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 .
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 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.
Status of Claims
Claims 1-2, 5-8, 10, 12-13, and 15-16 are pending.
Claims 1 and 12-13 have been amended.
Claims 3-4, 9, 11 and 14 have been cancelled.
Continued Examination
A request for continued examination under 37 CFR 1.114, including the fee set forth in
37 CFR 1.17(e), was filed in this application after final rejection. Since this application is
eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e)
has been timely paid, the finality of the previous Office action has been withdrawn pursuant to
37 CFR 1.114. Applicant's submission filed on 05/21/2025 has been entered.
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.
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.
Claim(s) 1-2, 5-8, and 12-13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sun et al. (US 20200335376) in view of Chen et al. (US 6872281), Hanaoka et al. (US 20120160418), Sato et al. (US 20050103440) and Le et al. (US 20140179108).
Regarding Claim 1:
Sun teaches a plasma processing apparatus (apparatus 10), comprising: a plasma processing chamber (chamber 100); a plasma generator (plasma source unit 400) configured to generate a plasma in the plasma processing chamber; a substrate support (support 200) disposed in the plasma processing chamber; a first conductive ring (focus ring 21; the focus ring 231 may include an upper layer 231a made of silicon) disposed to surround a substrate (substrate W) on the substrate support; an insulating ring (cover ring 232; the cover ring 232 may comprise quartz) surrounding the first conductive ring and overlapping a top surface of the substrate support in a vertical direction (as evidenced by Fig. 1, the cover ring 232 overlaps an upper surface of support 200 in a vertical direction) [Fig. 1, 4 & 0026, 0052-0053].
Sun does not specifically disclose a second conductive ring surrounding the insulating ring, and connected to a ground potential.
Chen teaches and a second conductive ring (outer side ring 208) surrounding the insulating ring (as evidenced by Fig. 6, inner side ring 206 is surrounded by outer side ring 208), and connected to a ground potential (the outer side ring is grounded as indicated by 84) [Fig. 1-2, and 6 & Col. 9 lines 47-49, Col. 12 lines 60-67, Col. 13 lines 1-26].
It would be obvious to one of ordinary skill in the art to modify the apparatus of Sun to further comprise a grounded second conductive ring surrounding the insulating ring, as in Chen, to improve plasma confinement [Chen - Col. 1 lines 26-38, Col. 13 lines 47-67, Col. 14 lines 1-6].
Modified Sun does not specifically disclose a third conductive ring disposed under the second conductive ring in the vertical direction and connected to the ground potential.
Hanaoka teaches a third conductive ring (ground ring 45) disposed below a second ring (member 16), and connected to the ground potential (ground ring 45 is a grounding electrode) [Fig. 1, 2 & 0035, 0040, 0043].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the second conductive ring of Modified Sun to include a third conductive ring, as in Hanaoka, to be able to control grounding potential; grounding potential can influence etching conditions [Hanaoka - 0043, 0044].
Modified Sun (Sun modified by Chen and Hanaoka) does not specifically disclose a conductive baffle plate including a plurality of through holes, the conductive baffle plate being connected to the ground potential and disposed around the substrate support, and the second conductive ring is connected to the ground potential through the conductive baffle plate or the third conductive ring.
Sato teaches a conductive baffle plate (baffle plate 10) including a plurality of through holes (through holes 10b), the conductive baffle plate being connected to the ground potential (baffle plate 10 is grounded via processing chamber 1) and disposed around the substrate support (as evidenced by Fig. 6, the baffle plate 10 is disposed around mounting table 2), wherein the second ring (member 3a) is connected to the ground potential via the conductive baffle plate through the conductive baffle plate or the third conductive ring (baffle plate 10 may comprise of aluminum and is grounded; as evidenced by Fig. 6, baffle plate 10 is in contact with member 3a) [Fig. 6 & 0030, 0043].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the ring assembly of Modified Sun to include a baffle plate, as in Sato, to improve exhaust conductance and efficiency [Sato - 0046, 0057].
Modified Sun (Sun modified by Chen, Hanaoka, and Sato) does not specifically disclose wherein the second conductive ring is disposed such that a top surface of the second conductive ring is higher than a top surface of the insulating ring.
While Le does not specifically disclose "wherein the second conductive ring is disposed such that a top surface of the second conductive ring is higher than a top surface of the insulating ring," Le does disclose that the height of a ring around a substrate is a result effective variable. Specifically, that the height of a ring can be adjusted to control the trajectory of etchants striking a substrate, and thereby influencing the etching profile of the substrate [Le - 0034]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to discover an optimum height for the rings of Modified Sun in order to achieve a desired etching profile. It has been held that discovering an optimum value of a result effective variable involves only routine skill in the art. See MPEP 2144.05.
Furthermore, the limitation “the first conductive ring having conductivity to allow RF current to flow therethrough” is a functional limitation and does not impart any additional structure. While features of an apparatus may be recited either structurally or functionally, claims directed to an apparatus must be distinguished from the prior art in terms of structure rather than function. In re Schreiber, 128 F.3d 1473, 1477-78, 44 USPQ2d 1429, 1431- 32 (Fed. Cir. 1997). Since the structure of the prior art teaches all structural limitations of the claim, the same is considered capable of meeting the functional limitations. Where the claimed and prior art apparatus are identical or substantially identical in structure, a prima facie case of either anticipation or obviousness has been established. In re Best, 562 F.2d 1252, 1255, 195 USPQ 430, 433 (CCPA 1977). It is noted that silicon is conductive, as such, a focus ring comprised of silicon would be capable of allowing an RF current to flow therethrough (the focus ring 21 of Sun is comprised of silicon) [Sun – Fig. 1, 4 & 0052-0053].
Regarding Claim 2:
Sun does not specifically disclose wherein the second conductive ring is disposed on an outer sidewall of the insulating ring
Chen teaches wherein the second conductive ring is disposed on an outer sidewall of the insulating ring (as evidenced by Fig. 6, outer side ring 208 is disposed on an outer sidewall of inner side ring 206) [Fig. 6 & Col. 12 lines 63-65].
It would be obvious to one of ordinary skill in the art to modify the apparatus of Sun to further comprise a grounded second conductive ring surrounding the insulating ring, as in Chen, to improve plasma confinement [Chen - Col. 1 lines 26-38, Col. 13 lines 47-67, Col. 14 lines 1-6].
Regarding Claim 5:
Sun teaches wherein the insulating ring is made of quartz or alumina (the cover ring 232 may comprise quartz) surrounding the first conductive ring [Fig. 1, 4 & 0052-0053].
Regarding Claim 6:
Sun teaches wherein the first conductive ring is made of any one of silicon (Si), silicon carbide (SiC), and silicon oxide (focus ring 21; the focus ring 231 may include an upper layer 231a made of silicon) [Fig. 1, 4 & 0052-0053].
Regarding Claim 7:
Sun does not specifically disclose wherein the second conductive ring is made of any one of silicon (Si), silicon carbide (SiC), and silicon oxide.
Chen teaches wherein the second conductive ring is made of any one of silicon (Si), silicon carbide (SiC), and silicon oxide (outer side ring 208 may be made of SiC) [Fig. 6 & Col. 13 lines 4-8].
It would be obvious to one of ordinary skill in the art to modify the apparatus of Sun to further comprise a grounded second conductive ring surrounding the insulating ring, as in Chen, to improve plasma confinement [Chen - Col. 1 lines 26-38, Col. 13 lines 47-67, Col. 14 lines 1-6].
Regarding Claim 8:
Sun does not specifically disclose wherein the second conductive ring has a vertically elongated rectangular cross-sectional shape.
Chen teaches wherein the second conductive ring has a vertically elongated rectangular cross-sectional shape (as evidenced by Fig. 6, outer side ring 208 has a vertically elongated rectangular cross-sectional shape) [Fig. 6 & Col. 12 lines 63-65].
It would be obvious to one of ordinary skill in the art to modify the apparatus of Sun to further comprise a grounded second conductive ring surrounding the insulating ring, as in Chen, to improve plasma confinement [Chen - Col. 1 lines 26-38, Col. 13 lines 47-67, Col. 14 lines 1-6].
Regarding Claim 12:
Modified Sun (Sun modified by Chen) does not specifically disclose wherein the third conductive ring is made of aluminum (Al).
Hanaoka teaches wherein the third conductive ring is made of aluminum (Al) (ground ring 45 may be formed of aluminum) [Fig. 1, 2 & 0035].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the second conductive ring of Modified Sun to include a third conductive ring, as in Hanaoka, to be able to control grounding potential; grounding potential can influence etching conditions [Hanaoka - 0043, 0044].
Regarding Claim 13:
Sun does not specifically disclose a second conductive ring.
Chen teaches and a second conductive ring (outer side ring 208) surrounding the insulating ring (as evidenced by Fig. 6, inner side ring 206 is surrounded by outer side ring 208) [Fig. 1-2, and 6 & Col. 9 lines 47-49, Col. 12 lines 60-67, Col. 13 lines 1-26].
It would be obvious to one of ordinary skill in the art to modify the apparatus of Sun to further comprise a grounded second conductive ring surrounding the insulating ring, as in Chen, to improve plasma confinement [Chen - Col. 1 lines 26-38, Col. 13 lines 47-67, Col. 14 lines 1-6].
Modified Sun (Sun modified by Chen) does not specifically disclose an actuator configured to vertically move the second conductive ring and the third conductive ring.
Hanaoka teaches an actuator configured to vertically move the second ring and the third conductive ring (ground ring 45 can be actuated by mechanism 50 to change its ground potential; an actuator for mechanism 50 can be reasonably inferred. Vertically moving ground ring 45 to be in contact with member 16 would mean that the mechanism 50 is capable of moving the member 16 as well) [Fig. 1, 2 & 0035, 0040, 0043].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the second conductive ring of Modified Sun to include a third conductive ring, as in Hanaoka, to be able to control grounding potential; grounding potential can influence etching conditions [Hanaoka - 0043, 0044].
Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sun et al. (US 20200335376) in view of Chen et al. (US 6872281), Hanaoka et al. (US 20120160418), Sato et al. (US 20050103440) and Le et al. (US 20140179108), as applied to claims 1-2, 5-8, and 12-13 above, and further in view of Rice et al. (US 20170213758).
The limitations of claims 1-2, 5-8, and 12-13 have been set forth above.
Regarding Claim 10:
Modified Sun teaches a second conductive ring (outer side ring 208) [Chen - Fig. 6 & Col. 12 lines 63-65]. Modified Sun does not specifically disclose an actuator configured to vertically move the second conductive ring.
Rice teaches an actuator configured to vertically move the second ring (support assembly 700 may have one or push pins 733 to raise or tilt cover ring 734; an actuator for the push pins 733 may be reasonably inferred) [Fig. 7, 12 & 0051].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the ring assembly of Modified Sun to include an actuator, as in Rice, to allow for the vertical adjustment of rings on a support; as parts erode, height adjustment can be used to maintain plasma uniformity in order to account for the erosion [Rice - Abstract, 0037, 0067].
"[I]n considering the disclosure of a reference, it is proper to take into account not only specific teachings of the reference but also the inferences which one skilled in the art would reasonably be expected to draw therefrom." In re Preda, 401 F.2d 825, 826, 159 USPQ 342, 344 (CCPA 1968) [MPEP 2144.01].
Claim(s) 15-16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sun et al. (US 20200335376) in view of Chen et al. (US 6872281), Hanaoka et al. (US 20120160418), Sato et al. (US 20050103440) and Le et al. (US 20140179108), as applied to claims 1-2, 5-8, and 12-13 above, and further in view of Chhatre et al. (US 20150179412).
The limitations of claims 1-2, 5-8, and 12-13 have been set forth above.
Regarding Claim 15:
Modified Sun teaches wherein the second conductive ring comprises a conductor (outer side ring 208 can comprise of a bare metal) having an upper portion (upper portion of outer side ring 208 near top surface 210) and a lower portion (bottom portion of outer side ring 208 further away from top surface 210), and the lower portion of the conductor is connected to the ground potential (as evidenced by Fig. 6, the bottom portion of outer side ring 208 is connected to ground) [Chen - Fig. 6 & Col. 13 lines 1-6].
Modified Sun does not specifically disclose a plasma-resistant coating formed on the upper portion of the conductor.
Chhatre teaches a plasma-resistant coating formed on the upper portion of the conductor (edge ring 200 can be coated with thermal sprayed yttria; edge ring 200 can be of an electrically conductive material) [Fig. 2 & 0023].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the ring assembly of Modified Sun to have conductive surfaces coated with a plasma-resistant coating, as in Chhatre, to reduce contamination of processed substrates [Chhatre - 0023].
Regarding Claim 16:
Modified Sun teaches wherein the conductor is made of aluminum (Al) (outer side ring 208 may correspond to outer side ring 78 in Fig. 1; outer side 78 is comprised of aluminum. Outer side ring 208 can be formed from a bare metal) [Chen - Fig. 1, 6 & Col. 9 lines 50-51, Col. 13 lines 5-16].
Modified Sun does not specifically disclose the plasma-resistant coating contains yttria (Y).
Chhatre teaches and the plasma-resistant coating contains yttria (Y) (edge ring 200 can be coated with thermal sprayed yttria; edge ring 200 can be of an electrically conductive material) [Fig. 2 & 0023].
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the ring assembly of Modified Sun to have conductive surfaces coated with a plasma-resistant coating, as in Chhatre, to reduce contamination of processed substrates [Chhatre - 0023].
Response to Arguments
Applicant' s arguments, see Remarks, filed 05/21/2025, with respect to the rejection of claims 1-2, 5-8, 10, 12-13, and 15-16 under 35 USC 103 have been fully considered but are moot because the arguments do not apply to the combination of references being used in the current rejection. The teachings of Sun et al. (US 20200335376) remedy anything lacking in the combination of references as applied above the top amended claims.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to JOSHUA NATHANIEL PINEDA REYES whose telephone number is (571)272-4693. The examiner can normally be reached Monday - Friday 8 AM to 4:30 PM.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Gordon Baldwin can be reached at (571) 272-5166. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/J.R./Examiner, Art Unit 1718
/GORDON BALDWIN/Supervisory Patent Examiner, Art Unit 1718