Prosecution Insights
Last updated: April 18, 2026
Application No. 18/383,673

CONTROL METHOD OF SUBSTRATE PROCESSING APPARATUS AND SUBSTRATE PROCESSING APPARATUS

Non-Final OA §102
Filed
Oct 25, 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

§102
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. Election/Restrictions Claim 6 is withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected invention (apparatus), there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on 03/17/2026. Applicant's election with traverse of Invention I (method), drawn to claims 1-5, in the reply filed on 03/17/2026 is acknowledged. The traversal is on the ground(s) that undue diverse searching should not be required. This is not found persuasive because the inventions are classified in different areas. As such, a search of the method would not encompass the apparatus. The requirement is still deemed proper and is therefore made FINAL. 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. Claim(s) 1-5 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Ohashi et al (US 2021/0301397). Regarding claim 1: Ohashi teaches a control method comprising: providing a substrate processing apparatus (substrate processing apparatus) including a processing container (process vessel, 203) [fig 1-2 & 0018] ; and a rotary table (rotary table, 217) provided in the processing container (203) and having a plurality of substrate placing portions (concave portions, 217b) in a circumferential direction on a top surface thereof [fig 1-2 & 0023] ; forming films on substrates (substrate, S) on the substrate placing portions (217b) according to a process recipe (film forming step, s140) by rotating the rotary table (rotary table 217 is rotated a predetermined number of times) [fig 7 & 0092] ; unloading the substrates (S) on the substrate placing portions (217b) from the processing container (unloaded out of the process vessel 203) after the forming (s170 is after s140) [fig 7 & 0095] ; and rotating the rotary table until before the unloading after the forming (carrying out step s160) [fig 7 & 0094] . Regarding claim 2: Although taught by Ohashi (step, s160), the limitations “ wherein when stopping of rotation of the rotary table is set in a final step of the forming in the process recipe, the rotation of the rotary table is stopped after the forming ” are contingent limitations NOT required by the claimed method. Specifically, t he broadest reasonable interpretation of a method (or process) claim having contingent limitations requires only those steps that must be performed and does not include steps that are not required to be performed because the condition(s) precedent are not met [MPEP 2111.04(II)]. Regarding claim 3: Ohashi teaches wherein in the rotating, a rotational speed is variably controlled (rotation controlled between a desired speed and stopping between at steps s150-s160) [fig 7 & 0088, 0093-0094]. The claim limitations “ to reduce an influence of temperature on the substrates on the substrate placing portions ” simply express the intended result of a process step positively recited . As such, these limitations have not been afforded patentable weight. Hoffer v. Microsoft Corp ., 405 F.3d 1326, 1329, 74 USPQ2d 1481, 1483 (Fed. Cir. 2005) (quoting Minton v. Nat’l Ass’n of Securities Dealers, Inc., 336 F.3d 1373, 1381, 67 USPQ2d 1614, 1620 (Fed. Cir. 2003) Regarding claim s 4-5 : Ohashi teaches wherein in the unloading (s170) , in order to sequentially unload the substrates (S) on the substrate placing portions (217b) , rotation of the rotary table is decelerated and stopped such that a position of one of the substrate placing portions is aligned with a position of a transfer port ( rotated to move the substrate S to the position facing the gate valve 205 ) [fig 7 & 0095]; and wherein in the unloading (s170) , an unloading instruction is received for each of the substrates (S) on the substrate placing portions (217b) , and the rotation of the rotary table is decelerated and stopped such that a position of the substrate placing portion of a substrate for which the unloading instruction is received first is controlled to be a position corresponding to the transport port, so that the substrate for which the unloading instruction is received first is unloaded prior to a substrate for which the unloading instruction is received later ( rotated to move the substrate S to the position facing the gate valve 205 i s repeated until all of the plurality of the substrates are unloaded out of the process vessel 203 ) [fig 7 & 0095] . Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Kato et al (US 2010/0055317) teaches a rotary table control method [fig 12]. 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
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Prosecution Timeline

Oct 25, 2023
Application Filed
Mar 31, 2026
Non-Final Rejection — §102 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12577654
MOLECULAR BEAM EPITAXY THIN FILM GROWTH APPARATUS
2y 5m to grant Granted Mar 17, 2026
Patent 12573599
PLASMA PROCESSING DEVICE AND PLASMA PROCESSING METHOD
2y 5m to grant Granted Mar 10, 2026
Patent 12568800
CHEMICAL-DOSE SUBSTRATE DEPOSITION MONITORING
2y 5m to grant Granted Mar 03, 2026
Patent 12562354
PLASMA PROCESSING APPARATUS AND TEMPERATURE CONTROLLING METHOD
2y 5m to grant Granted Feb 24, 2026
Patent 12557584
SEMICONDUCTOR PROCESSING STATION AND SEMICONDUCTOR PROCESS USING THE SAME
2y 5m to grant Granted Feb 17, 2026
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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