Prosecution Insights
Last updated: April 19, 2026
Application No. 18/340,258

APPARATUS INCLUDING A CONTROL DEVICE AND A METHOD OF USING THE SAME

Non-Final OA §103
Filed
Jun 23, 2023
Examiner
TRA, TUYEN Q
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Sage Electrochromics Inc.
OA Round
1 (Non-Final)
86%
Grant Probability
Favorable
1-2
OA Rounds
2y 5m
To Grant
96%
With Interview

Examiner Intelligence

Grants 86% — above average
86%
Career Allow Rate
863 granted / 1003 resolved
+18.0% vs TC avg
Moderate +10% lift
Without
With
+10.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 5m
Avg Prosecution
28 currently pending
Career history
1031
Total Applications
across all art units

Statute-Specific Performance

§101
1.4%
-38.6% vs TC avg
§103
42.5%
+2.5% vs TC avg
§102
37.2%
-2.8% vs TC avg
§112
13.9%
-26.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1003 resolved cases

Office Action

§103
DETAILED ACTION Notice of Pre-AIA or AIA Status The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . Claim Rejections - 35 USC § 103 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action: A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made. Claims 1-14, 19 and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Wang et al. (US 20200270939). Regarding claim 1, Wang discloses an apparatus comprising: two or more electrochromic devices configured in at least two rows, wherein the two or more electrochromic devices comprise a first electrochromic device in a first row with a graded transmission state and a second electrochromic device in a second row with a graded transmission state (a gradient façade 380 comprising: a plurality of IGUs, specifically a first IGU 382, a second IGU 384, a third IGU 386, and a fourth IGU 388, wherein the plurality of IGU s comprises a comer-to-comer tinting gradient across the façade (see paragraph [0063]; and figure 3D)). Wang does not disclose "a control device configured to generate a graded transmission pattern for the two or more electrochromic devices, wherein the gradient transmission state of the first electrochromic device is a mirror to the gradient transmission state of the second electrochromic device". However, the different feature would be easily derived from the disclosure of Wang (see paragraphs [0058], [0079]; and figure 2E: "The first IGU comprises a continuous visible light transmission gradient that varies from about 10% transmission along the left edge 262 of the first IGU to about 63% transmission (least tinting fully clear) along the right edge 260 of the first IGU. The second IGU comprises a continuous visible light transmission gradient that varies from about 10% transmission along the left edge 266 of the second IGU to about 63% transmission along the right edge 264 of the second IGU" and "controlling, via a controller, a first tint profile of the first IGU based at least in part on the position of the first IGU in the spatial coordinate system; and controlling, via the controller, a second tint profile of the second IGU based at least in part on the first tint profile and on the position of the second IGU in the spatial coordinate system"). It would have been obvious to a person skilled in the art, before effective filing date of the claimed invention, to arrive at the matter defined in claim 1 over Wang. Regarding claim 2, Wang discloses the apparatus of claim 1, further comprising a third electrochromic device on the first row, wherein the first electrochromic has a gradient transmission state (see para. [0063]; and figure 3D: "a plurality of IGUs, specifically a first IGU 382, a second IGU 384, a third IGU 386, and a fourth IGU 388" and "The plurality of IGUs comprises a comer-to-comer tinting gradient across the facade") (i.e., Fig. 3C has a third EC 372 in a first row with a first EC 364). Regarding claim 3, Wang discloses the apparatus of claim 2, wherein gradient transmission state of the first electrochromic device is a mirror to the gradient transmission state of the third electrochromic device (merely a variation of the disclosure of Wang (see par. [0061]; and figure 3B: "The first IGU comprises a continuous visible light transmission gradient that varies from about 1% transmission along the top edge 336 of the first IGU to about 10% transmission along the bottom edge 338 of the first IGU" and "The third IGU comprises a continuous visible light transmission gradient that varies from )(Figure 3C, first EC device 364 is a mirror to third EC device 360). Regarding claim 6, Wang discloses the apparatus of claim 2, further comprising a fourth electrochromic device on the first row, wherein the fourth electrochromic device has a gradient transmission state (are merely variations of the disclosure of Wang (see par. [0063]; and fig. 3D: "FIG. 3D is an illustration of a gradient facade 380 comprising a plurality of IGUs, specifically a first IGU 382, a second IGU 384, a third IGU 386, and a fourth IGU 388, according to an embodiment", "The first IGU comprises a uniform visible light transmission of 63% across the entire first IGU" and "The fourth IGU comprises a continuous visible light transmission gradient that varies from about 10% transmission at the top left corner 398 of the fourth IGU to about 1% transmission at the bottom right corner 400 of the fourth IGU"). Regarding claim 11, Wang discloses the apparatus of claim 1, further comprising a third electrochromic device (408) on the first row, wherein the first electrochromic device (404) has a fully clear transmission state (Fig. 3E, par.[0064]). Regarding claim 12, Wang discloses the apparatus of claim 11, further comprising a fourth electrochromic device (410) on the second row, wherein the fourth electrochromic device (410) has a fully clear transmission state (Fig. 3E, par.[0064]). Regarding claims 4-5, 7-10, 13 and 14, Wang discloses an array of electrochromic insulating glass units (IGUs) (for example: Figure 3C) comprising at least four electrochromic devices and each electrochromic device is independently controllable and dimmable transmission light. Therefore, it would be obvious to one having ordinary skill in the art, before effective filing date of the claimed invention, to configure the device of Wang such as disclosed in figure 3C to arrive features as in applicant claims 4-5, 7-10, 13 and 14 since Wang device is configurable. Regarding claims 19 and 20, Wang discloses apparatus and basic method step of operating an apparatus comprising: receiving a first input; and at a control device, in response to receiving the first input, to generate a graded transmission pattern for two or more electrochromic devices configured in at least two rows, wherein the two or more electrochromic devices comprise a first electrochromic device in a first row with a graded transmission state and a second electrochromic device in a second row with a graded transmission state, wherein the gradient transmission state of the first electrochromic device is a mirror to the gradient transmission state of the second electrochromic device (a gradient façade 380 comprising: a plurality of IGUs, specifically a first IGU 382, a second IGU 384, a third IGU 386, and a fourth IGU 388, wherein the plurality of IGU s comprises a comer-to-comer tinting gradient across the façade (see paragraph [0063]; and figure 3D)). However, Wang does not disclose receiving a first input corresponding to state information. However, Wang disclose in claim 17: "receiving sensor data, at the controller, and adjusting one or more of the first, second, third, and fourth tint profiles based on the sensor data". Therefore, it would be obvious to one having skill in the art before effective filing date of the claimed invention, to apply the feature of sensor data from a sensor data including state information. Claims 15-18 are rejected under 35 U.S.C. 103 as being unpatentable over Wang et al. (US 20200270939) in view of Wang (US 2021/0173278 A1, hereinafter Wang’s 278). Regarding claim 15, Wang discloses the apparatus of claim 1 with electrochromic layers, conductive layers. However, Wang does not disclose wherein the two or more electrochromic devices comprise: a first transparent conductive layer; a first bus bar electrically connected to the first transparent conductive layer; a second bus bar parallel to the first bus bar electrically connected to the first transparent conductive layer; a second transparent conductive layer; a third bus bar orthogonal to the first bus bar and electrically connected to the second transparent conductive layer; a fourth bus bar parallel to the third bus bar and electrically connected to the second transparent conductive layer; a cathodic electrochemical layer between the first transparent conductive layer and the second transparent conductive layer; and an anodic electrochemical layer between the first transparent conductive layer and the second transparent conductive layer. Wang’s278 is in same field of endeavor and teaches wherein the two or more electrochromic devices comprise: a first transparent conductive layer; a first bus bar (710) electrically connected to the first transparent conductive layer; a second bus bar (720) parallel to the first bus bar electrically connected to the first transparent conductive layer; a second transparent conductive layer; a third bus bar (730) orthogonal to the first bus bar and electrically connected to the second transparent conductive layer; a fourth bus bar (740) parallel to the third bus bar and electrically connected to the second transparent conductive layer; a cathodic electrochemical layer between the first transparent conductive layer and the second transparent conductive layer; and an anodic electrochemical layer between the first transparent conductive layer and the second transparent conductive layer (Figure 7A, par.[0065]). Therefore, it would have been obvious to one having ordinary skill in the art, before effective filing date of the claimed invention, to apply teaching of Wang’s278 to device of Wang for purpose of forming electrochromic window device. Regarding to claim 16, Wang and Wang’s278 discloses the system of claim 15. Wang’s278 discloses wherein each of the one or more electrochromic devices further comprises an ion conducting layer between the cathodic electrochemical layer and the anodic electrochemical layer ([0041], [0100]). Regarding to claim 17, Wang and Wang’s278 discloses the system of claim 15. Wang’s278 discloses wherein the system of claim 15, wherein the first transparent conductive layer comprises indium oxide, indium tin oxide, doped indium oxide, tin oxide, doped tin oxide, zinc oxide, doped zinc oxide, ruthenium oxide, doped ruthenium oxide, silver, gold, copper, aluminum, and any combination thereof (par. [0042]). Regarding to claim 18, Wang and Wang’s278 discloses the system of claim 15. Wang’s278 discloses wherein the second transparent conductive layer comprises indium oxide, indium tin oxide, doped indium oxide, tin oxide, doped tin oxide, zinc oxide, doped zinc oxide, ruthenium oxide, doped ruthenium oxide and any combination thereof (par. [0042]). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to TUYEN TRA whose telephone number is (571)272-2343. The examiner can normally be reached M-F 10-6. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Bumsuk Won can be reached at 571-272-2713. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /TUYEN TRA/ Primary Examiner, Art Unit 2872
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Prosecution Timeline

Jun 23, 2023
Application Filed
Aug 23, 2025
Non-Final Rejection — §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
86%
Grant Probability
96%
With Interview (+10.1%)
2y 5m
Median Time to Grant
Low
PTA Risk
Based on 1003 resolved cases by this examiner. Grant probability derived from career allow rate.

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