ANT
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address:COMMISSIONER FOR PATENTS
`PO. Box 1450
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`WWW.uspto.gov
`
` APPLICATION
`
`FIL FEE REC'D
`
`105
`
`ATTY.DOCKET.NO
`
`TOT CLAIMS§IND CLAIMS
`
`NUMBER
`
`FILING or
`371(c) DATE
`
`GRP ART
`UNIT
`
`61/134,714
`
`07/14/2008
`
`John Steinberg
`EcoFactor, Inc.
`
`129 Broadway #001
`
`Millbrae, CA 94030
`
`CONFIRMATION NO.2857
`FILING RECEIPT
`
`HN9,400000
`
`Date Mailed: 07/29/2008
`
`It will not be examined for patentability and will
`Receipt is acknowledged of this provisional patent application.
`become abandonednotlater than twelve monthsafterits filing date. Any correspondenceconcerning the application
`mustinclude the following identification information: the U.S. APPLICATION NUMBER, FILING DATE, NAME OF
`APPLICANT, and TITLE OF INVENTION. Feestransmitted by checkor draft are subject to collection. Please verify
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`a written request for a Filing Receipt Correction. Please provide a copy of this Filing Receipt with the
`changesnoted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
`any correctionsto this Filing Receipt with your reply to the Notice. When the USPTOprocessesthe reply
`to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections
`
`Applicant(s)
`
`John Douglas Steinberg, Millbrae, CA;
`Powerof Attorney: None
`
`lf Required, Foreign Filing License Granted: 07/28/2008
`The country code and numberof your priority application, to be usedforfiling abroad under the Paris Convention,
`is US 61/134,714
`Projected Publication Date: None, application is not eligible for pre-grant publication
`
`Non-Publication Request: No
`
`Early Publication Request: No
`** SMALL ENTITY **
`Title
`
`System and methodfor using a graphic interface as an occupancysensorfor an energy
`management system
`
`PROTECTING YOUR INVENTION OUTSIDE THE UNITED STATES
`
`Since the rights granted by a U.S. patent extend only throughouttheterritory of the United States and have no
`effect in a foreign country, an inventor who wishes patent protection in another country must apply for a patent
`in a specific country or in regional patent offices. Applicants may wish to consider the filing of an international
`application under the Patent Cooperation Treaty (PCT). An international (PCT) application generally has the same
`effect as a regular national patent application in each PCT-membercountry. The PCT process simplifies the filing
`of patent applications on the sameinvention in member countries, but does not result in a grant of "an international
`page 1 of 3
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`0001
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`

`patent" and does not eliminate the need of applicants to file additional documents and fees in countries where patent
`protection is desired.
`
`Almost every country has its own patent law, and a person desiring a patent in a particular country must make an
`application for patent in that country in accordance with its particular laws. Since the laws of many countries differ
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`
`Applicants also are advised that in the case of inventions made in the United States, the Director of the US PTO must
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`
`Applicants may wish to consult the USPTO booklet, "General Information Concerning Patents" (specifically, the
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`can be viewed on the USPTO website at http://www.uspto.gov/web/offices/pac/doc/general/index.html.
`
`For information on preventing theft of your intellectual property (patents, trademarks and copyrights), you may wish
`to consult the U.S. Government website, http://www.stopfakes.gov. Part of a Department of Commerce initiative,
`this website includes self-help "toolkits" giving innovators guidance on how to protect intellectual property in specific
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`LICENSE FOR FOREIGN FILING UNDER
`
`Title 35, United States Code, Section 184
`
`Title 37, Code of Federal Regulations, 5.11 & 5.15
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`GRANTED
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`The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
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`set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
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`
`This license is to be retained by the licensee and may be used at any time on or after the effective date thereof unless
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`Security, Department of Commerce (15 CFR parts 730-774); the Office of Foreign AssetsControl, Department of
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`NOT GRANTED
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`No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
`LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR 5.12,
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`
`page 3 of 3
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`0003
`
`

`

`J?ATENT APPLICATION SERIAL NO. _________ _
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`FEE RECORD SHEET
`
`07/15/2008 RNEBRAHT 00000103 61134714
`105.00 OP
`01 FC:2005
`
`PT0-1556
`{5/87) .
`
`•u.s. Government Printing Office: 2002- 489-267/69033
`
`0004
`
`

`

`Doc Code: TR.PROV
`i;rpcument Description: Provisional Cover Sheet (SB16)
`c:.n
`~
`-.-
`en
`lJ
`--l
`u
`lnventor(s)
`
`PTOISB/16 (04--07)
`Approved for use lhrough'0613012010 0MB 0651-0032
`U.S. Patent and Trademar11 Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Ad of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number
`Provisional Application for Patent Cover Sheet
`This is a request for filing a PROVISIONAL APPLICATION FOR PATENT under 37 CFR 1.53(c)
`
`U.S. PTO
`61/134714
`07/14/2008
`
`Inventor 1
`
`Given Name
`
`Middle Name
`
`Family Name
`
`City
`
`State
`
`John
`
`Douglas
`
`Steinberg
`
`Millbrae
`
`CA
`
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by s~lecting the Add button.
`
`1: R~m9v~ I
`Country i
`
`us
`
`,¼ .. · Add. I
`
`Title of Invention
`
`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN
`OCCUPANCY SENSOR FOR AN ENERGY MANAGEMENT SYSTEM
`
`Attorney Docket Number (if applicable)
`
`Correspondence Address
`
`Direct all correspondence to (select one):
`
`O The address corresponding to Customer Number @ Firm or Individual Name
`
`Firm or Individual Name 1
`
`Firm or Individual Name 2
`
`Mailing Address of Applicant:
`
`Address 1
`
`Address 2
`
`City
`
`Postal Code
`
`Phone
`
`423 Broadway #801
`
`Millbrae
`
`94030
`
`650 873 0829
`
`John Steinberg
`
`EcoFactor, Inc.
`
`State/Province
`
`Country i
`
`CA
`
`us
`
`The invention was made by an agency of the United States Government or under a contract with an agency of the United
`States Government.
`
`@ No.
`O Yes, the name of the U.S. Government agency and the Government contract number are:
`
`EFS • Web1.0.1
`
`0005
`
`

`

`Doc Code: TR.PROV
`Document Description: Provisional Cover Sheet (S816)
`
`PTO/SB/16 (04--07)
`Approved for use through 06/30/2010 0MB 0651-0032
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid 0MB control number
`
`Entity Status
`Applicant claims small entity status under 37 CFR 1.27
`@ Yes, applicant qualifies for small entity status under 37 CFR 1.27
`Q No
`
`Warning
`
`Petitioner/applicant is cautioned to avoid submitting personal information in documents filed in a patent application that may
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`
`Signature
`
`Please see 37 CFR 1.4(d) fo r~ of the signature.
`
`Signature
`
`First Name
`
`/~
`John l/) Last Name
`
`Date (YYYY-MM-DD) 7/,1/of
`
`I
`
`Steinberg
`
`Registration Number
`(If appropriate)
`
`This collection of information is required by 37 CFR 1.51. The information is required to obtain or retain a benefit by the public which is to
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`the provisional application.
`
`EFS - Web 1.0.1
`
`0006
`
`

`

`PTO/SB/14 (07-07)
`Approved for use through 06/30/2010. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperworl< Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`Application Number
`
`Title of Invention
`
`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN OCCUPANCY SENSOR FOR AN
`ENERGY MANAGEMENT SYSTEM
`
`The application data sheet is part of the provisional or nonprovisional application for which it is being submitted. The following form contains the
`. bibliographic data arranged in a format specified by the United States Patent and Trademark Office as outlined in 37 CFR 1. 76.
`This document may be completed electronically and submitted to the Office in electronic format using the Electronic Filing System, (EFS) or the
`document may be printed and included in a paper filed application.
`
`Secrecy Order 37 CFR 5.2
`D Portions or all of the application associated with this Application Data Sheet may fall under a Secrecy Order pursuant to
`37 CFR 5.2 (Paper filers only. Applications that fall under Secrecy Order may not be filed electronically.)
`A r DDICan n orma 10n:
`t I f
`f
`Annlicant 1
`I QParty of Interest under 35 U.S.C. 118
`Applicant Authority @Inventor I QLegal Representative under 35 U.S.C. 117
`If applicant is not an inventor, indicate the authority to file for the patent on behalf of the inventor, the inventor is:
`I
`Family Name
`
`Prefix Given Name
`
`Suffix
`
`Middle Name
`Douglas
`John
`Steinberg
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`State/Province I CA
`I Country of Residenc~ I us
`City Millbrae
`Country Of Residencei I
`
`City
`
`Active Military Service in
`
`Citizenship under 37 CFR 1.41(bj
`Mailing Address of Applicant:
`423 Broadway #801
`Address 1
`
`us
`
`City
`
`I CA
`
`Address 2
`I State/Province
`I Millbrae
`I Count~ I
`Postal Code
`If the representative for the inventor"is an Organization check here. □
`Organization Name
`I
`
`Prefix Given Name
`
`Middle Name
`
`Family Name
`
`Suffix
`
`Residence Information of the Inventor's Representative:
`Residence Information (Select One) @ US Residency 0 Non US Residency 0 Active US Military Service
`State/Province I
`I Country of Residence I
`City
`I
`Country Of Residencei
`
`City
`
`Active Military Service in
`
`Citizenship under 37 CFR 1.41(b)i
`Mailing Address of the Inventor's Representative:
`Address 1
`
`Address 2
`
`EFS Web 2.2.2
`
`0007
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`

`

`PTO/SB/14 (07-07)
`Approved for use through 06/30/2010. 0MB 0651-0032
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwor11 Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`Application Number
`
`Title of Invention
`
`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN OCCUPANCY SENSOR FOR AN
`ENERGY MANAGEMENT SYSTEM
`
`City
`
`State/Province
`
`I
`
`Postal Code
`
`Country J
`All Inventors Must Be Listed - Additional Inventor Information blocks may be
`generated within this form by selecting the Add button.
`
`l'CAdd
`
`I
`
`Correspondence Information:
`Enter either Customer Number or complete the Correspondence Information section below.
`For further information see 37 CFR 1.33(a).
`
`i;gJ An Address is being provided for the correspondence Information of this application.
`
`Customer Number
`
`Name 1
`
`Address 1
`
`Address 2
`
`City
`
`Country J
`
`John
`
`423 Broadway #801
`
`Name2
`
`Steinberg
`
`Millbrae
`
`State/Province
`
`CA
`
`Phone Number
`
`Email Address
`
`650 873 0829
`
`john@ecofactor.com
`
`Postal Code
`
`Fax Number
`
`94030
`
`1. Add Email: I
`
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`
`Application Information:
`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN OCCUPANCY SENSOR
`FOR AN ENERGY MANAGEMENT SYSTEM
`I Small Entity Status Claimed
`
`Title of the Invention
`
`Attorney Docket Number
`
`i;gJ
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`Application Type
`
`Provisional
`
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`Utility
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`i;gJ C. 122(b) and certify that the invention disclosed in the attached application has not and will not be the subject of
`an application filed in another country, or under a multilateral international agreement, that requires publication at
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`
`Representative Information:
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`

`

`PT_O/SB/14 (07-07)
`Approved for use through 06/30/2010. 0MB 0651-0032
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`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
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`Attorney Docket Number
`
`Application Number
`
`Title of Invention
`
`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN OCCUPANCY SENSOR FOR AN
`ENERGY MANAGEMENT SYSTEM
`
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`

`PTO/SB/14 (07-07)
`Approved for use through 06/30/2010. 0MB 0651-0032
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`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`Application Data Sheet 37 CFR 1.76
`
`Attorney Docket Number
`
`Application Number
`
`Title of Invention
`
`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN OCCUPANCY SENSOR FOR AN
`ENERGY MANAGEMENT SYSTEM
`
`If the Assignee is an Organization check here.
`
`~
`
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`EcoFactor, Inc.
`Given Name
`
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`
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`
`Family Name
`
`Suffix
`
`Address 1
`
`Address 2
`
`City
`Country I us
`Phone Number
`
`423 Broadway #801
`
`Millbrae
`
`State/Province
`
`CA
`
`Postal Code
`
`94030
`
`650 873 0829
`
`'
`
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`
`Email Address ·
`
`john@ecofactor.com
`
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`0010
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`

`

`SYSTEM AND METHOD FOR USING A GRAPHIC INTERFACE AS AN
`
`OCCUPANCY SENSOR FOR AN ENERGY MANAGEMENT SYSTEM
`
`Background of the Invention
`
`Field of the Invention
`
`This invention relates to the use of thermostatic HVAC and other energy management
`
`controls that are connected to a computer network. More specifically, the present
`
`invention pertains to the use of user interactions with an interface such as a personal
`
`computer or an Internet-enabled television as signal related to occupancy to inform an
`
`energy management system.
`
`Background
`
`Heating and cooling systems for buildings (heating, ventilation and cooling, or HVAC
`
`systems) have been controlled for decades by thermostats. At the most basic level, a
`
`thermostat includes a means to allow a user to set a desired temperature, a means to sense
`
`actual temperature, and a means to signal the heating and/or cooling devices to tum on or
`
`off in order to try to change the actual temperature to equal the desired temperature. The
`
`most basic versions of thermostats use components such as a coiled bi-metallic spring to
`
`measure actual temperature and a mercury switch that opens or completes a circuit when
`
`the spring coils or uncoils with temperature ch_anges. More recently, electronic digital
`
`thermostats have be.come prevalent. These thermostats use solid-state devices such as
`
`thermistors or thermal diodes to measure temperature, and microprocessor-based circuitry
`
`0011
`
`

`

`to control the switch and to store and operate based upon user-determined protocols for
`
`temperature vs. time.
`
`These programmable thermostats generally offer a very restrictive user interface, limited
`
`by the cost of the devices, the limited real estate of the small wall-mounted boxes, and the
`
`inability to take into account more than two variables: the desired temperature set by the
`
`user, and the ambient temperature sensed by the thermostat. Users can generally only set
`
`one series of commands per day, ~din order to change one parameter (e.g., to change
`
`the late-night temperature) the user often has to cycle through several other parameters by
`
`repeatedly pressing one or two buttons.
`
`Because the interface of programmable thermostats is so poor, the significant theoretical
`
`savings that are possible with them (sometime~ cited as 25% of heating and cooling
`
`costs) are rarely realized. In practice, studies have found that more than 50% of users
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`never program their thermostats at all. Significant percentages of the thermostats that are
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`programmed are programmed sub-optimally, in part because, once programmed, people
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`tend to not to re-invest the time needed to change the settings very often.
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`Asecond problem with standard programmable thermostats is that they represent only a
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`small evolutionary step beyond the first, purely mechanical thermostats. Like the first
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`thermostats, they only have two input signals - ambient temperature and the pre~et
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`desired temperature. The entire advance with programmable thermostats is that they can
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`shift between multiple present temperatures at different times without real-time
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`involvement of a human being.
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`Because most thermostats control HV AC systems that do not offer infinitely variable
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`output, traditional thermostats are designed to permit the temperature as seen by the
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`thermostat to vary above and below the setpoint to prevent the HV AC system from
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`constantly and rapidly cycling on and off, which is inefficient and harmful to the HV AC
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`system. The temperature range in which the thermostat allows the controlled environment
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`to drift is known as both the dead zone and, more formally, the hysteresis zone. The
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`hysteresis zone is frequently set at+/- 1 degree Fahrenheit. Thus if the setpoint is 68
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`degrees, in the heating context the thermostat will allow the inside temperature to fall to
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`67 degrees before turning the heating system on, and will allow it to rise to 69 degrees
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`before turning it off again. ·
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`As energy prices rise, more attention is being paid to ways of reducing energy
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`consumption. Because energy consumption is directly proportional to setpoint - that is,
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`the further a given setpoint diverges from the balance point (the inside temperature
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`assuming no HVAC activity) in a given house under given conditions, the higher energy
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`consumption will be to maintain temperature at that setpoint), energy will be saved by
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`virtually any strategy that over a given time frame lowers the average heating setpoint or
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`raises the cooling setpoint. Conventional programmable thermostats allow homeowners
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`to save money and energy by pre-progrru:nming setpoint changes based upon comfort or
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`schedule. For example, in the·summer, allowing the setpoint to rise by several degrees
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`( or even shutting off the air conditioner) when the home is unoccupied will generally
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`save significantly on energy. But such thermostats have proven to be only minimally
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`effective in practice. Because they have such primitive user interfaces, they are difficult
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`to program, and so many users never bother at all, or set them up once and do not alter
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`the programming even if their schedules change.
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`In the hotel industry, the heating and cooling decisions made in hundred or even
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`thousands of individual rooms with independently controlled HV AC systems are
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`aggregated into a single energy bill, so hotel owners and managers are sensitive to energy
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`consumption by those systems. Hotel guests often turn the air conditioner to a low
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`temperature setting and then leave the room for hours at a time, thereby wasting
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`considerable energy. An approach commonly used outside of the United States to combat
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`this problem is to use a keycard to control the HVAC systein, such that guests place the
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`keycard into a slot mounted on the wall near the door of the room which then triggers the
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`lights and HV AC system to power up, and tum them off when the guest remove~ the card
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`upon leaving the room. However, because most hotels give each guest two cards, it is
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`easy to simply leave the extra card in the slot, thus defeating the purpose of the system.
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`Recently, systems have been introduced in which a motion sensor is connected to the
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`control circuitry for the HV AC system. If no motion is detected in the room for some
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`predetermined interval, the system concludes that the room is unoccupied, and turns off
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`or alters the setpoint of the HV AC system to a more economical level. When .the motion
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`sensor detects motion (which is assumed to coincide with the return of the guest), the
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`HVAC system resets to the guest's chosen setting.
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`Adding occupancy detection capability to residential HV AC systems could also add
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`considerable value in the form of energy savings without significant tradeoff in terms of·
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`comfort. But the systems used in hotels do not easily transfer to the single-family
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`residential context. Hotel rooms tend to be small enough that a single motion sensor is
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`sufficient to determine with a high degree of accuracy whether or not the room is
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`occupied. A single motion sensor in the average home today would have limited value
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`because there are likely to be many places one or more people could be home and active
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`yet invisible to the motion sensor. The most economical way to include a motion sensor
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`in a traditional programmable thermostat would be to build it into the thermostat itself.
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`But thermostats are generally located in hallways, and thus are unlikely to be exposed to
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`the areas where people tend to spend their time. Wiring a home with multiple motion
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`sensors in order to maximize the chances of detecting occupants would involve
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`considerable expense, both for the sensors themselves and for the considerable cost of
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`installation, especially in the retrofit market. Yet if control is ceded to a single-sensor
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`system that cannot reliably detect presence, the resulting errors would likely lead the
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`homeowner to reject the system.
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`It would thus be desirable to provide a system that could detect occupancy without
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`requiring the installation of additional hardware; that could accurately detect occupancy
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`regardless of which room in the house is occupied, and could optimize energy
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`consumption based upon dynamic and individually configurable heuristics.
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`Summary of the Invention
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`In one embodiment, the invention comprises a thermostat attached to an HV AC system, a
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`. local network connecting the thermostat to a larger network such as the Internet, and one
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`or more computers attached to the network, and a server in bi-directional communication
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`with a plurality of such thermostats and computers. The server pairs each thermostat with
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`one or more computers which are determined to be associated with the home in which the
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`thermostat is located. The server logs the ambient temperature sensed by each thermostat
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`vs. time and the signals sent by the thermostats to their HY AC systems. The server also
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`monitors and logs activity on the computer associated with each thermostat. Based on the
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`activity patterns evidenced by keystrokes, cursor movement or other inputs, or lack
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`thereof, the server instructs the thermostat to change temperature settings between those
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`optimized for occupied and unoccupied states.
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`Brief Description of the Drawings
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`Figure 1 shows an example of an overall environment in which _an embodiment of the
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`invention may be used. ,
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`Figure 2 shows a high-level illustration of the architecture of a network showing the
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`relationship between the major elements of one embodiment of the subject invention.
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`Figure J shows an embodiment of the website to be used as part of the subject invention.
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`Figure 4 shows a high-level schematic of the thermostat used as part of the subject
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`invention.
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`Figure 5 shows one embodiment of the database structure used as part of the subject
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`invention
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`Figure 6 shows the browser as seen on the display of the computer used as part of the
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`subject invention.
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`Figure 7 is a flowchart showing the steps involved in the operation of one embodiment of
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`the subject invention.
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`Figure 8 is a flowchart that shows how the invention can be used to select different
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`HV AC settings based upon its ability to identify which of multiple potential occupants is
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`using the computer attached to the system.
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`Detailed Description
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`Figure 1 shows an example of an ove