Prosecution Insights
Last updated: October 02, 2026
Application No. 19/008,383

APPARATUS AND METHOD FOR PROVIDING SENSOR DATA OF AN OPTICAL SYSTEM, OPTICAL SYSTEM AND LITHOGRAPHY APPARATUS HAVING AN OPTICAL SYSTEM

Non-Final OA §102§103
Filed
Jan 02, 2025
Priority
Jul 11, 2022 — DE 10 2022 207 027.5 +1 more
Examiner
PERSAUD, DEORAM
Art Unit
Tech Center
Assignee
Carl Zeiss SMT GmbH
OA Round
1 (Non-Final)
77%
Grant Probability
Favorable
1-2
OA Rounds
1y 0m
Est. Remaining
89%
With Interview

Examiner Intelligence

Grants 77% — above average
77%
Career Allowance Rate
593 granted / 771 resolved
+16.9% vs TC avg
Moderate +12% lift
Without
With
+12.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
24 currently pending
Career history
801
Total Applications
across all art units

Statute-Specific Performance

§101
3.7%
-36.3% vs TC avg
§103
48.0%
+8.0% vs TC avg
§102
31.4%
-8.6% vs TC avg
§112
6.9%
-33.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 771 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 . Specification The lengthy specification has not been checked to the extent necessary to determine the presence of all possible minor errors. Applicant’s cooperation is requested in correcting any errors of which applicant may become aware in the specification. 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. Claims 1, 2 and 13-16 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Nishi et al. [EP 1 039 509 A1]. Regarding claims 1 and 16, Nishi et al. discloses an apparatus (Fig. 1) / a method (Fig. 12) for providing sensor data, comprising: a multiplexer unit (Fig. 11, item 122A/B); an analogue-to-digital converter unit (124A/B); and a digital filter device (126), wherein: the multiplexer unit (122A/B) is configured to: i) receive a number N of analogue sensor signals from N sensors (19, 86A/B, 96A/B) of an optical system (IL/PL) via N channels (SS1-SS4), N being at least one (as shown in Fig. 11, see also paragraph [0124] teaches the sensor signals); and ii) provide to the analogue-to-digital converter unit (124A/B) an analogue signal sequence comprising N multiplexed analogue sensor signals (as shown in Fig. 11, see also paragraph [0138] teaches the multiplexer unit and the ADC); the analogue-to-digital converter (124A/B) is configured to convert the analogue signal sequence into a digital signal sequence comprising N digital sensor signals (paragraphs [0135]-[0139] teaches the process of obtaining the signals from the sensors to conversion of the signals); the analogue-to-digital converter (124A/B) is configured to provide the N digital sensor signals (paragraph [0167] teaches the processor) to the digital filter device (126); the digital filter device (126) is configured to filter the N digital sensor signals in a channel-specific manner to provide and store a respective filtered digital sensor signal for each of the N channels (paragraphs [0155]-[0158], [0168]-[0171] teaches the filtering of the signals); and the analogue-to-digital converter (124A/B) and the digital filter device (126) have the same frequency-synchronized system clock (paragraphs [0135]-[0139], [0167] teaches the synchronized triggering system). Regarding claim 2, Nishi et al. discloses further comprising: a control unit configured to clock-synchronously control the analogue-to-digital converter and the digital filter device via the frequency-synchronized system clock (paragraphs [0135]-[0139], [0167] teaches the synchronized triggering system). Regarding claims 13-15, Nishi et al. discloses wherein the apparatus does not comprises an analogue filter, an optical system, comprising: an apparatus, wherein the apparatus is a lithography apparatus, a lithography apparatus, comprising: an optical system which comprises the apparatus (as shown in Fig. 1, see also paragraphs [0053]-[0072] teaches the apparatus and the optical systems). 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 3 is rejected under 35 U.S.C. 103 as being unpatentable over Nishi et al. in view of De Groot et al. [US 2007/0171425 A1]. Regarding claim 3, Nishi et al. discloses the apparatus, as applied above. Nishi et al. does not teach comprising N digital filters. However, De Groot et al. discloses a sensor system comprising a plurality of digital filters per channel (as show in Fig. 22B, see also paragraphs [0176]-[0177]). Therefore, it would have been obvious to one of ordinary skill in the art to provide a plurality of digital filters per channel, as taught by De Groot et al. in the system of Nishi et al. because such a modification provides a suitable alternative configuration to provide the expected outcome of reducing response time of the apparatus. Claims 4, 6-8, 10 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Nishi et al. in view of Neefs et al. [WO 2017/089391 A1]. Regarding claims 4 and 6, Nishi et al. discloses the apparatus, as applied above. Nishi et al. does not teach a storage unit, connected downstream of the N digital filters, with N memory locations or wherein the digital filter device comprises delay units for receiving the digital signal sequence. However, Neefs et al. discloses means to enable accurate measurements of conditions prevailing within a lithographic apparatus comprising a sensor system comprising memory locations for storing the digital sensor signals (paragraphs [0069]-[0070], see also Fig. 5) and the use of a delay unit for receiving the signal into the memory (paragraph [0080], see also Fig. 5). Therefore, it would have been obvious to one of ordinary skill in the art to provide N memory locations and delay units for receiving the digital signal, as taught by Neefs et al. in the system of Nishi et al. because such a modification provides a suitable alternative configuration to provide the expected outcome of reducing response time of the apparatus. Regarding claims 7 and 8, Nishi et al. in view of Neefs et al. discloses further comprising an adding unit and a storage unit, wherein: a respective multiplier unit is connected downstream of each of the M delay units; each multiplier unit is assigned a specific filter coefficient; the delay units are configured to supply the memory contents of a specific channel of the N channels to the M multiplier units in accordance with the system clock; the M multiplier units are configured to multiply the memory contents supplied by the M delay units by the specific filter coefficients; the adding unit is connected downstream of the M multiplier units; the adding unit is configured to add up products of the multiplications provided by the M multiplier units to provide the filtered digital sensor signal of the specific channel; the storage unit is connected downstream of the adding unit; the storage unit comprises N memory locations; each of the N memory locations is assigned to exactly one of the N channels; and the respective memory location is configured for storing the respective filtered digital sensor signal for the respective one of the N channels, wherein the control unit is configured to clock-synchronously control the multiplexer unit, the analogue-to-digital converter, the delay units and the storage unit via the frequency-synchronized system clock (paragraphs [0135]-[0137], [0155]-[0157], see also Fig. 11 of Nishi et al. and Fig. 5 of Neefs et al.). Regarding claims 10 and 11, Nishi et al. in view of Neefs et al. discloses comprising a processor device which comprises the digital filter device, the storage unit and the control unit, wherein the processor device further comprises a signal analysis unit configured to: i) analyse the digital sensor signals and/or the filtered digital sensor signals; and ii) adapt in dependence thereon at least one property of the digital filter device and/or a sampling frequency of the analogue-to-digital converter (paragraphs [0173], [0185], see also Figs. 14 and 15 of Nishi et al. and Fig. 5 of Neefs et al.). Claims 5 and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Nishi et al. as modified in view of Sogard [US 2012/0099089 A1]. Regarding claims 5 and 9, Nishi et al. as modified discloses the apparatus, as applied above. Nishi et al. as modified does not teach further comprising a digital-to-analogue converter connected between the control unit and the N sensors. However, Sogard discloses a system for measuring dimensional changes and distortion wherein they system comprises a digital-to-analogue converter connected between the control unit and the N sensors (Fig. 12, see also paragraph [0046]). Therefore, it would have been obvious to one of ordinary skill in the art to provide a digital-to-analogue converter as taught by Sogard in the system of Nishi et al. as modified because such a modification provides a suitable alternative configuration to improve signal quality of the apparatus. Claim 12 is rejected under 35 U.S.C. 103 as being unpatentable over Nishi et al. in view of Holz et al. [US 10,678,151 B2]. Regarding claim 12, Nishi et al. discloses the apparatus, as applied above. Nishi et al. does not teach further comprising a vacuum housing which houses the N sensors and the multiplexer unit. However, Holz et al. an assembly having a plurality of sensors and/or actuators controlled by a control device comprising a multiplexer wherein the multiplexer and the sensors are arranged in a vacuum housing (Col. 8 line 30-Col. 9 line 40, see also Fig. 2). Therefore, it would have been obvious to one of ordinary skill in the art to provide a vacuum housing, as taught by Holz et al. in the system of Nishi et al. because such a modification provides a suitable alternative configuration reduces the cables for the signal transmission (Col. 10 line 31-line 36 of Holz et al.). Claims 17-21 are rejected under 35 U.S.C. 103 as being unpatentable over Nishi et al. in view of Garrity et al. [US 2023/0128469 A1]. Regarding claims 17-21, Nishi et al. discloses an apparatus a method (Fig. 12) / (Fig. 1), comprising: an analogue-to-digital converter (Fig. 11, 124A/B) configured to convert analogue sensor signals into digital sensor signals (paragraphs [0135]-[0139] teaches the process of obtaining the signals from the sensors to conversion of the signals); a digital filter device (126) connected downstream of the analogue-to-digital converter (Fig. 11, 124A/B), the digital filter device having low-pass behaviour to filtering the digital sensor signals which include a used signal component with used signal frequencies of a used signal bandwidth (paragraphs [0155]-[0158], [0168]-[0171] teaches the filtering of the signals). Nishi et al. does not teach an interference signal component with at least one determinable alias frequency of a known interference frequency undersampled by the analogue-to-digital converter in the analogue sensor signal, and wherein the sampling frequency of the analogue-to-digital converter and the filter order of the digital filter device are configured so that the at least one alias frequency lies outside the used signal bandwidth and the sampling frequency is not a submultiple of the interference frequency and so that the digital filter device allows the signal components within the used signal bandwidth to pass and suppresses the at least one alias frequency of the undersampled interference signal components. However, Garrity et al. disclose a device detecting the desired signals while reducing the noise using a notch filter wherein signal suppression at multiple defect or undesirable frequencies can occur (paragraphs [0092], [0096] and [0101]-[0105]). Therefore, it would have been obvious to one of ordinary skill in the art to provide a filter to suppress at least one alias frequency of the interference signal components, as taught by Garrity et al. in the system of Nishi et al. because such a modification provides a suitable alternative configuration to improve signal quality of the apparatus. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to DEORAM PERSAUD whose telephone number is (571)270-5476. The examiner can normally be reached M-F 8AM-5PM. 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, Minh-Toan Ton can be reached at 571-272-2303. 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. /DEORAM PERSAUD/ Primary Examiner, Art Unit 2882
Read full office action

Prosecution Timeline

Jan 02, 2025
Application Filed
Aug 24, 2026
Non-Final Rejection mailed — §102, §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12745594
RETICLE EXCHANGE DEVICE WITH RETICLE LEVITATION
3y 5m to grant Granted Sep 22, 2026
Patent 12743025
SUBSTRATE EDGE PATTERNING TECHNIQUES
2y 8m to grant Granted Sep 22, 2026
Patent 12743028
RETICLE CLAMPING MODULE
1y 9m to grant Granted Sep 22, 2026
Patent 12736887
SUPPORT TABLE FOR A LITHOGRAPHIC APPARATUS, LITHOGRAPHIC APPARATUS AND DEVICE MANUFACTURING METHOD
3y 4m to grant Granted Sep 15, 2026
Patent 12736872
IMPRINTING APPARATUS
2y 8m to grant Granted Sep 15, 2026
Study what changed to get past this examiner. Based on 5 most recent grants.

Strategy Recommendation AI-generated — please review before filing

Get a prosecution strategy drawn from examiner precedents, rejection analysis, and claim mapping.
Typically takes 5-10 seconds — AI-generated, attorney review required before filing

Prosecution Projections

1-2
Expected OA Rounds
77%
Grant Probability
89%
With Interview (+12.0%)
2y 9m (~1y 0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 771 resolved cases by this examiner. Grant probability derived from career allowance rate.

Sign in with your work email

Enter your email to receive a magic link. No password needed.

Personal email addresses (Gmail, Yahoo, etc.) are not accepted.

Free tier: 3 strategy analyses per month