Prosecution Insights
Last updated: October 02, 2026
Application No. 18/729,400

OPTICAL STACK, METHOD FOR MANUFACTURING SAME, AND SMART WINDOW COMPRISING SAME

Non-Final OA §103§112
Filed
Jan 22, 2025
Priority
Jan 21, 2022 — RE 10-2022-0009362 +1 more
Examiner
BOLOTIN, DMITRIY
Art Unit
Tech Center
Assignee
Dongwoo Fine-chem Co., Ltd.
OA Round
1 (Non-Final)
81%
Grant Probability
Favorable
1-2
OA Rounds
7m
Est. Remaining
94%
With Interview

Examiner Intelligence

Grants 81% — above average
81%
Career Allowance Rate
927 granted / 1143 resolved
+21.1% vs TC avg
Moderate +13% lift
Without
With
+12.9%
Interview Lift
resolved cases with interview
Typical timeline
2y 3m
Avg Prosecution
14 currently pending
Career history
1159
Total Applications
across all art units

Statute-Specific Performance

§101
3.7%
-36.3% vs TC avg
§103
45.6%
+5.6% vs TC avg
§102
22.5%
-17.5% vs TC avg
§112
18.0%
-22.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1143 resolved cases

Office Action

§103 §112
DETAILED ACTION It would be of great assistance to the Office if all incoming papers pertaining to a filed application carried the following items: 1. Application number (checked for accuracy, including series code and serial no.). 2. Group art unit number (copied from most recent Office communication). 3. Filing date. 4. Name of the examiner who prepared the most recent Office action. 5. Title of invention. 6. Confirmation number (See MPEP § 503). 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 § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claim 6 is rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claim 6 recites limitation: “at least one of the first transparent conductive layer and the second transparent conductive layer is formed in direct contact with one of the first polarizing plate and the second polarizing plate with a highly adhesive layer between the transparent conductive layer and the polarizing plate”, this limitation is unclear. Particularly, it is unclear how the transparent conductive layer and the polarizing plate may be in direct contact and at the same time have a highly adhesive layer therebetween. 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. Claim(s) 1 – 5, 8 – 9, 14 and 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Li et al. (US 2002/0039156) in view of Yoshihara et al. (Translation of JP 2007065191). As to claim 1, Li discloses a variable transmittance optical stack comprising: a first polarizing plate (polarizing retardation plate 24 of fig. 3 [0044]) comprising a first functional layer (top layer of 24 of fig. 3); a first transparent conductive layer (conducting materials 12 of fig. 3) formed on one surface of the first polarizing plate (polarizing retardation plate 24 of fig. 3 [0044]); a second polarizing plate (polarizing retardation plate 34 of fig. 3 [0045]) comprising a second functional layer (bottom layer of 34 of fig. 3) and opposite to the first polarizing plate (polarizing retardation plate 24 of fig. 3 [0044]); a second transparent conductive layer (conducting materials 14 of fig. 3) formed on one surface of the second polarizing plate (polarizing retardation plate 34 of fig. 3 [0045]) and opposite to the first transparent conductive layer; and a liquid crystal layer (liquid crystal film 10 of fig. 3) provided between the first transparent conductive layer (conducting materials 12 of fig. 3) and the second transparent conductive layer (conducting materials 14 of fig. 3), wherein at least one of the first transparent conductive layer (conducting materials 12 of fig. 3) and the second transparent conductive layer (conducting materials 14 of fig. 3) is formed in direct contact with one of the first polarizing plate (polarizing retardation plate 24 of fig. 3 [0044]) and the second polarizing plate (polarizing retardation plate 34 of fig. 3 [0045]), but does not disclose that each of the first and second functional layers has surface pencil hardness ranging from 3B to 6H. In the same field of endeavor, Yoshihara discloses a polarizing plate with improved scratch resistance, wherein the functional layer of a polarizing plate has surface pencil hardness ranging from 3B to 6H (surface hardness of H, page 3). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Li and the teachings of Yoshihara, such that the polarization plates comprised a functional layer of surface pencil hardness ranging from 3B to 6H as disclosed by Yoshihara, with motivation to improve scratch resistance (ADVANTAGEOUS-EFFECTS, page 3). As to claim 2 (dependent on 1), Li in view of Yoshihara discloses the variable transmittance optical stack, wherein each of the first and second functional layers has surface pencil hardness ranging from HB to 6H (Yoshihara, surface hardness of H, page 3). As to claim 3 (dependent on 1), Li in view of Yoshihara discloses the variable transmittance optical stack, wherein each of the first and second functional layers comprises at least one of a hard coating layer and a low refractive index layer (antireflection performance and scratch resistance, page 3). As to claim 4 (dependent on 3), Li in view of Yoshihara discloses the variable transmittance optical stack, wherein the low refractive index layer comprises one or more selected from a group consisting of SiO2, A1203, MgF2, CaF2, and cryolite (Yoshihara, SiO2 or A1203, page 12). As to claim 5 (dependent on 1), Li discloses the variable transmittance optical stack, wherein at least one of the first transparent conductive layer (conducting materials 12 of fig. 3) and the second transparent conductive layer (conducting materials 14 of fig. 3) is formed in direct contact with one of the first polarizing plate (polarizing retardation plate 24 of fig. 3 [0044]) and the second polarizing plate (polarizing retardation plate 34 of fig. 3 [0045]) without an additional substrate between the transparent conductive layer and the polarizing plate (fig. 3). As to claim 8 (dependent on 1), Li discloses the variable transmittance optical stack, wherein at least one of the first polarizing plate (polarizing retardation plate 24 of fig. 3 [0044]) and the second polarizing plate (polarizing retardation plate 34 of fig. 3 [0045]) further comprises one or more selected from a group consisting of a protective layer, a retardation matching layer, and a refractive index matching layer (retardation layer [0044 – 0045]). As to claim 9 (dependent on 3), Li in view of Yoshihara discloses the variable transmittance optical stack, wherein at least one of the first polarizing plate and the second polarizing plate has a thickness ranging from 30 to 200um (Yoshihara, layer thickness of 30 to 150um, page 14). As to claim 14 (dependent on 1), Li discloses a method for manufacturing the variable transmittance optical stack of claim 1 (fig. 3). As to claim 15 (dependent on 1), Li discloses a smart window comprising the variable transmittance optical stack of claim 1 (smart window [0009 – 0012]). Claim(s) 7, 10 – 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Li in view of Yoshihara and Hong et al. (US 2008/0218679). As to claim 7 (dependent on 1), claim 10 (dependent on 1), claim 11 (dependent on 10), claim 12 (dependent on 10) and claim 13 (dependent on 1), Li discloses the variable transmittance optical stack, but Li in view of Yoshihara fails to disclose the liquid crystal layer comprises one or more of spacers selected from a group consisting of a ball spacer and a column spacer; wherein the spacer has a diameter ranging from 1 to 10pm and wherein an occupancy area of the spacer in the liquid crystal layer ranges from 0.01% to 10% of the area of the liquid crystal layer; and further comprising: one or more selected from a group consisting of an alignment film, a pressure-sensitive adhesive/adhesive layer, and an ultraviolet ray absorption layer; and wherein at least one of the first transparent conductive layer and the second transparent conductive layer comprises one or more selected from a group consisting of a transparent conductive oxide, metal, carbonaceous material, conductive polymer, conductive ink, and nanowires. In the same field of endeavor, Hong discloses a liquid crystal layer (LC layer 3 of LCD of fig. 3) comprises one or more of spacers (spacers 320 of fig. 3) selected from a group consisting of a ball spacer (323 of fig. 3) and a column spacer (326 of fig. 3); wherein the spacer has a diameter ranging from 1 to 10um [0081] and wherein an occupancy area of the spacer in the liquid crystal layer ranges from 0.01% to 10% of the area of the liquid crystal layer (spacer occupancy is under 10% [0081 – 0081]); and further comprising: a pressure-sensitive adhesive layer (adhesive 327 of fig. 3); and wherein a transparent conductive layer comprises a transparent conductive oxide (ITO [0064]). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Li in view of Yoshihara and the teachings of Hong, such that liquid crystal layer comprising spacers was provided as disclosed by Hong, with motivation to improve image quality of the display panel (Hong [0008]). Claim(s) 16 – 19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Li in view of Yoshihara and Seong et al. (US 2014/0160552). As to claim 16 (dependent on 15), claim 17 (dependent on 15), claim 18 (dependent on 15) and claim 19 (dependent on 15), Li in view of Yoshihara discloses a smart window, but Li in view of Yoshihara fails to disclose the transportation means comprising the smart window; a vehicle in which the smart window is applied to at least one of a front window, a rear window, a side window, a sunroof window, and an inner partition thereof; a wearable device comprising the smart window; and windows and doors of a building comprising the smart window. In the same filed of endeavor, Seong discloses a light controllable window comprising LCD [0130 – 0135] and further discloses a transportation means comprising the smart window (vehicle glass [0135]); a vehicle in which the smart window is applied to at least one of a front window, a rear window, a side window, a sunroof window, and an inner partition thereof (vehicle glass [0135]); a wearable device comprising the smart window (portable phone [0132]); and windows and doors of a building comprising the smart window (building glass [0135]). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Li in view of Yoshihara and the teachings of Seong, such that liquid the smart window was utilized im multiple applications a disclosed by Seong, with motivation to a simple design choice application alternative well know at the time of invention and which would have only required a routine skill. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to DMITRIY BOLOTIN whose telephone number is (571)270-5873. The examiner can normally be reached M-F 9AM - 5PM. 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, Chanh Nguyen can be reached at (571)272-7772. 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. /DMITRIY BOLOTIN/Primary Examiner, Art Unit 2623
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Prosecution Timeline

Jan 22, 2025
Application Filed
Sep 02, 2026
Non-Final Rejection mailed — §103, §112 (current)

Precedent Cases

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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
81%
Grant Probability
94%
With Interview (+12.9%)
2y 3m (~7m remaining)
Median Time to Grant
Low
PTA Risk
Based on 1143 resolved cases by this examiner. Grant probability derived from career allowance rate.

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