Prosecution Insights
Last updated: April 19, 2026
Application No. 18/271,105

FILTER UNIT AND MANUFACTURING METHOD THEREFOR, AND ELECTRONIC DEVICE

Non-Final OA §102§103
Filed
Jul 06, 2023
Examiner
ABRAHAM, JOSE K
Art Unit
3729
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
BOE TECHNOLOGY GROUP CO., LTD.
OA Round
1 (Non-Final)
82%
Grant Probability
Favorable
1-2
OA Rounds
2y 10m
To Grant
99%
With Interview

Examiner Intelligence

Grants 82% — above average
82%
Career Allow Rate
271 granted / 330 resolved
+12.1% vs TC avg
Strong +36% interview lift
Without
With
+36.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 10m
Avg Prosecution
51 currently pending
Career history
381
Total Applications
across all art units

Statute-Specific Performance

§103
46.5%
+6.5% vs TC avg
§102
17.4%
-22.6% vs TC avg
§112
29.9%
-10.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 330 resolved cases

Office Action

§102 §103
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. Information Disclosure Statement The information disclosure statement (IDS) submitted on 08 January 2024 was filed prior to the mailing date of th is office correspondence . The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. Specification The disclosure is objected to because of the following informalities: Para [0052], see PG PUB, describes “ a sacrificial layer to form a supporting layer 3 and a resonant structure 2 , and a through hole is formed on the resonant structure 3 ; ”, should read: -- a sacrificial layer to form a supporting layer 3 and a resonant structure 2 , and a through hole is formed on the resonant structure 2 and the supporting layer 3 ; -- Appropriate correction is required. Claim Objections Claim 18 is objected to because of the following informalities: In claim 18, line 4: “ a modified portion and a supporting structure, ” should read: --a modified portion and the supporting structure, -- Appropriate correction is required. 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. Claim(s) 1 , 13 and 17-19 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Shibata ( US 20070194863 ) . 2669540 1381760 0 0 4300271 1835709 modified structure 0 0 modified structure 2143353 160933 0 0 2895244 35611 resonant structure 0 resonant structure 4211955 1045210 supporting structure 0 0 supporting structure 3920008 1191895 0 Annotated Fig. 2, Shibata. Regarding claim 1, Shibata teaches, a filter unit (Figs. 1 to 20, high-frequency filters and resonant circuits based on FBARs , para. [0006]), comprising: a resonant structure (resonator 40, see annotated Fig. 2); and a substrate (substrate 10) disposed at one side of the resonant structure, the substrate comprising a modified structure (protrusions 24a to 24e, Fig. 2, plurality of protrusions 24a-24e are provided on the bottom surface of the cavity 20 formed below the resonator section 40 , para. [00 33 ]) and a supporting structure (see annotated Fig. 2) surrounding the modified structure (see Fig. 2) , and a cavity (cavity 20) being formed between the modified structure and the resonant structure ( piezoelectric film 16 and the protection film 12 located outside the resonator section 40 are provided with openings 30 in communication with the cavity 20 formed below the resonator section 40 , para. [0029]) . Regarding claim 13, Shibata teaches the recited limitations with respect to claim 1. Shibata further teaches, the filter unit according to claim 1, wherein an etching rate of a material of the modified structure is greater than an etching rate of a material of the supporting structure (a silicon-on-insulator (SOI) substrate is used to form first and second support(s) in a semiconductor layer on a buried oxide film (BOX). Then a material having a certain etching selection ratio relative to the BOX is buried as a sacrificial film, para. [0062] , in which, etching rate of SOI is higher etching rate of silicon substate 10 ). Regarding claim 1 7 , Shibata teaches the recited limitations with respect to claim 1. Shibata further teaches, a manufacturing method for the filter unit according to claim 1 , wherein the method comprises: forming the substrate (substrate 10, para. [0028-0029]) ; and forming the resonant structure at one side of the substrate (resonator 40) , wherein there is the cavity (cavity 20) between the resonant structure and the substrate ( plurality of protrusions 24a-24e are provided on the bottom surface of the cavity 20 formed below the resonator section 40, para. [0033 ]) . Regarding claim 1 8 , Shibata teaches the recited limitations with respect to claim 1 7 . Shibata further teaches, t he manufacturing method for the filter unit according to claim 17, wherein forming the substrate comprises: providing the substrate (substrate 10) ; and modifying the substrate to form a modified portion ( protrusions 24a-24e , Fig. 2) and a supporting structure, wherein the supporting structure surrounds the modified portion (see Fig. 1) . Regarding claim 1 9 , Shibata teaches the recited limitations with respect to claim 1 8 . Shibata further teaches, the manufacturing method for the filter unit according to claim 18, wherein forming the resonant structure at one side of the substrate (see Fig. 2) , wherein there is the cavity (cavity 20) between the resonant structure and the substrate comprises: forming at least one through hole (openings 30) on the resonant structure; and injecting corrosive liquid through the through hole to corrode the modified portion to form a modified structure and the cavity between the modified structure and the resonant structure ( a resist film 100 is used as a mask to selectively remove the piezoelectric film 16 and the protection film 12 by photolithography and RIE, thereby forming openings 30 … etchants used in etching away at least part of the sacrificial film 222 and the first and second support(s) 124a-124d, 126, para. [0042]) . Claim(s) 1 alternatively , and claims 2-5 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Chan (US 6355498). Regarding claim 1, Chan teaches, a filter unit ( BAW resonator, see Abstract and Fig. 10 ), comprising: a resonant structure ( resonator structure , Fig. 8 below); and a substrate (substrate 1 0 ) disposed at one side of the resonant structure, the substrate comprising a modified structure ( see annotated Fig. 8 ) and a supporting structure (see, Fig. 8 ) surrounding the modified structure, and a cavity ( cavity 28 ) being formed between the modified structure and the resonant structure. 2223821 1009498 0 0 883869 1439926 modified structure 0 0 modified structure 4483710 167920 through hole 0 0 through hole 3891686 314553 0 0 4293896 1448308 cambered surface 0 0 cambered surface 3899002 1053390 0 0 Annotated Fig. 8, Ch a n. Regarding claim 2 , Chan teaches the recited limitations with respect to claim 1. Chan further teaches, the filter unit according to claim 1, wherein a boundary of an orthographic projection of the resonant structure on the substrate intersects or overlaps with the supporting structure (see Fig. 8) ; and a surface of the modified structure close to one side of the resonant structure comprises at least one cambered surface (see annotated Fig. 8) . Regarding claim 3 , Chan teaches the recited limitations with respect to claim 2 . Chan further teaches, the filter unit according to claim 2, wherein the resonant structure comprises at least one through hole (vias 26, Figs. 8 and 9) communicating with the cavity, a boundary of an orthographic projection of the through hole on the substrate intersecting or overlapping with the modified structure (see Figs. 8 and 9) ; a geometric center of a space occupied by the through hole is collinear with a spherical center of the cambered surface (see Fig. 8) . Regarding claim 4, Chan teaches the recited limitations with respect to claim 3 . Chan further teaches, the filter unit according to claim 3, wherein the spherical center of the cambered surface is located where the through hole communicates with the cavity (see the through hole 26 and the cambered surface in annotated Fig. 8). Regarding claim 5, Chan teaches the recited limitations with respect to claim 3 . Chan further teaches, the filter unit according to claim 3, wherein a quantity of the cambered surfaces is the same as a quantity of the through holes (see the through hole s 26 and the cambered surfaces in annotated Fig. 8). Claim(s) 1 alternatively , and claim s 15 -16 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Asai (US 20090127978). Regarding claim 1, Asai teaches , a filter unit ( film bulk acoustic wave resonator filter , para. [0003]) , comprising: a resonant structure (resonance part 20, Fig. 1C below) ; and a substrate (substrate 1) disposed at one side of the resonant structure, the substrate comprising a modified structure (prop 50, Fig. 1C , prop 50 is formed by leaving out a portion of the high-resistance silicon substrate at the time of forming the gap 80 in the high-resistance silicon substrate , para. [0038] ) and a supporting structure (see, annotated Fig. 1C) surrounding the modified structure, and a cavity (gap 80) being formed between the modified structure and the resonant structure. 4140200 1271676 supporting structure 0 0 supporting structure 3848100 1409827 0 Annotated Fig. 1C, Asai . Regarding claim 1 5 , Asai teaches the recited limitations with respect to claim 1. Asai further teaches , t he filter unit according to claim 1, wherein a material of the modified structure comprises glass (glass substrate, para. [0035]) . Regarding claim 1 6 , Asai teaches the recited limitations with respect to claim 1. Asai further teaches , a n electronic device (see the transmission filter and reception filter, Fig. 15) comprising at least three filter units ( film bulk acoustic wave resonators 71 to 77 , Fig. 15) according to claim 1, wherein at least two of the at least three filter units are connected in series and are connected in parallel with the filter units other than the filter units connected in series (see Fig. 15, film bulk acoustic wave resonators 71-73 have serial resonator connection, while the film bulk acoustic wave resonators 74-77 have parallel resonator connection , para. [0089]) . 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) 14 is rejected under 35 U.S.C. 103 as being unpatentable over Chan as applied to claim 3 above, and further in view of Shibata . Regarding claim 14 , Chan does not teach, a supporting layer. However, Shibata further teaches, the filter unit according to claim 3, wherein the filter unit further comprises a supporting layer (protective film 12, Figs. 2 and 3) disposed between the modified structure and the resonant structure; and the through hole (opening 30, Fig. 3) further penetrates through the supporting layer and communicates with the cavity (see the opening in annotated Fig. 3 below ) . 4388383 728980 supporting layer 0 0 supporting layer 3986276 888390 Annotated Fig. 3, Shibata. Therefore, in view of the teachings of Shibata , it would have been prima facie obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to modify the filter unit in Fig. 8 of Chen and to include a supporting layer 12 as Shibata taught in Fig. 3 so that it enables controll ing the etching of the cavity . Claim(s) 20 is rejected under 35 U.S.C. 103 as being unpatentable over Asai as applied to claim 1 6 above, and further in view of Chan. Regarding claim 20 , Asai does not teach , a cambered surface . However, Chan further teaches, the electronic device according to claim 16, wherein a boundary of an orthographic projection of the resonant structure on the substrate intersects or overlaps with the supporting structure (see Fig. 8) ; and a surface of the modified structure close to one side of the resonant structure comprises at least one cambered surface (see annotated Fig. 8 above) . Therefore, in view of the teachings of Chan, it would have been prima facie obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to modify the filter unit in Fig. 2 of Asai and to replace the substate 1 of Asai with a substrate 10 having a cambered surface as taught in Fig. 8 of Chan so that it enables adjusting the resonance frequency of the resonator by a controlling the etching rate of the cambered surface . Allowable Subject Matter Claims 6 is 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. Claims 7-12 are allowable by virtue of its dependency. The following is an examiner’s statement of reasons for indicating allowable subject matter: Claim 6 would be allowable for disclosing a filter unit, wherein a surface of the supporting structure close to one side of the modified structure comprises an annular surface, a shape of a space enclosed by an edge of the annular surface close to one side of the resonant structure comprises a polygon having rounded corners, and a quantity of edge lengths of the polygon having the rounded corners is the same as a quantity of the through holes and a quantity of the cambered surfaces. Though, prior art of record Shibata teaches a filter unit including the substrate comprising a modified structure and a supporting structure surrounding the modified structure, a surface of the supporting structure close to one side of the modified structure comprises an annular surface , Shibata fails to teach, a shape of a space enclosed by an edge of the annular surface close to one side of the resonant structure comprises a polygon having rounded corners, and a quantity of edge lengths of the polygon having the rounded corners is the same as a quantity of the through holes and a quantity of the cambered surfaces. Though, prior art of record Asai teaches a filter unit including a resonant structure and the substrate comprising a modified structure and a supporting structure surrounding the modified structure, a surface of the supporting structure close to one side of the modified structure comprises an annular surface , a shape of a space enclosed by an edge of the annular surface close to one side of the resonant structure comprises a polygon , Asai fails to teach, at least one through hole communicating with the cavity ; or the polygon having rounded corners, and a quantity of edge lengths of the polygon having the rounded corners is the same as a quantity of the through holes and a quantity of the cambered surfaces. Prior art Chan does not teach a shape of a space enclosed by an edge of the annular surface close to one side of the resonant structure comprises a polygon having rounded corners, and a quantity of edge lengths of the polygon having the rounded corners is the same as a quantity of the through holes and a quantity of the cambered surfaces . Therefore, claim 6 would be allowable. Claims 7-12 would be allowable by virtue of its dependency. Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled “Comments on Statement of Reasons for Allowance.” Conclusion Prior art Gul ( US 20220162056 ) teaches a resonant structure; and a substrate disposed at one side of the resonant structure, the substrate comprising a modified structure and a supporting structure surrounding the modified structure, and a cavity being formed between the modified structure and the resonant structure. Prior art Gomez ( US 11528808 ) teaches a resonant structure including a substrate disposed at one side of the resonant structure, the substrate comprising a modified structure and a supporting structure surrounding the modified structure, and a cavity . Prior art Rotzoll ( US 20200176286 ) teaches a resonant structure including a substrate disposed at one side of the resonant structure, the substrate comprising a modified structure and a supporting structure surrounding the modified structure, and a cavity. Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT JOSE K. ABRAHAM whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (571)270-1087 . The examiner can normally be reached FILLIN "Work Schedule?" \* MERGEFORMAT Monday-Friday 8:30-4:30 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, FILLIN "SPE Name?" \* MERGEFORMAT THOMAS J. HONG can be reached at FILLIN "SPE Phone?" \* MERGEFORMAT (571) 272-0993 . 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. /JOSE K ABRAHAM/ Examiner, Art Unit 3729
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Prosecution Timeline

Jul 06, 2023
Application Filed
Mar 04, 2026
Non-Final Rejection — §102, §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
82%
Grant Probability
99%
With Interview (+36.0%)
2y 10m
Median Time to Grant
Low
PTA Risk
Based on 330 resolved cases by this examiner. Grant probability derived from career allow rate.

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