Prosecution Insights
Last updated: April 19, 2026
Application No. 18/536,789

FILM FORMING APPARATUS

Non-Final OA §102§103§112
Filed
Dec 12, 2023
Examiner
BERMAN, JASON
Art Unit
1794
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Tokyo Electron Limited
OA Round
1 (Non-Final)
63%
Grant Probability
Moderate
1-2
OA Rounds
3y 4m
To Grant
85%
With Interview

Examiner Intelligence

Grants 63% of resolved cases
63%
Career Allow Rate
569 granted / 901 resolved
-1.8% vs TC avg
Strong +22% interview lift
Without
With
+22.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 4m
Avg Prosecution
25 currently pending
Career history
926
Total Applications
across all art units

Statute-Specific Performance

§103
61.6%
+21.6% vs TC avg
§102
20.7%
-19.3% vs TC avg
§112
14.8%
-25.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 901 resolved cases

Office Action

§102 §103 §112
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. DETAILED ACTION Status of the Claims Claims 1-1 8 are pending in the current application. 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 appl icant regards as his invention. Claims 8 and 17 are 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 8 requires the recess to be ‘tilted’ “so as to extend” from the bottom surface to upper surface. It is unclear from the claim language whether this ‘tilt’ requirement includes a vertical extension from bottom to upper surface or whether a non-vertical angled extension is being required. The claim language is therefore indefinite. For purposes of examination, a non-vertical slope between bottom and top surfaces is the chosen interpretation. Claims 17 is rejected for its dependence upon claim 8. 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- 7 , 9 -16 , 18 is/are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Egami (US 20110049779) . As to claim 1, Egami discloses a film forming apparatus comprising: A process chamber (figure 2: chamber 200); A substrate support in the chamber including a recess in which a substrate is to be placed (figure 3a/b: substrate carrier 300 with pocket/recess 302 for substrates 202); The recess includes a projection at a bottom surface thereof (figure 3b: raised ring/projection 303); The projection is provided along an outer periphery of the substrate placed in the recess (figure 3a/b: showing location of projection ring 303 along periphery of supported substrate 202). As to claim 2, Egami discloses the recess includes a groove in the bottom surface outward of the projection (figure 3b: figure 3b: groove at numeral 302 formed between ring [projection] 303 and sidewall 304 of recess). As to claim 3, Egami discloses the height of the projection is lower than an upper surface of the recess (figure 3b: showing relative heights of projection/ring 303 and recess top outer surface 307 [height difference 309 ; paragraph 46 ]). As to claim 4, Egami discloses the projection has a shape of a ring along the periphery of the substrate (figure 3a/b: showing ring/projection 303 and its location at the outer periphery of the substrate 202). As to claim 5, Egami discloses the projection is a plurality of projections provided along the outer periphery of the substrate (figure 6a/b: alternate embodiment with a plurality of islands/projections 333 around the periphery of the substrate 202). As to claim 6, Egami disclose the inner diameter of the recess of larger than an outer diameter of the substrate (figure 3b: showing inner facing surface [inner diameter] 304 of recess 302 larger than contained substrate 202). As to claim 7, Egami discloses an inner diameter of the recess is increased in at least part of a circumferential direction of the recess ( figure 3a/b: showing recess/pocket 302 with ‘stops’ 305 reducing the inner diameter of recess 302 at various circumferential positions – thus the recess has a greater inner diameter at circumferential locations without stop 305 [increased at these locations with respect to the inner diameter at stop 305 locations]). As to claim 9, Egami discloses heating the substrate in the carrier by a heater (paragraph 38). As to claims 10-16 and 18 , Egami discloses the support is rotatable and contains a plurality of recesses along a rotation direction of the support ( figure 2: rotation of entire support susceptor 217 by support shaft 218; paragraph 37; figure 3a: placement of recesses 302 in circular shape [all but ‘center’ recess] along rotation direction when rotated along central axis of support ). 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. The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows: 1. Determining the scope and contents of the prior art. 2. Ascertaining the differences between the prior art and the claims at issue. 3. Resolving the level of ordinary skill in the pertinent art. 4. Considering objective evidence present in the application indicating obviousness or nonobviousness. Claim(s) 8 and 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over Egami as applied to claim 1 above, and further in view of Ngo (US 20150340266) . As to claim 8, Egami a chamber with a substrate holding comprising a recess with peripheral projection for containing a substrate with a lower surface and extension up to an upper surface (figure 3b: bottom surface of recess 302 to top surface 307), but is silent as to tilting the recess with an angled extension. Ngo discloses a processing chamber in which a substrate is held within a recess on peripheral projections (abstract; figure 4: substrate 50 with annular ridge 422). Ngo also discloses knowledge in the art of using an angled edge from the bottom of the recess to the upper surface (figure 5: sloped surface 522 from bottom 526 to upper surface 510), the slope allowing for control over contact areas, distances and thermal transfers between the substrate and susceptor during the substrate processing (paragraphs 46-47). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use a sloped/tilted rise from lower to upper recess surface, as disclosed by Ngo, the system of Egami, because this allows for control over substrate contacts, distances, and thermal profiles. As to claims 17 , Egami discloses the support is rotatable and contains a plurality of recesses along a rotation direction of the support (figure 2: rotation of entire support susceptor 217 by support shaft 218; paragraph 37; figure 3a: placement of recesses 302 in circular shape [all but ‘center’ recess] along rotation direction when rotated along central axis of support). Correspondence Information Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT JASON BERMAN whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (571)270-5265 . The examiner can normally be reached on FILLIN "Work Schedule?" \* MERGEFORMAT Monday - Thursday 8-4 . 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 James Lin can be reached on FILLIN "SPE Phone?" \* MERGEFORMAT (571) 272-8902 . The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative or access to the automated information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /JASON BERMAN/ Primary Examiner, Art Unit 1794
Read full office action

Prosecution Timeline

Dec 12, 2023
Application Filed
Mar 19, 2026
Non-Final Rejection — §102, §103, §112 (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
63%
Grant Probability
85%
With Interview (+22.0%)
3y 4m
Median Time to Grant
Low
PTA Risk
Based on 901 resolved cases by this examiner. Grant probability derived from career allow rate.

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