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 .
This is the initial Office action based on application number 18/678541 filed May 30, 2024. Claims 1-20 are currently pending and have been considered below.
Election/Restrictions
Claims 18-20 are withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected invention, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on February 26, 2026.
The traversal is on the ground(s) that group II is drawn to holding or pretreating substrates too and therefore group I cannot perform a different process. This is not found persuasive because nothing in claims 1 or 10 require active deposition through the shutter, while claim 18 explicitly does. Therefore, the systems of claims 1 and 10 can indeed be used to simply hold or rotate substrates without actively exposing them to deposition material. In fact, the systems could even be used to expose the substrates to heat or radiation, instead of deposition material which claim 18 explicitly requires. Additionally, the method of claim 18 can be performed by a different apparatus, such as one not in a vacuum chamber (the preamble of claim 18 is simply intended use) or one that exposes more than one substrate locations at a time.
The requirement is still deemed proper and is therefore made FINAL.
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 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 –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claims 1-6, 8-12 and 14-17 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Schweitzer (US 3,352,282).
Regarding claim 1: Schweitzer discloses a vacuum deposition apparatus (10) having a substrate plate (40) with a number of substrate locations (68a-h) designed to retain substrate holders (70) each holding a substrate (107), a shutter plate (48) having a single opening (116) which covers the substrate plate (40) except for a selectable one of the plurality of substrate locations (68a-h) exposed through the single opening (116) such that the opening (116) only exposes a single one of the substrate locations (68a-h) and therefore substrates (107) to deposit material from an evaporant source onto that substrate (107), with the shutter plate (48) being rotatable relative to the substrate plate (40) in order to selectively register the opening (116) to each substrate (107) (col. 2 lines 1-54, col. 3 lines 35-75, figures 1-3 and 5-6).
Regarding claims 2-3: Schweitzer discloses that both the substrate plate (40) and the shutter plate (48) are rotated at separate times, independently, and without restriction of sequence, such that the substrate plate (40) can remain fixed while the shutter plate (48) rotates to allow the opening (116) to overlap the desired substrate location (68), and alternatively the substrate plate (40) can be rotated while the shutter plate (48) remains fixed in order to align the desired substrate location (68) with the opening (116) of the shutter plate (48) (col. 3 lines 51+, col. 4 lines 1-8).
Regarding claims 4-5: Schweitzer shows that substrate plate (40) is circular, where each substrate location (68a-h) is spaced apart about and adjacent to the circumference of the plate (40) in a circular pattern and equidistant from a corresponding adjacent substrate location (68a-h) as well as the center of the plate (40) (col. 2 lines 25-30, figure 3).
Regarding claim 6: Schweitzer shows that there are 8 substrate locations (68a-h) (col. 2 lines 25-30, figure 3).
Regarding claim 8: Schweitzer discloses that the substrate locations (68a-h) are openings present within the substrate plate (40) (col. 2 lines 25-30, figures 3 and 6-7).
Regarding claim 9: Schweitzer discloses a drive shaft (36) which is a pedestal that connects to the shutter plate (48) via a hub (49) which can be considered an inner stem and connects to the substrate plate (40) via a hollow shaft (42) which can be considered an outer stem (col. 1 lines 71-72, col. 2 lines 1-24, figure 8).
Regarding claim 10: Schweitzer discloses a vacuum deposition apparatus (10) having a vacuum chamber (12) and a base plate (14) assembly which is a substrate carrier assembly that has rotatable portions including drive shafts (36, 38) and non-rotatable portions such as the base plate (14) itself, rods (20, 22, 24) and a heater plate (26), where the carrier assembly also includes a substrate plate (40) with a number of substrate locations (68a-h) designed to retain substrate holders (70) each holding a substrate (107), and a shutter plate (48) between the base plate (14) and the substrate plate (40) having a single opening (116) which covers the substrate plate (40) except for a selectable one of the plurality of substrate locations (68a-h) exposed through the single opening (116) such that the opening (116) only exposes a single one of the substrate locations (68a-h) and therefore substrates (107) to deposit material from an evaporant source onto that substrate (107), with the shutter plate (48) being rotatable relative to the substrate plate (40) in order to selectively register the opening (116) to each substrate (107), where both the substrate plate (40) and shutter plate (48) are coupled to both the drive shafts (36, 38) and the non-rotatable portions such as the heater plate (26) and base plate (14) by way of the shafts (col. 2 lines 1-54, col. 3 lines 35-75, figures 1-3 and 5-6).
Regarding claims 11-12: Schweitzer discloses that shafts (36, 38) include drive means (46) which is a ring to rotate the substrate plate (40) and a hub (49) which is a ring to rotate the shutter plate (48) which are rotated at separate times, independently, and without restriction of sequence, such that the substrate plate (40) can remain fixed while the shutter plate (48) rotates to allow the opening (116) to overlap the desired substrate location (68), and alternatively the substrate plate (40) can be rotated while the shutter plate (48) remains fixed in order to align the desired substrate location (68) with the opening (116) of the shutter plate (48), both of the substrate plate (40) and shutter plate (48) being coupled to the fixed base (14) by way of the drive shafts (36, 38) (col. 3 lines 51+, col. 4 lines 1-8, figures 1-2).
Regarding claim 14: Schweitzer discloses that each of the substrate locations (68) can include a substrate (107) (col. 2 lines 31-54, figures 3, 6 and 7).
Regarding claim 15: Schweitzer discloses that the substrates (107) within each of the substrate location openings (68) is held by a substrate holder (70) which can be considered a tray (col. 2 lines 31-54, figures 3, 6 and 7).
Regarding claims 16-17: Schweitzer discloses that the apparatus can treat a wide variety of sizes and shapes of substrate (col. 4 lines 9-23) and that the apparatus is primarily for production of thin film circuits on glass or ceramic substrates, such that the substrates can be considered “production parts” (col. 1 lines 9-24). Although Schweitzer does not explicitly state the substrate can be a “test coupon”, the article worked upon by an apparatus claim does not further limit the patentability of the apparatus in question (see MPEP 2114-2115). As long as the prior art apparatus is capable of working on the claimed substrate, which the instant apparatus of Schweitzer is, then it reads on these claims.
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.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Schweitzer as applied to claims 1-6, 8-12 and 14-17 above.
Regarding claim 7: Schweitzer discloses only eight substrate locations (68a-h) and therefore fails to explicitly disclose at least twelve. However, Schweitzer does state that multiple configurations and substrate sizes can exist (col. 4 lines 9-28) and therefore it would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to modify the apparatus to accommodate a wide range of substrate amounts including at least twelve, because Schweitzer teaches that a wide variety of substrate sized and shapes can be accommodated and a various simple changes and modifications can be made to the apparatus (col. 4 lines 9-28), and simple duplication of parts is not considered to be a patentable advance (MPEP 2144.04).
Claims 2-3 and 11-12 are alternatively rejected under 35 U.S.C. 103 as being unpatentable over Schweitzer as applied to claims 1, 4-7, 8-10 and 14-17 above.
Regarding claims 2-3 and 11-12: Schweitzer teaches that both the substrate plate (40) and shutter plate (48) are rotatable through various actuation of the drive shafts (36, 38) and while Schweitzer does teach that both plates do remain fixed while the other is rotated, Schweitzer does not explicitly state that either of them can be permanently, non-rotatably fixed, which is one interpretation of the claim requirement. However, it would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to try fixing either one of the substrate plate (40) or shutter plate (48) to simplify the apparatus thus optimizing the available space, because making elements either integral or adjustable is not considered to be a patentable advance when no unexpected results are achieved (MPEP 2144.04).
Claim 13 is rejected under 35 U.S.C. 103 as being unpatentable over Schweitzer as applied to claims 1-12 and 14-17 above and further in view of Cox et al. (US 2015/0321214).
Regarding claim 13: Schweitzer fails to explicitly disclose that the base plate (14) or another assembly of the substrate plate (40) and shutter plate (48) are translationally movable along the deposition chamber. However, Cox et al. discloses a similar coating device in which an assembly comprising a plurality of substrates (322) and a corresponding number of masks (328) which are similar to shutters are moved together on a single tray (310) through a deposition chamber (114) (par. 36, 53, figures 1-6). It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to allow the substrate plate (40) and shutter plate (48) assembly of Schweitzer to be movable through a chamber in a similar way to Cox et al. because this allows the substrates to be undergo multiple treatments together as one unit without further alteration in a more efficient way (pars. 34-38) and because making elements movable or portable is not considered to be a patentable advance (MPEP 2144.04).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to STEPHEN A KITT whose telephone number is (571)270-7681. The examiner can normally be reached M-F 9am-5pm.
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/S.A.K/
Stephen KittExaminer, Art Unit 1717
6/12/2026
/Dah-Wei D. Yuan/Supervisory Patent Examiner, Art Unit 1717
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