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
Continued Examination Under 37 CFR 1.114
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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 04/03/2025 has been entered.
Response to Amendment
Applicants' amendment of the claims, filed on 04/03/2025, in response to the rejection of claims 1, 3-5, 9-10 from the final office action, mailed on 01/03/2025, by amending claims 1, 3-4, 9, is acknowledged and will be addressed below.
Election/Restrictions
Claim 11 remains withdrawn from consideration as pursuant to 37 CFR 1.142(b), there being no allowable generic or linking claim.
Claim Objections
Claim(s) is/are objected to because of the following informalities:
(1) The “the controller controls the motor when the substrate stage is at the delivery position to rotate the rotation arm so that the sensor moves to a position facing the substrate stage or the substrate placed on the substrate stage” of Claim 1 would have a better form, if amended to be below by adding a punctuation mark, for the purpose of clarification.
“the controller controls the motor, when the substrate stage is at the delivery position, to rotate the rotation arm so that the sensor moves to a position facing the substrate stage or the substrate placed on the substrate stage”
Appropriate correction is required.
Claim Rejections - 35 USC § 112
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1, 3-5 and 9-10 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 pre-AIA the applicant regards as the invention.
(1) The “film quality” of Claim 1 is not clear.
It is not clear what difference between the “film quality” and the parameters, as recited, is required, because the recited parameters (temperature, thickness, roughness, particles) are the factors to determine a degree of the film quality, it is considered the claim 1 has both broad and narrow limitations.
A broad range or limitation together with a narrow range or limitation that falls within the broad range or limitation (in the same claim) may be considered indefinite if the resulting claim does not clearly set forth the metes and bounds of the patent protection desired. See MPEP § 2173.05(c).
Claim Rejections - 35 USC § 103
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1, 3-5 and 9-10 are rejected under 35 U.S.C. 103 as being unpatentable over Nishiwaki (US 20200286719, hereafter ‘719) in view of Schaller et al. (US 20210013055, hereafter ‘055).
Regarding to Claim 1, ‘719 teaches:
Substrate processing apparatus (title, the claimed “A substrate processing apparatus”);
A housing 22 (Fig. 1, [0018]), and susceptors 10, 12, 14 and 16 ([0017], the claimed “comprising: a processing container having a plurality of processing spaces formed therein; a substrate stage arranged in each of the plurality of processing spaces”);
The substrate carrier apparatus 20 may includes a shaft 20A, and carrier arms 20B, 20C, 20D and 20E that are fixed to the shaft 20A and rotate as the shaft 20A rotates ([0017], the claimed “a rotary arm including at least one end effector capable of holding a substrate and having a rotation axis located at a position equidistant from the plurality of processing spaces”);
Thermometers 40, 42, 44, 46 and 48 are fixed to the carrier arm 20E. The thermometers 40, 42, 44, 46 and 48 may be thermocouples or resistance temperature sensors, for example (Fig. 2, [0020], note the sensor for measuring a temperature can measure temperature on either “substrate” or “substrate support”, the claimed “a sensor provided on a back surface of the at least one end effector of the rotary arm, which is opposite to a substrate holding surface of the at least one end effector” AND “wherein the sensor is a sensor for measuring at least one of a temperature of the substrate stage, a surface roughness of the substrate stage, and a number of particles on the substrate stage, or a sensor for measuring at least one of a temperature of the substrate, a film thickness, a film quality, a surface roughness of the substrate, and a number of particles on the substrate”);
a motor 61 rotates the shaft 20A in response to a command from the TMC 33, the carrier arm rotates ([0028]), and The dashed lines in FIG. 5 show an example of trajectories of the thermometers 40, 42, 44, 46 and 48 during rotation of the carrier arm 20E ([0027], the claimed “and a motor configured to rotate the rotary arm so that the sensor is moved to a position facing the substrate stage or the substrate placed on the substrate stage inside the processing container”);
transmits the digital data to a control unit ([0024], note it is well-known in the art that all operations of a processing apparatus is controlled by a control unit or controller, for instance, a computer, the claimed “and a controller”);
Fig. 2 clearly shows the susceptor 10 is vertically movable, see the arrow labeled “up” near the susceptor 10, therefore, ‘719 implicitly teaches the susceptor has vertical movement mechanisms to adjust positions of the susceptor (the claimed “the substrate stage is configured to be moved up and down”).
lowering the pressure in the chamber to a near-vacuum pressure ([0003], note see also “vacuum in the chamber 60” of [0028], therefore, an exhausting port coupled to evacuating means, such as pump, is intrinsically provided in the housing 22 of the quad chamber module (QCM) of Fig. 1, the claimed “the processing container has an exhaust port formed at a side peripheral portion of each of the plurality of processing spaces and configured to exhaust a processing gas from each of the plurality of processing spaces”);
In an example, the surface temperature of the plurality of susceptors 10, 12, 14 and 16 can be measured while the carrier arm 20E is rotating ([0030]), and a motor 61 rotates the shaft 20A in response to a command from the TMC 33, the carrier arm rotates ([0028], the claimed “and the controller controls the motor to rotate the rotation arm so that the sensor moves to a position facing the substrate stage or the substrate placed on the substrate stage”).
‘719 does not explicitly teach the other limitations (BOLD and ITALIC letter) of:
Claim 1: (1A) the substrate stage is configured to be moved up and down at least between a processing position in each of the plurality of processing spaces and a delivery position below the processing position for transferring the substrate,
(1B) the processing container has an exhaust port formed at a side peripheral portion of each of the plurality of processing spaces above a substrate placement surface of the substrate stage at the processing position, and configured to exhaust a processing gas from each of the plurality of processing spaces,
(1CB) and the controller controls the motor when the substrate stage is at the delivery position to rotate the rotation arm so that the sensor moves to a position facing the substrate stage or the substrate placed on the substrate stage.
In regards to the limitation of 1A:
‘055 is analogous art in the field of substrate processing (abstract). ‘055 teaches FIG. 7D may illustrate the elevation view after the substrate 701 has been transferred to second substrate support 710b within transfer region 705. Transfer apparatus 720 may be rotated away from the substrate supports, such as to a recessed position, which may be similar to the position illustrated in FIG. 7A, or any other position in which the end effector may not interfere with vertical translation of one or more of the substrate supports. At operation 620, the second substrate support may be raised as illustrated in FIG. 7E, to deliver the substrate to processing region 725b for processing, which may position the substrate support at a second vertical position relative to the first. As illustrated, transfer apparatus 720 may not interfere or be contacted by the substrate support ([0061-0062]).
Before the effective filling date of the claimed invention, it would have been obvious that a person of ordinary skill in the art would have acknowledged each susceptor of ‘719 is configured to be moved up and down between a processing position and a delivery position below the processing position, for the purpose of appropriately transferring the substrate without interfering or contacting the susceptor, before and also after the substrate processing period.
In regards to the limitation of 1B:
‘055 further teaches A pumping liner 145 may at least partially define the processing region 108 radially, or laterally depending on the volume geometry ([0035], note based on Fig. 1B and 7E, the exhaust port of the pumping liner would be formed at a side peripheral portion of each processing space above the substrate stage).
Before the effective filling date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have configured an exhaust port of ‘719 so to be formed at a side of each processing space above the susceptor at the processing position, for the purpose of efficiently exhausting process gas while processing the substrate by making the port closer to the process region.
In regards to the limitation of 1C:
Emphasized again, ‘719 clearly teaches In an example, the surface temperature of the plurality of susceptors 10, 12, 14 and 16 can be measured while the carrier arm 20E is rotating ([0030]), and a motor 61 rotates the shaft 20A in response to a command from the TMC 33, the carrier arm rotates ([0028]).
Further, Fig. 7D of ‘055 clearly shows the substrate support 710b is at the delivery position below the transfer apparatus 720.
Consequently, as taught by ‘719 above, when the surface temperature measurement of ‘719 is performed while the carrier arm is rotated by the motor, before the effective filling date of the claimed invention, it would have been obvious that a person of ordinary skill in the art would have configured the susceptor of ‘719 is at the delivery position, for the purpose of measuring the surface temperature by the sensors disposed at the backside of the carrier arm, as required by ‘719.
Regarding to Claim 3,
‘719 teaches the dashed lines in FIG. 5 show an example of trajectories of the thermometers 40, 42, 44, 46 and 48 during rotation of the carrier arm 20E ([0027], note Fig. 5 shows the sensor 44 can face the trajectory under the sensor 44 extending from the center of the susceptor 14 to the outer periphery, further even the other sensors 40, 42, 46, 48 also can face the trajectory under the sensor 44. Therefore, a region of the back surface of the carrier arm, which has the sensor 44, and further other regions of the back surface having the other sensors also can face the trajectory under the sensor 44, the claimed “wherein the sensor is provided in at least a region of the back surface of the at least one end effector that faces a line segment extending from a center of the substrate stage or the substrate to an outer periphery thereof when the back surface faces the substrate stage or the substrate”).
Regarding to Claims 4 and 9,
As discussed in the Claim 1 rejection above, the susceptor of ‘719 is clearly configured to be movable in a vertical direction. Fig. 2 also clearly shows the shaft 20A is vertically movable, see the arrow labeled “UP/Down” near the shaft. Further, ‘719 clearly teaches the surface temperature of the susceptor can be measured by bringing the carrier arm 20E close to the susceptor ([0031]).
Consequently, the surface temperature of the susceptor can be measured by the susceptor and the carrier arm being close to each other, because while vertical movement of the susceptor of ‘719, a position on the susceptor surface with respect to each sensor is intrinsically adjusted so to be closer or away (the claimed “further comprising: an adjuster configured to adjust a position of the substrate stage, wherein the substrate stage or the substrate is movable to a focus position of the sensor in response to the adjustment performed by the adjuster”).
Further note, as discussed in the claim 1 rejection above, the susceptor of ‘719 is rotated. Because, while rotational movement of the susceptor of ‘719, a position on the susceptor surface with respect to each sensor is also intrinsically adjusted. Therefore, the rotational movement mechanism of the susceptor of ‘719 is an additional adjuster to adjust a focus position of each sensor.
Regarding to Claims 5 and 10,
‘197 teaches susceptors 10, 12, 14 and 16, and carrier arms 20B, 20C, 20D and 20E ([0017]), and all of a plurality of carrier arms may be provided with a thermometer ([0021], the claimed “wherein the at least one end effectors of the rotary arm includes a plurality of end effectors whose number is the same as the number of the plurality of processing spaces, and the sensor is provided on the back surface of each of the plurality of end effectors”).
Response to Arguments
Applicants’ arguments filed on 04/03/2025 have been fully considered but they are not convincing in light of the new ground of rejection above.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to AIDEN Y LEE whose telephone number is (571)270-1440. The examiner can normally be reached on M-F: 9am-5pm PT.
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/AIDEN LEE/ Primary Examiner, Art Unit 1718