DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application is being examined under the pre-AIA first to invent provisions.
Claim Interpretation
The instant claims are directed to “an apparatus for fabricating an electrochromic device”. Applicant is reminded that inclusion of the material or article worked upon by a structure being claimed does not impart patentability to the claims (see MPEP 2115). Further, manner of operating the device does not different apparatus claims from the prior art because an apparatus claims cover what a device is, not what a device does (see MPEP 2114).
The instant claims recite the intended use of fabricating an electrochromic device, depositing specific layers from different deposition stations, and other functional limitations. As long as the prior art device is fully capable of carrying out the claimed functional limitations, it meets those limitations (see MPEP 2114, I).
The instant claims recite various materials worked upon by the apparatus such as the specific composition of the electrochromic layers, counter electrode layers and precursor. As stated above, such limitations are material or article worked upon by the apparatus which does not impart patentability to the claims.
Claim Rejections - 35 USC § 102
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 the appropriate paragraphs of pre-AIA 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of application for patent in the United States.
Claim(s) 1-9 is/are rejected under pre-AIA 35 U.S.C. 102(b) as being anticipated by Madan et al. (US 6,258,408, hereinafter Madan).
Per independent claim 1:
Madan teaches an apparatus for fabricating an electrochromic device (see abstract; col. 5, 46-47), the apparatus comprising:
(a) a first deposition station containing one or more targets (Fig. 1 shows first deposition station 111 which may be a sputter deposition onto a suitable target; col. 5, lines 33-36 and 54-62) for depositing an electrochromic layer on a substrate when the substrate is positioned in the first deposition station (intended use limitation, Madan discloses forming electrochromic device, see col. 5, lines 46-47),
wherein the electrochromic layer comprises an electrochromic material comprising tungsten oxide mixed with a metal oxide selected from the group consisting of molybdenum oxide, vanadium oxide, titanium oxide, and combinations thereof (materials worked upon by the apparatus, Madan also discloses the sputtering can use various metals and oxides, see col. 5, lines 55-62);
(b) a second deposition station containing one or more targets (Fig. 1 shows second deposition station 12 which may be a sputter deposition; col. 5, lines 33-36 and 54-62) for depositing a counter electrode layer on the substrate when the substrate is positioned in the second deposition station (intended use limitation, Madan discloses forming electrochromic device, see col. 5, lines 46-47),
wherein the counter electrode layer comprises a counter electrode material comprising nickel oxide mixed with tungsten oxide and tantalum (materials worked upon by the apparatus, Madan also discloses the sputtering can use various metals and oxides, see col. 5, lines 55-62); and
(c) a controller containing program instructions for passing the substrate through the first and second deposition stations in a manner that sequentially deposits a stack on the substrate (a controller 201 is provided to control system 200 to transfer the substrate between the various stations, see col. 7, lines 14-24 and 55-61), the stack comprising the electrochromic layer in direct contact with the counter electrode layer, without an ion conducting layer between the electrochromic layer and the counter electrode layer (intended use limitation),
wherein the electrochromic device is all solid state (intended use limitation).
Per claims 2-6 and 8, these limitations are directed to the material worked upon by the apparatus (see claim interpretation section).
Per claims 7 and 9, Madan further discloses that the deposition station has a chamber 30 with a heater 42 and a temperature control circuit operate to control the heater in order to maintain a desired deposition temperature (Fig. 3 and col. 9, lines 7-33). Regarding “thereby converting…and electronically insulating material”, this is an intended use limitation. Since Madan discloses the same deposition apparatus with a computer control system and a control heater, it is fully capable of carrying out the claimed intended use.
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 pre-AIA 35 U.S.C. 103(a) which forms the basis for all obviousness rejections set forth in this Office action:
(a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102, if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under pre-AIA 35 U.S.C. 103(a) are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claims 10-19 is/are rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable over Madan et al. (US 6,258,408, hereinafter Madan) in view of Gurev (US 4,361,114, hereinafter Gurev)
Per independent claim 10:
Madan discloses an apparatus for fabricating an electrochromic device (see abstract; col. 5, 46-47), the apparatus comprising:
(a) a conversion chamber (Fig. 1 shows first deposition station 111 which may be a sputter deposition onto a suitable target; col. 5, lines 33-36 and 54-62) configured to accommodate an electrochromic device precursor therein, wherein the electrochromic device precursor is formed on a substrate (intended use limitation, Madan discloses forming electrochromic device, see col. 5, lines 46-47);
(b) a heater positioned above the conversion chamber, wherein the heater is configured to heat the substrate (Fig. 3 and col. 9, lines 7-33 which discloses an externally-located heater element for maintaining the chamber at a desired deposition temperature. Maintaining the chamber at a desired deposition temperature would also apply heat to the substrate); and
(c) a controller containing program instructions for passing the substrate through the conversion chamber and applying heat from the heater to the substrate (Fig. 2 and col. 7, lines 23-25 discloses the use of a process controller provided to a control system and col. 9, lines 7-33 discloses the use of a thermocouple and temperature control circuit to maintain the chamber at a desired deposition temperature),
wherein the electrochromic device precursor comprises:
(i) an electrochromic layer comprising an electrochromic material, wherein the electrochromic material comprises tungsten oxide mixed with a metal oxide selected from the group consisting of molybdenum oxide, vanadium oxide, titanium oxide, and combinations thereof,
(ii) a counter electrode layer comprising a counter electrode material, wherein the counter electrode material comprises nickel oxide mixed with tungsten oxide and tantalum,
wherein the electrochromic device precursor is all solid state,
wherein the electrochromic device precursor does not include an ionically conducting and electronically insulating layer between the electrochromic layer and the counter electrode layer (the above limitations regarding the precursor material is directed to material worked upon by the apparatus), and
wherein passing the substrate through the conversion chamber and applying heat from the heater to the substrate converts a portion of the electrochromic material and/or a portion of the counter electrode material into an ionically conducting and electronically insulating material, thereby converting the electrochromic device precursor into an electrochromic device (intended use limitation).
Madan discloses an externally located heater to the chamber and that the apparatus is for reactive sputter deposition or reactive evaporative deposition (col. 5, lines 33-41).
Madan fails to teach that the heater is positioned in the chamber.
Gurev discloses an apparatus using reactive evaporation techniques (see title) wherein a substrate heater 14 coupled to a heater control 14A is provided in the interior of a chamber 10 (see Fig. 1 and col. 5, 8-21).
It would have been obvious to one of ordinary skill in the art before the instant invention to have modified the apparatus of Madan in order to place the heater inside the chamber in the manner taught by Gurev. One would have been motivated to do so because Gurve discloses that a heater may be positioned inside the chamber for reactive evaporation apparatuses and Madan disclose that its apparatus is suitable for use in reactive evaporative deposition, thereby establishing predictable results with a reasonable expectation of success.
Per claims 11-16 and 18, these limitations are directed to the material worked upon by the apparatus (see claim interpretation section).
Per claims 17 and 19, see rejection of claim 1. With regards to “thereby convert the superstoichiometric oxygen portion of the electrochromic layer to an ionically conducting and electronically insulating material”, this is an intended use of the claimed apparatus.
Conclusion
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/XIAO S ZHAO/Supervisory Patent Examiner, Art Unit 1744
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