Prosecution Insights
Last updated: April 19, 2026
Application No. 18/380,776

SYSTEMS AND METHODS FOR IMPROVING PLANARITY USING SELECTIVE ATOMIC LAYER ETCHING (ALE)

Non-Final OA §103
Filed
Oct 17, 2023
Examiner
KENDALL, BENJAMIN R
Art Unit
2896
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Tokyo Electron Limited
OA Round
1 (Non-Final)
32%
Grant Probability
At Risk
1-2
OA Rounds
4y 2m
To Grant
56%
With Interview

Examiner Intelligence

Grants only 32% of cases
32%
Career Allow Rate
150 granted / 467 resolved
-35.9% vs TC avg
Strong +24% interview lift
Without
With
+23.8%
Interview Lift
resolved cases with interview
Typical timeline
4y 2m
Avg Prosecution
48 currently pending
Career history
515
Total Applications
across all art units

Statute-Specific Performance

§101
0.9%
-39.1% vs TC avg
§103
62.5%
+22.5% vs TC avg
§102
11.3%
-28.7% vs TC avg
§112
22.7%
-17.3% vs TC avg
Black line = Tech Center average estimate • Based on career data from 467 resolved cases

Office Action

§103
DETAILED ACTION The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA. 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. Claim Rejections - 35 USC § 103 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. 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- 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over O’Meara et al (US 2017/0236719 ) in view of LaVoie et al (US 2018/0308695). Regarding claim 1: O’Meara teaches an atomic layer processing system (batch processing system, 10) configured to planarize a patterned substrate (200) [fig 1 & 0020] , comprising: a spatial atomic layer processing chamber (process chamber, 16) comprising a rotating platen (susceptor, 48) [fig 1 & 0025] ; and a controller (system controller, 36) [fig 1 & 0024]. O’Meara does not specifically teach a sensor that provides sensor data related to a property of the patterned substrate and/or a reaction in the spatial atomic layer processing chamber; and the controller coupled to the sensor to receive the sensor data, the controller configured to utilize the sensor data to adjust at least one operating parameter of the atomic layer processing system so as to achieve a desired amount of planarization of the patterned substrate. LaVoie teaches a sensor (sensor) that provides sensor data (signals) related to a property of the patterned substrate and/or a reaction in the spatial atomic layer processing chamber (monitor the plasma and other process characteristics) [0090, 0105]; and the controller (sensor controller, 750) coupled to the sensor (sensor) to receive the sensor data (output signals) , the controller (750) configured to utilize the sensor data to adjust at least one operating parameter of the atomic layer processing system so as to achieve a desired amount of planarization of the patterned substrate ( may be used to set an endpoint to stop etching after a certain amount of time using certain disclosed embodiments ) [fig 7 & 0090, 0105] . It would have been obvious to one skilled in the art before the effective filing date to modify the system of O’Meara to comprise a sensor and a controller coupled thereto configured to utilize the sensor data to adjust at least one operating parameter of the atomic layer processing system , as in LaVoie , to enable use of feedback and control algorithms in order to maintain process conditions as desired [ LaVoie – 0105]. Regarding claim 2: Modified O’Meara teaches the operating parameter is at least one of a rotational speed, a temperature, a gas flow, a gas ratio, a pressure, a vacuum level, or a number of cycles ( see 0105) [ LaVoie - 0105] . Regarding claims 3- 12 : The claim limitations “ wherein the chamber is configured to provide or receive a patterned substrate with a first layer having at least a first portion on an upper surface, a second portion on a lower surface and a sidewall between the upper and lower surface ”, “ wherein the chamber is configured to expose the first layer to a first precursor gas to form a modified layer on the first layer such that the modified layer is preferentially formed on the upper surface as compared to the lower surface ”, “ wherein the chamber is configured to at least partially remove the modified layer after it is formed of the first layer, wherein the forming the modified layer on the first layer and the at least partially removing the modified layer preferentially etches the upper surface as compared to the lower surface so as to lessen a height of the first portion on the upper surface to a greater extent than a height of the second portion on the lower surface ”, “ wherein the sensor data is indicative of a thickness of at least one of the first or second portion of the first layer ”, “ wherein system is configured cyclically perform the forming the modified layer and the at least partial removing the modified layer over a number of cycles, and wherein the operating parameter includes the number of cycles ”, “ wherein the system is configured such that a rotational speed of the rotating platen causes enhanced deposition of a first precursor of the first precursor gas on the upper surfaces as compared to the lower surfaces ”, “ wherein the rotational speed of the rotating platen is adjustable during one or more of the forming or the removing of the modified layer ”, “ wherein chamber is configured to generate a plasma to at least partially remove the modified layer ”, “ wherein chamber is configured to accommodate more than one substrate ”, and “ wherein the system is configured to planarize multiple patterned substrates at a time ” are merely intended use and are given weight to the extent that the prior art is capable of performing the intended use. A claim containing a “recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus” if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987). Regarding claims 13-14: O’Meara teaches the system includes a precursor adsorption section (78) and a plasma treatment section (82) [fig 1 & 0029-0030, 0038]; and wherein the precursor adsorption section (78) and plasma treatment section (82) are separated from each other by inert gas areas (76/80) [fig 1 & 0029-0030, 0038] . Regarding claims 15-17 : O’Meara teache s the system includes a processing section (additional processing space may be provided) between the precursor adsorption section (78) and the plasma treatment section (82) [fig 1 & 0029-0030, 0038] ; wherein the precursor adsorption section (78) , the processing section (additional processing space may be provided) and the plasma treatment section (82) are separated from each other by inert gas areas (inert processing spaces provided between each of the processing spaces that introduce processing gasses to provide a gaseous curtain to limit transfer of process materials therebetween) [fig 1 & 0029-0030, 0038] ; and purge sources (84/30) extending radially relative to the rotating platen in the inert gas area (see fig 1) [fig 1 & 0029-0030, 0038] . Claim(s) 18-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over O’Meara et al (US 2017/0236719 ) in view of LaVoie et al (US 2018/0308695) as applied to claims 1-17 above, and further in view of Miura (US 2017/0335453). The limitations of claims 1-17 have been set forth above. Regarding claims 18-19: Modified O’Meara does not specifically teach one or more gas outlet pumping ports at the periphery of the rotating platen ; and wherein the one or more gas outlet pumping ports are provided adjacent at least one of the precursor adsorption section or the plasma treatment section. Miura teaches one or more gas outlet pumping ports (610/620) at the periphery of the rotating platen (rotary table, 2) [fig 3 & 0053] ; and wherein the one or more gas outlet pumping ports (610/620) are provided adjacent at least one of the precursor adsorption section or the plasma treatment section (P1) [fig 3 & 0053] . It would have been obvious to one skilled in the art before the effective filing date to modify the system of modified Miura to further comprise one or more gas outlet pumping ports to evacuate the process gases separately such that they are not mixed [fig 3 & 0053]. Regarding claim 20: Modified O’Meara does not specifically teach the precursor adsorption section includes a showerhead and a precursor gas injector. Miura teaches a precursor adsorption section includes a showerhead (41h) and a precursor gas injector (41a) [fig 4 & 0036] . It would have been obvious to one of ordinary skill in the art before the effective filing date to modify the precursor adsorption section of m odified O’Meara to include a showerhead and a precursor gas injector , as in Miura, to allow for the flow rate of adsorption gas to be controlled separately [Miura – 0037-0038]. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Orito et al (US 2011/0100489) and O’Meara et al (US 2016/0247680) teach utilizing data to adjust at least one operating parameter [fig 13 - s26 and fig 1A - step 13, respectively]. Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT BENJAMIN R KENDALL whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (571)272-5081 . The examiner can normally be reached FILLIN "Work Schedule?" \* MERGEFORMAT Mon - Thurs 9-5 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 William F Kraig can be reached at FILLIN "SPE Phone?" \* MERGEFORMAT (571)272-8660 . 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. /Benjamin Kendall/ Primary Examiner, Art Unit 2896
Read full office action

Prosecution Timeline

Oct 17, 2023
Application Filed
Apr 02, 2026
Non-Final Rejection — §103 (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
32%
Grant Probability
56%
With Interview (+23.8%)
4y 2m
Median Time to Grant
Low
PTA Risk
Based on 467 resolved cases by this examiner. Grant probability derived from career allow rate.

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