2023




  Pages APPX10279-APPX10281;
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                       Case: 23-1101                      Document: 15       Page: 347               Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers


                                                                                               ( )



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




        Thermostat

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




        The Nest Learning Thermostat™ (https://nest.com/thermostat/life-with-nest-thermostat) is an
        Internet-connected device that is intuitive and easy to use, continuously learning about usage
        patterns in the home to optimize comfort and save energy. Users can control their heating and
        cooling anywhere they have access to an Internet connection.

        Supporting these features requires a sophisticated control system that goes above and beyond
        simple setpoint-based programs. Nest provides a wide range of algorithms (like Early On
        (http://support.nest.com/article/What-is-Early-On), True Radiant
        (http://support.nest.com/article/What-is-True-Radiant), Airwave™
        (http://support.nest.com/article/What-is-Airwave)) that require a signi cant amount of




https://developers.nest.com/guides/api/thermostat-guide                                                                       1/15


                                                                                                                         EF_0895825
                                                                PTX-0281-0001
                                                                 Appx10420
                       Case: 23-1101                      Document: 15       Page: 348             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




        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:



https://developers.nest.com/guides/api/thermostat-guide                                                                     2/15


                                                                                                                       EF_0895826
                                                                PTX-0281-0002
                                                                 Appx10421
                       Case: 23-1101                      Document: 15       Page: 349             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




                 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)".




https://developers.nest.com/guides/api/thermostat-guide                                                                     3/15


                                                                                                                       EF_0895827
                                                                PTX-0281-0003
                                                                 Appx10422
                       Case: 23-1101                      Document: 15       Page: 350             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




                      Hallway (West)
                                              PELY:


        name_long

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


                          Remove thermostat




                                                     Remove




        Label




https://developers.nest.com/guides/api/thermostat-guide                                                                     4/15


                                                                                                                       EF_0895828
                                                                PTX-0281-0004
                                                                 Appx10423
                       Case: 23-1101                      Document: 15             Page: 351             Filed: 05/09/2023

3/24/2021                                                                 Thermostat | Nest Developers




            Peer                        4:16 PM


             <              Hallway (Upstairs)

            Where                                 Hallway (Upstairs) >

            Away options                                              >




            Nest Sense                                                >




                 NE


             <

            Where                                           Hallway >

            Label                                          (Upstairs) >




        Beginning with permissions version v5 (/reference/permissions#permissions_version), you can add
        a custom thermostat label through the API. In the Nest app, label appears in parentheses, after
        the where name.

        Beginning with permissions version v6 (/reference/permissions#permissions_version), you can also
        read the Thermostat label.


        Where

        where_id

                 A unique, Nest-generated identi er that represents name

                 where_id is read-only, and is created automatically in the call to create a custom where
                 name

        Learn more about where names for Nest Thermostats
         (https://nest.com/support/article/How-do-I-change-the-name-of-my-Nest-Learning-Thermostat), Nest
        Protects (https://nest.com/support/article/Learn-more-about-Nest-Protect-locations-names-and-labels)
        and Nest Cams (https://nest.com/support/article/How-do-I-change-the-name-of-my-Nest-Cam).


https://developers.nest.com/guides/api/thermostat-guide                                                                           5/15


                                                                                                                             EF_0895829
                                                                   PTX-0281-0005
                                                                    Appx10424
                       Case: 23-1101                      Document: 15       Page: 352             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




        where_name

        When you choose any of the Thermostat permissions (/reference/permissions#thermostat_read),
        you can access the device where_name from the device object (devices/thermostats).


        Other metadata

        All data values are read only, unless otherwise speci ed.


        Data Value           Description

        locale               The language and country code assigned to this device

        software_ A string that represents the rmware currently installed on the device
        version

        structure_ A string that uniquely represents this structure; this is the structure that the device is paired
        id         with

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

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




        Thermostat features

        Thermostat modes

        HVAC systems have four "on" states (heat, cool, heat-cool, eco) and one "off" state (off). We
        use these states to manage comfort and energy savings through hvac_mode and temperature
        data values.

                 When Heat or Cool mode (heat, cool) is selected, the Thermostat adjusts the home to
                 the target temperature.

                 When Heat • Cool mode (heat-cool) is selected, the Thermostat will keep the home
                 comfortable, within a preferred temperature range.




https://developers.nest.com/guides/api/thermostat-guide                                                                     6/15


                                                                                                                       EF_0895830
                                                                PTX-0281-0006
                                                                 Appx10425
                       Case: 23-1101                      Document: 15       Page: 353             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




                 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:

                                                                                                              Can hvac_mode
        Scenario
                                                                                                              be changed?

        Temperature Lock (#temperature_lock) is enabled                                                       Yes

        Emergency Shutoff                                                                                     No
         (https://nest.com/support/article/How-the-Nest-Thermostat-and-Nest-Protect-work-
        together-in-a-carbon-monoxide-emergency)
        is active




https://developers.nest.com/guides/api/thermostat-guide                                                                       7/15


                                                                                                                        EF_0895831
                                                                PTX-0281-0007
                                                                 Appx10426
                       Case: 23-1101                      Document: 15       Page: 354             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




                                                                                                              Can hvac_mode
        Scenario
                                                                                                              be changed?

        Emergency Heat                                                                                        No
        (https://nest.com/support/article/What-s-Emergency-Heat-and-does-Nest-support-it) is
        enabled

        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.



https://developers.nest.com/guides/api/thermostat-guide                                                                       8/15


                                                                                                                        EF_0895832
                                                                PTX-0281-0008
                                                                 Appx10427
                       Case: 23-1101                      Document: 15       Page: 355             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




        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.




https://developers.nest.com/guides/api/thermostat-guide                                                                     9/15


                                                                                                                       EF_0895833
                                                                PTX-0281-0009
                                                                 Appx10428
                       Case: 23-1101                      Document: 15       Page: 356             Filed: 05/09/2023

3/24/2021                                                           Thermostat | Nest Developers




       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.




https://developers.nest.com/guides/api/thermostat-guide                                                                    10/15


                                                                                                                       EF_0895834
                                                                PTX-0281-0010
                                                                 Appx10429
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        Target and Ambient Temperature elds have _f and _c variants to accommodate consistent
        rounding when displaying temperatures.


        Temperature display


                                                70



                                     HEAT COOL
                                            *




                                68-75


                                    Hallway
        When you display target temperature information, consider these three dependent values:
        temperature_scale, hvac_mode, and the structure's away state.

        Many data values work together to determine what's shown on the Nest Thermostat display,
        and how it behaves.

                 When hvac_mode is set to heat-cool, the Nest Thermostat displays the low and high
                 setpoints separated by a bullet character (•), otherwise the Nest Thermostat displays just
                 the target temperature

                 When hvac_mode is set to off, the word "OFF" is displayed on the Nest Thermostat, in the
                 user's preferred language

                 When hvac_mode is set to eco, the word "ECO" is displayed on the Nest Thermostat, in the
                 user's preferred language

        The display temperature format also depends on the selected temperature scale (F/C).

        Fahrenheit temperatures are displayed as whole numbers:

                 Target temperature: 55°F



https://developers.nest.com/guides/api/thermostat-guide                                                                    11/15


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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%.



https://developers.nest.com/guides/api/thermostat-guide                                                                    12/15


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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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1/28/22, 8:37 PM                                                  Sensors in Google Nest devices - Google Nest Help




       Sensors in Google Nest devices
       Last updated: October 5, 2021
       Google’s connected home devices and services rely on cameras, microphones and other sensors to provide helpful
       features and services. These sensors can detect things like motion, sound and temperature to protect your home and
       loved ones and make your lives more convenient and comfortable. And while they make our connected home devices
       more useful, we understand that you, your family and your friends need to trust that we'll handle your data
       responsibly.

       We’ve published our commitment to privacy in the home         where we’ve committed to the following:

       • When our connected home devices include cameras, microphones, or environmental or activity sensors that detect
         information about your home environment, we’ll list these hardware features in the device’s technical specifications
         — whether or not they’re enabled.
       • We’ll also more clearly explain what types of information these sensors send to Google, as well as examples of how
         we use that information, to help you better understand their purpose.

       We have published this sensors guide as part of these commitments. We will continue to periodically update this
       sensors guide to add new devices, features and services, reflect changes to our existing offerings, or where
       applicable, provide additional details and information.

       The current sensors in Google’s connected home devices and services generally fall into the following categories:

       • Cameras that record video footage and still images and detect what’s happening in the home.
       • Microphones that record audio and can detect specific sounds or motion nearby.
       • Activity sensors that detect activity or changes to the physical state of the device, such as a door sensor that
         detects when a door opens, or an accelerometer that detects when a device is moved. Some activity sensors may
         also detect the presence or movement of people in your home.
       • Environmental sensors that detect external properties of the surrounding environment — such as temperature,
         humidity, light, or smoke — and that can help monitor the conditions inside or around your home.
       • Control sensors that enable control of a device, such as a touch-sensitive button, or a magnetic sensor to detect
         the position of the ring on the Nest Learning Thermostat.

       Google’s connected home devices may also contain additional sensors that monitor device operation. For example,
       internal device sensors can detect when a device’s battery is running low, when it’s overheating, or other conditions
       that can affect the ability of the device to operate as intended. We’ve excluded sensors that collect only such
       diagnostic data from this sensors guide. In addition to enabling the features and services described, the data from the
       sensors listed below may also be used to perform device performance and diagnostic functions.



       Types of sensors, what they measure, and examples of uses


        Type of          What it Measures                         Examples of Uses*
        Sensor


                                                       Cameras and Microphones




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        Type of           What it Measures                           Examples of Uses*
        Sensor

        Humidity          Humidity sensors measure the amount        Nest Learning Thermostat, Nest Thermostat E, Nest
                          of water (relative humidity) in the air.   Thermostat

                                                                     Detect ambient humidity for comfort optimization and
                                                                     control of whole-home humidifiers.

                                                                     Nest Protect

                                                                     Enables the Steam Check feature to reduce nuisance
                                                                     alarms caused by things like steam from your shower.

                                                                     Nest Guard

                                                                     Currently unused. Included for potential future feature
                                                                     enhancements.

                                                                     Nest Detect

                                                                     Included for potential future feature enhancements.
                                                                     Currently only used for monitoring device operation.


        Smoke             Detects the presence of smoke in the       Nest Protect (1st generation)
        (photoelectric    air by detecting when smoke particles
                                                                     Fire/smoke detection
        sensor)           pass in front of an infrared light
                          source.


        Smoke (Split-     Detects the presence of smoke in the       Nest Protect (2nd generation)
        Spectrum          air using two wavelengths of light to
                                                                     Fire/smoke detection
        sensor)           look for smoke. An infrared light is
                          used to detect larger particles
                          generated by slow, smoldering fires,
                          while a blue light detects smaller
                          particles created by fast fires.


        Temperature       Temperature sensors measure the            Nest Hub (2nd gen)
                          current temperature. This can be the
                                                                     Measures ambient room temperature with Sleep Sensing
                          ambient temperature in a room, or the
                                                                     to help you understand sleep environmental disturbances.
                          temperature inside a device.
                                                                     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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        =    Google     The Keyword




              G OOG L E N E ST




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              Thermostat
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        ability to figure out when something might be going wrong with your HVAC system. Now,
        we’re taking steps to make that possible for most systems in Canada and the U.S.
        with HVAC monitoring, which is rolling out today to all Nest thermostats in those regions.

        Where did the idea for the HVAC monitoring feature come from?

        Marco: It started two years ago, as a side project. The first question was “is this going to
        be valuable for people?” and the answer was “yes.” When our customers had an HVAC
        issue, they would call us assuming there was something wrong. We were trying to help
        them troubleshoot and connect them to a Nest Pro, but we wanted to do it more
        proactively. That led us to the second question, “can we do this?” and the answer was
        also, “yes, we can do this.” Moving forward, we should be able to provide even more
        context, so it will help people, and pros, even more. We already saw improvements since
        we launched the beta earlier this year, so we’re really encouraged to provide more
        proactive help to customers.

        What made this possible?

        Ramya: Cloud computing advancements, definitely. We used to run a lot of algorithms on
        the device, that’s what got Nest started. Now, with cloud computing, we can aggregate
        data anonymously from Nest thermostats to inform what sort of actions we take and
        what we can suggest to owners. This helps inform features like Savings Finder and HVAC
        monitoring.

        Originally, each thermostat operated on its own, but now we have the power to make
        intelligent decisions based on anonymized data, which might not have been possible if
        we were just looking at each individual device.

        How does a smart thermostat find possible HVAC issues?

        Marco: We monitor the estimated ambient and target temperature and predict time to
        temperature. We have predicted the expected behavior and then look for anomalies
        which may be potential performance issues with the HVAC system.




            © Temperature decline while the heat was on
            March 6




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