Prosecution Insights
Last updated: July 17, 2026
Application No. 18/021,576

OPTICAL APPARATUS AND PROCESSING APPARATUS

Non-Final OA §102
Filed
Apr 14, 2023
Priority
Aug 18, 2020 — nonprovisional of PCTJP2020031160
Examiner
TALLMAN, ROBERT E
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
NIKON Corporation
OA Round
1 (Non-Final)
82%
Grant Probability
Favorable
1-2
OA Rounds
0m
Est. Remaining
96%
With Interview

Examiner Intelligence

Grants 82% — above average
82%
Career Allowance Rate
633 granted / 773 resolved
+13.9% vs TC avg
Moderate +14% lift
Without
With
+14.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
13 currently pending
Career history
787
Total Applications
across all art units

Statute-Specific Performance

§101
0.8%
-39.2% vs TC avg
§103
68.9%
+28.9% vs TC avg
§102
23.5%
-16.5% vs TC avg
§112
5.0%
-35.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 773 resolved cases

Office Action

§102
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 . Election/Restrictions Applicant’s election without traverse of Group I in the reply filed on 2/12/2026 is acknowledged. Claims 21-33 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to nonelected groups, there being no allowable generic or linking claim. Election was made without traverse in the reply filed on 2/12/2026. (Examiner notes that applicant’s response to Requirement for Restriction did not note that claims 32-33 (Group V: drawn to irradiation method). As applicant elected Group I: claims 1-20 without traverse for purpose of examination Group V will be considered withdrawn). Information Disclosure Statement The information disclosure statements (IDS) submitted on 4/14/2023, 7/24/2024, 9/25/2024, 4/10/2025, and 3/5/2026 were filed. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. Claim Rejections - 35 USC § 102 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. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claims 1-3 and 16-20 are rejected under 35 U.S.C. 102(a1) as being anticipated by Rondeau (US 2017/0146781 A1). Regarding claim 1 Rondeau teaches (figs. 1-3) an optical apparatus comprising: a first optical system (124) configured to guide light from a first arca on a first plane to a second plane, the second plane being a pupil plane of the first optical system relative to the first plane (para. 0036,0039,0044); a second optical system (128, 130, 106) disposed between the second plane and a third plane, the second plane being a pupil plane of the second optical system relative to the third plane (para. 0036, 0039, 0044, 0046); a first reflective member (122) that is disposed on a first optical path at an entrance side of the first optical system and that has a first reflective surface that is swingable (para. 0039, 0041, and 0044-0045); and a second reflective member (126) that is disposed on a second optical path between the first optical system and the second optical system and that has a second reflective surface that is swingable (para. 0039, 0041, and 0044-0045). Regarding claim 2 Rondeau teaches (figs. 1-3) an optical apparatus, where the first optical system and the second optical system form an image of the first area in a second area on the third plane (para. 0051). Regarding claim 3 Rondeau teaches (figs. 1-3) an optical apparatus, where the first reflective surface is disposed at a position that is away from a first intermediate position toward the entrance side along the first optical path, the first intermediate position is an intermediate position between the first plane and an optical member disposed at a position closest to the first plane among optical members included in the first optical system (para. 0024). Regarding claim 16 Rondeau teaches (figs. 1-3) an optical apparatus, where two first reflective member including the first reflective member are disposed along the first optical path (para. 0039, 0041, and 0044-0045). Regarding claim 17 Rondeau teaches (figs. 1-3) an optical apparatus, where the two first reflective member are disposed so that the first plane is therebetween along the first optical path (para. 0039, 0041, and 0044-0045). Regarding claim 18 Rondeau teaches (figs. 1-3) an optical apparatus, where two second reflective member including the second reflective member are disposed along the second optical path (para. 0039, 0041, and 0044-0045). Regarding claim 19 Rondeau teaches (figs. 1-3) an optical apparatus, where the two second reflective member are disposed SO that the first plane is therebetween along the second optical path (para. 0039, 0041, and 0044-0045). Regarding claim 20 Rondeau teaches (figs. 1-3) an optical apparatus, where the first optical system or the second optical system includes a focal position change member configured to move a position of the third plane in a direction along an optical axis of the second optical system (para. 0039, 0041, and 0044-0045). Allowable Subject Matter Claims 4-15 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. The following is a statement of reasons for the indication of allowable subject matter: Claims 4-5, 8-10 are directed to more specific structural and dimensional limitations with specifics as to the magnification and distance values. Claims 6-7 and 11-15 are objected to as depe3nding on objected to base claims. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Further optical systems include Seeselberg et.al. (US 11,249,294 B2), Saito (US 2015/0230704 A1), Boehme et. al. (US 2016/0131881 A1),. Any inquiry concerning this communication or earlier communications from the examiner should be directed to ROBERT E TALLMAN whose telephone number is (571)270-3958. The examiner can normally be reached Monday-Friday 10 a.m. -6 p.m.. 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, Ricky Mack can be reached at 571-272-2333. 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. /Robert E. Tallman/ Primary Examiner, Art Unit 2872
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Prosecution Timeline

Apr 14, 2023
Application Filed
Apr 27, 2026
Non-Final Rejection mailed — §102 (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
82%
Grant Probability
96%
With Interview (+14.5%)
2y 6m (~0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 773 resolved cases by this examiner. Grant probability derived from career allowance rate.

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