Prosecution Insights
Last updated: October 26, 2026
Application No. 18/370,107

CONTROL DEVICE FOR CONTROLLING MULTIPLE OPERATING CHARACTERISTICS OF AN ELECTRICAL LOAD

Non-Final OA §103
Filed
Sep 19, 2023
Priority
Jun 03, 2016 — provisional 62/345,449 +4 more
Examiner
ERDMAN, CHAD G
Art Unit
2128
Tech Center
2100 — Computer Architecture & Software
Assignee
Lutron Technology Company LLC
OA Round
1 (Non-Final)
80%
Grant Probability
Favorable
1-2
OA Rounds
0m
Est. Remaining
98%
With Interview

Examiner Intelligence

Grants 80% — above average
80%
Career Allowance Rate
467 granted / 582 resolved
+25.2% vs TC avg
Strong +18% interview lift
Without
With
+17.7%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
25 currently pending
Career history
619
Total Applications
across all art units

Statute-Specific Performance

§101
6.0%
-34.0% vs TC avg
§103
55.6%
+15.6% vs TC avg
§102
16.8%
-23.2% vs TC avg
§112
14.2%
-25.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 582 resolved cases

Office Action

§103
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 . DETAILED ACTION Priority Acknowledgment is made of applicant's claim for domestic benefit based on the earliest supporting application 15/611,946 (Now US Patent No. 10,375,803) filed on June 2, 2017. DETAILED ACTION Claims 1 – 15 and 21 - 25 are pending in the application. Claims 1 – 16 were subject to a restriction/election requirement and are cancelled by applicant. Claims 1 and 21 are independent. Claims 21 – 25 are new. This action is Non-final action. Claim Objections Claim 4 is objected to because of the following informalities: Claim 4 discloses: “second rotating portions and moved towards each other…” but should read: “second rotating portions are moved towards each other…” Appropriate correction is required. Claim Rejections - 35 USC § 103 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, 3, 6 – 15, 21, 22, 24 and 25 are rejected under 35 U.S.C. 103 as being unpatentable over Jacobson (US Patent No. 2017/0167705), herein “Jacobson,” in view of Chinese Patent document Wang et al. (CN 105282942 A) herein “Wang.” Regarding claim 1, Jacobson teaches a control device configured for use in a load control system to control a lighting load external to the control device, the control device comprising: (Abstract: “A load control device may be configured to control multiple characteristics of one or more electrical loads such as the intensity and color of a lighting load. The load control device may include concentric rotating portions for adjusting the multiple characteristics. A control circuit of the load control device may be configured to generate control data for controlling one or more of the characteristics of the electrical loads in response to rotations of the concentric rotating portions.”) a first rotating portion (first portion and/or actuator knob 603.) configured to be rotatable with respect to the base portion; (See figures 6A, 7A, and 8A showing the base portion above socket portion 150.) a second rotating portion (second portion and/or rotating cap, Figure 6B, item 612.) concentric with the first rotating portion and configured to be rotatable with respect to the base portion, the first and second rotating portions occupying different planes along an axis perpendicular to the base portion; (Paragraphs 0174 - 0176; Figures 6A and 6B. See also Figures 7A – 7D and 8A – 8D and corresponding paragraphs. Figures 6, 7, and 8 depict at least a first and second rotating portions that are concentric in different planes wherein the rotating portions that control the light intensity (Par. 0191) and switching the light off or on (Par. 0168). ) Jacobson does not explicitly teach that the first and second rotating portions change a first and second characteristics. However, Wang teaches a control circuit configured to: generate first control data for changing a first characteristic of the lighting load based on a position of the first rotating portion; generate second control data for changing a second characteristic of the lighting load based on a position of the second rotating portion; (Page 7, Par. 5: “Specifically, the input device comprises a touch-control unit, in response to a user touch operation to the touch control unit receives the input of the brightness and colour temperature. such as shown in FIG. 2, the input device can include embedded in the building surface of the touch panel 100, the panel can be selected from metal or resin, has a convex sensation adjusting knob mechanism for dimming the concentrically arranged 201 and 202 on the panel 100, wherein the knob structure 201 for adjusting the LED light source in a rotating way of the brightness value, the knob structure 202 for adjusting the colour temperature value in a rotating way. In the embodiment shown in FIG. 2, the dimming device simplification and beautiful structure, button structure 201 and 202 of convex height kept parallel, sensation adjusting knob mechanism 202 on the surface of the circular convex structure inside is provided with user finger touch of the round recessed part 204.” Examiner’s Note – the first and second characteristics are a brightness and color, respectively.) and when the first and second rotating portions are simultaneously rotated, generate the first control data based on the position of the first rotating portion and generate the second control data based on a relationship between the second characteristic and the first characteristic. (Page 8, last paragraph – Page 9, first paragraph: “In one embodiment of the dimming device, further comprises a synchronous adjusting switch configured to synchronously adjusting mode triggering the adjusting device in the synchronous adjusting mode: independently adjusting a first adjusting knob mechanism 201 and a second adjusting knob mechanism 202 one of the linkage adjusting the first adjusting knob mechanism 201 and an adjusting knob mechanism in another 202, or by adjusting the first adjusting knob mechanism 201 and a second adjusting knob mechanism 202 will trigger the controller calculates sensation regulating variable corresponding to the linear relationship (C, W).” Examiner’s Note – Wang teaches both synchronous and independent adjustment of the lamp; wherein synchronous adjustment includes the knobs 201 and 202 that control the values of color and brightness in a linear relationship. See also page 8, first paragraph.) It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have combined the control device that has concentrically positioned rotating parts wherein the first and second rotating portions occupy different planes and control different characteristics of the light as in Jacobson with a control unit that first and second rotating knob mechanisms that control first and second characteristics (brightness and color); wherein the knobs can be moved synchronously and then control the lamb in a linear relationship as in Wang in order to have a more intelligent home environment with an apparatus that has more stability and longer durability and that can display a comfortable and soft environment. (Page 1, last paragraph – Page 2, first paragraph) Regarding claim 3, The previously cited reference(s) teach the limitations of claim 1 which claim 3 depends. Wang also teaches that the first and second rotating portions are configured to be locked together to become simultaneously rotatable. (Page 6, Par. 5: ‘Embodiment 2: the brightness level Lm and synchronously adjusting the light source colour temperature level CTn.” Page 8, last paragraph: “In one embodiment of the dimming device, further comprises a synchronous adjusting switch configured to synchronously adjusting mode triggering the adjusting device in the synchronous adjusting mode: independently adjusting a first adjusting knob mechanism 201 and a second adjusting knob mechanism 202…”) Regarding claim 6, The previously cited reference(s) teach the limitations of claim 1 which claim 6 depends. Jacobson also teaches an actuation portion surrounded by at least one of the first or second rotating portion; and wherein the control circuit is configured to generate and transmit third control data for toggling the lighting load between on and off in response to an actuation of the actuation portion. (Par. 0021: “The integrated switch can comprise one of a rotary collar switch, a rotary switch, a push button switch, a toggle switch, a rocker switch, a pull chain switch, a slide switch, a tactile switch, a paddle switch, and a capacitive sensor switch.” Par. 0063 and 0193 – that teaches a push button.) Regarding claim 7, The previously cited reference(s) teach the limitations of claim 1 which claim 7 depends. Jacobson also teaches a base portion configured to be mounted to an electrical wallbox or over a mechanical switch. (Par. 0156: “Additionally, the LED driver circuit 110 comprises a wireless interface (304 in FIG. 3) for receiving wireless control signals that direct the desired operation of the LED bulb 100. The control signals can originate from and be transmitted via a variety of means. In one embodiment, control signals can originate and be directly transmitted from a portable remote control or a wireless wall switch to the LED driver circuit 110 via short range communication.” See full paragraph 0156.) Regarding claim 8, The previously cited reference(s) teach the limitations of claim 1 which claim 8 depends. Jacobson also teaches a load control circuit adapted to be electrically coupled in series between an AC power source and the lighting load for controlling power delivered to the lighting load. (Par. 0158: “Screw-in base 108 comprises electrically conductive material and is screwed into socket 150 to connect bulb 100 to an AC power supply.” Par. 0159: “The integrated switch 120 is connected to the LED driver circuit 110, as described in greater detail below, directing the LED driver circuit 110 to control the light of the LED module 112, such as turning it on or off. As such, the AC power supplied to the LED bulb 100, and specifically to the LED driver circuit 110…”) Regarding claim 9, The previously cited reference(s) teach the limitations of claim 1 which claim 9 depends. Jacobson also teaches a toggle actuator of the mechanical switch that controls whether power is delivered to the lighting load. (Par. 0021: “The integrated switch can comprise one of a rotary collar switch, a rotary switch, a push button switch, a toggle switch…”) Regarding claim 10, The previously cited reference(s) teach the limitations of claim 1 which claim 10 depends. Jacobson and Wang also teaches the first rotating portion is configured as a front ring and the second rotating portion is configured as a rear ring, (Jacobson figures 6 -8; Wang also teaches the front and rear ring in figures 2 and 3.) the control circuit configured to generate the first control data for adjusting an intensity of the lighting load while the first rotating portion is being rotated by the user, the control circuit further configured to generate the second control data for changing a color of the lighting load while the second rotating portion is being rotated by the user. (Wang Specifically, the input device comprises a touch-control unit, in response to a user touch operation to the touch control unit receives the input of the brightness and colour temperature. such as shown in FIG. 2, the input device can include embedded in the building surface of the touch panel 100, the panel can be selected from metal or resin, has a convex sensation adjusting knob mechanism for dimming the concentrically arranged 201 and 202 on the panel 100, wherein the knob structure 201 for adjusting the LED light source in a rotating way of the brightness value, the knob structure 202 for adjusting the colour temperature value in a rotating way. In the embodiment shown in FIG. 2, the dimming device simplification and beautiful structure, button structure 201 and 202 of convex height kept parallel, sensation adjusting knob mechanism 202 on the surface of the circular convex structure inside is provided with user finger touch of the round recessed part 204.” Examiner’s Note – many other paragraphs teach control both the brightness and color of the lamp. See also Jacobson Par. 0155 that teaches controlling the dimming and color of the bulb.) Regarding claim 11, The previously cited reference(s) teach the limitations of claim 1 which claim 11 depends. Wang also teaches one or more visual indicators configured to be illuminated by one or more light sources; wherein, when the first rotating portion is being rotated to adjust the intensity of the lighting load, the control circuit is configured to illuminate the one or more visual indicators to display feedback information regarding the intensity of the lighting load; and wherein, when the second rotating portion is being rotated to adjust the color of the lighting load, the control circuit is configured to illuminate the one or more visual indicators to display feedback information regarding the color of the lighting load. (Wang teaches this portion as light emitting part 203 as feedback . Page 7, last paragraph: “…in a preferred example, on the surface of the knob structure 202 provided with a concentrically arranged annular light emitting part 203, in order to realize at night can effect as the indication part and operation prompt, annular light emitting part 203 can be made of fluorescent material, after absorbing the sunlight or other light source energy at night can generate light source. Alternatively, the panel 100 is provided with an LED grain, according to different positions of user adjustment knob generating different colored light to indicate degree of adjustment by the user.”) Regarding claim 12, The previously cited reference(s) teach the limitations of claim 1 which claim 12 depends. Jacobson and Wang also teaches that the first and second rotating portions have approximately the same outer diameter. (See Jacobson figure 6B, 7B, 7C, 8B, and 8C. See also Wang figure 3 that shows the rotary dials 201 and 202 having relatively same smaller diameter.) Regarding claim 13, The previously cited reference(s) teach the limitations of claim 1 which claim 13 depends. Wang also teaches that an outer diameter of the second rotating portion is larger than an outer diameter of the first rotating portion. (Wang figure 3 that shows the rotary dial 201 having an outer diameter that is larger than dial 202.) Regarding claim 14, The previously cited reference(s) teach the limitations of claim 1 which claim 14 depends. Jacobson and Wang also teaches that the first and second rotating portions are independently rotatable. (Both Jacobson and Wang teach this element. Jacobson teaches in Par. 0198 that the elements can be used alone. Wang also teaches both independent and synchronous control for the rotating knobs. Regarding claim 15, The previously cited reference(s) teach the limitations of claim 1 which claim 15 depends. Jacobson and Wang also teaches that a communication circuit configured to transmit a first control signal associated with the first control data and a second control signal associated with the second control data. (Par. 0156: “Additionally, the LED driver circuit 110 comprises a wireless interface (304 in FIG. 3) for receiving wireless control signals that direct the desired operation of the LED bulb 100. The control signals can originate from and be transmitted via a variety of means. In one embodiment, control signals can originate and be directly transmitted from a portable remote control or a wireless wall switch to the LED driver circuit 110 via short range communication. In other embodiments, the control signals can originate from a remote electronic device, such as a smartphone 118, a tablet, or a portable computer, or other portable electronic devices, and be transmitted to the LED driver circuit 110 directly or through intermediary network devices, such as a wireless gateway, a router, or other similar networking devices. In another embodiment, one or more LED bulbs 100 can be integrated with a home automation system and can receive control signals from a central control processor, a wireless hub, or a similar device. The home automation system in turn can receive operating instructions from a user via a variety of means, including wired or wireless wall switches, dedicated touch screens, portable electronic devices, as described above, or other means known in the art. In yet another embodiment, control signals are transmitted to the LED driver circuit 110 from an accompanying wireless lamp switch as will be later described in more detail. In various embodiments, LED driver circuit 110 receives wireless control signals via radio frequency (RF), infrared (IR), or other communication technologies known to those skilled in the art.”) Regarding claim 21, The previously cited reference(s) teach the limitations of claim 1 which overlap most elements of claim 21. Wang also teach the element of claim 21 wherein: generate third control data according to a predetermined dimming curve in response to a simultaneous rotation of the first and second rotating portions. (Page 8, last paragraph: “In one embodiment of the dimming device, further comprises a synchronous adjusting switch configured to synchronously adjusting mode triggering the adjusting device in the synchronous adjusting mode…” Page 9, Par. 5: “or in as Example 2 starting synchronization adjusting method of a key switch. for example, the user performs a dimming operation…” See also page 7, Par. 5 that teaches a dimming operation (but not a synchronous operation of buttons.)) Regarding claim 22, The previously cited reference(s) teach the limitations of claim 21 which claim 22 depends. Wang also teaches that the first and second rotating portions are configured to be locked together to become simultaneously rotatable. (Page 6, Par. 5: ‘Embodiment 2: the brightness level Lm and synchronously adjusting the light source colour temperature level CTn.” Page 8, last paragraph: “In one embodiment of the dimming device, further comprises a synchronous adjusting switch configured to synchronously adjusting mode triggering the adjusting device in the synchronous adjusting mode: independently adjusting a first adjusting knob mechanism 201 and a second adjusting knob mechanism 202…”) Regarding claim 24, The previously cited reference(s) teach the limitations of claim 21 which claim 24 depends. Jacobson also teaches an actuation portion surrounded by at least one of the first or second rotating portion; and wherein the control circuit is configured to generate and transmit third control data for toggling the lighting load between on and off in response to an actuation of the actuation portion. (Par. 0161: “As such, the user may press the blub shell 203 to tum the LED bulb 200c on or off. In various other embodiments, the integrated switch can comprise a toggle switch, a rocker switch, a pull chain switch, a slide switch, a tactile switch, a paddle switch, or other types of switches known to those skilled in the art.”) Regarding claim 25, The previously cited reference(s) teach the limitations of claim 21 which claim 25 depends. Wang also teaches that the first characteristic is an intensity of light emitted by the lighting load, and the second characteristic is a color of light emitted by the lighting load, and wherein the predetermined dimming curve defines a relationship between an intensity and a color of the lighting load. (Wang Specifically, the input device comprises a touch-control unit, in response to a user touch operation to the touch control unit receives the input of the brightness and colour temperature. such as shown in FIG. 2, the input device can include embedded in the building surface of the touch panel 100, the panel can be selected from metal or resin, has a convex sensation adjusting knob mechanism for dimming the concentrically arranged 201 and 202 on the panel 100, wherein the knob structure 201 for adjusting the LED light source in a rotating way of the brightness value, the knob structure 202 for adjusting the colour temperature value in a rotating way. In the embodiment shown in FIG. 2, the dimming device simplification and beautiful structure, button structure 201 and 202 of convex height kept parallel, sensation adjusting knob mechanism 202 on the surface of the circular convex structure inside is provided with user finger touch of the round recessed part 204.” Examiner’s Note – many other paragraphs teach control both the brightness and color of the lamp. See also Jacobson Par. 0155 that teaches controlling the dimming and color of the bulb.) Claim 2 is rejected under 35 U.S.C. 103 as being unpatentable over Jacobson in view of Wang in further view of Johnston et al. (US PG Pub. No. 20110043124), herein “Johnston.” Regarding claim 2, The previously cited reference(s) teach the limitations of claim 1 which claim 2 depends. They do not teach simulating an black body (incandescent) bulb or radiator. However, Johnston teaches that relationship between the second characteristic and the first characteristic is associated with a predetermined dimming curve, wherein the predetermined dimming curve is a dim-to-warm dimming curve that is configured to simulate the intensity and color of a black body radiator across a dimming range. (Par. 0002: “In various lighting applications it is often desirable to adjust the intensity of light generated by one or more light sources. This is typically accomplished via a user-operated device, commonly referred to as a "dimmer," that adjusts the power delivered to the light source(s). Many types of conventional dimmers are known that allow a user to adjust the light output of one or more light sources via some type of user interface (e.g., by turning a knob, moving a slider, etc., often mounted on a wall in proximity to an area in which it is desirable to adjust the light level). The user interface of some dimmers also may be equipped with a switching/adjustment mechanism that allows one or more light sources to be switched off and on instantaneously, and also have their light output gradually varied when switched on.” Par. 0075: “Accordingly, in one embodiment, an LED-based lighting unit may be configured such that a single dimmer adjustment may be used to simultaneously change both the intensity and color of the light source so as to produce a relatively high correlated color temperature at higher intensities (e.g., when the dimmer provides essentially "full" power) and produce lower correlated temperatures at lower intensities, so as to mimic an incandescent1 source.” See also Par. 0010.) It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have combined the control device that has concentrically positioned rotating parts wherein the first and second rotating portions occupy different planes and control different characteristics of the light as in Jacobson with a control unit that first and second rotating knob mechanisms that control first and second characteristics (brightness and color); wherein the knobs can be moved synchronously and then control the lamb in a linear relationship as in Wang with mimicking an incandescent lamp by using a dimming technique as in Johnston in order to have a way to provide both intensity and color based on dimming that reduces costs. (Par. 0056 and 0010). Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Jacobson in view of Wang in further view of Valls et al. (US PG Pub. No. 20120118770), herein “Valls.” Regarding claim 5, The previously cited reference(s) teach the limitations of claim 1 which claim 2 depends. They do not teach a locking mechanism. However, Valls teaches a locking member configured to lock the first and second rotating portions together so that they are simultaneously rotatable. (Par. 0083: “A securing mechanism (not shown) may also be provided to ensure that the tablet accessory 10 is securely coupled to the tablet 20. For example, in the case that the above-described stick-and-click connection scheme is employed, the connecting portion 70 and receiving portion 60 may be configured such that the knob 110 of the tablet accessory 10 can be rotated or turned to lock the portions 60 and 70 in place. Thus, a user 5 would apply pressure to couple the portions 60 and 70 together, and then rotate the knob 110 to lock the portions 60 and 70 together (e.g., by rotating the position of the teeth 71 slightly such that the teeth 71 cannot be disengaged from the recesses 61 or by causing a separate flange to engage another recess of the receiving portion 60).” See paragraph 0078. See also Miao in the conclusion section.) It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have combined the control device that has concentrically positioned rotating parts wherein the first and second rotating portions occupy different planes and control different characteristics of the light as in Jacobson with a control unit that first and second rotating knob mechanisms that control first and second characteristics (brightness and color); wherein the knobs can be moved synchronously and then control the lamb in a linear relationship as in Wang with a securing mechanism that secures two knobs as in Valls in order to lock a rotating mechanisms with another base mechanism. (Par. 0078) Allowable Subject Matter Claims 4 and 23 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims pending resolving all intervening issues such as the claim objections or rejections above. Reasons for allowance will be held in abeyance pending final recitation of the claims. The prior art does not disclose the elements of claims 1 or claim 21 and wherein the first and second rotating portions are configured to be locked together when the first and second rotating portions and moved towards each other, and wherein the first and second rotating portions are configured to be unlocked and become independently rotatable when the first and second rotating portions are moved away from each other. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure: Tony Miao (US PG Pub. No. 20110043124), herein “Miao” may also teach a locking mechanism of claim 5 and may teach the elements of a locking member configured to lock the first and second rotating portions together so that they are simultaneously rotatable. (Par. 0002: “…invention relates generally to an apparatus for securing two objects together by selectively rotating a rotatable knob to activate a hook locking mechanism.” See paragraph 0004.) Van De Sluis et al. (US PG Pub. No. 20100084996) also teaches two coaxial dials that control light attributes. See abstract and figures 2 and 3. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHAD G ERDMAN whose telephone number is (571)270-0177. The examiner can normally be reached Mon - Fri 7am - 3pm or 4pm EST.. 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, Kenneth Lo can be reached at (571) 272-9774. 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. /CHAD G ERDMAN/Primary Examiner, Art Unit 2116 1 Examiner’s Note – Specification paragraph 0031 states that the black body radiator may be an incandescent lamp.
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Prosecution Timeline

Sep 19, 2023
Application Filed
Sep 29, 2026
Non-Final Rejection mailed — §103 (current)

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