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.
Status of Claims
3. This action is in response to Applicant’s Request for Reconsideration dated 06/04/2026.
4. Claims 15-34 are currently pending.
5. Claims 27-28 have been withdrawn.
6. Claims 15-22, 24-26, and 29-33 have been amended.
7. Claims 1-14 have been cancelled.
Allowable Subject Matter
8. Claims 33-34 are allowed.
Regarding claim 33:
The prior art, whether alone or in combination, fail to teach or suggest “the pocket part is electrically connected to the disk part; the disk part is electrically connected to the lower electrode or the ground terminal; the pocket part is rotatably provided with respect to the disk part; and an electrical connection unit configured to electrically connect the lower electrode or the ground terminal that is a fixed portion to the pocket part that is a rotated portion” in the context of the other limitations of the claim.
Claim Rejections - 35 USC § 102
9. 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.
10. Claim(s) 29-30 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Choi et al (KR 101832253B1).
Regarding claim 29:
Choi teaches a substrate processing device (substrate processing apparatus) [fig 1 & 0021] comprising: a disk part (disk unit, 130) disposed in a chamber (110) in which a heating unit (heater, 290) is connected [fig 1 & 0027, 0086]; and at least one pocket part (pocket portion, 150) provided on a first surface of the disk part (130), the at least one pocket part (150) configured to have a substrate (substrate, 10) loaded thereon [fig 1 & 0043], wherein at least one pocket gear (pocket gear, 180) is provided to face the disk part (130), wherein the at least one pocket gear (pocket gear, 180) comprises a connection portion (central portion of 180 – including the portion which extends between each h), and wherein a gear hole (through hole, h) through which heat of the heating unit (290) passes is formed in the at least one pocket gear (180), the gear hole (h) being divided into a plurality of gear holes by the connection portion (central portion of 180 – including the portion which extends between each h) [fig 1, 6 & 0065].
Regarding claim 30:
Choi teaches the disk part (130) is rotated (via first motor M1) with respect to the chamber (110) [fig 1 & 0072]; and the at least one pocket part (150) is configured to be rotated separately from rotation of the disk part (separately controlled via second motor M2) [fig 1 & 0072].
The claim limitations “the substrate is exposed to at least one of source gas, purge gas, and reactant gas in response to rotation of the disk part” are merely intended use and are given weight to the extent that the prior art is capable of performing the intended use. A claim containing a “recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus” if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987).
Claim Rejections - 35 USC § 103
11. 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.
12. 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.
13. Claim(s) 15-25 is/are rejected under 35 U.S.C. 103 as being unpatentable over Choi et al (KR 101832253B1) in view of Oomi et al (JPH04238893A).
Regarding claim 15:
Choi teaches a substrate processing device (substrate processing apparatus) [fig 1 & 0021] comprising: a disk part (disk unit, 130) disposed in a chamber (110) in which a heating unit (heater, 290) is connected [fig 1 & 0027, 0086]; and a pocket part (pocket portion, 150) provided on a first surface of the disk part (130)m the pocket part (150) configured to have a substrate (substrate, 10) loaded thereon [fig 1 & 0043].
Choi does not specifically teach a heat hole is formed in a pocket part-installed surface of the disk part and configured to allow heat generated by the heating unit passes therethrough.
Oomi teaches a heat hole (openings, 21) is formed in a pocket part-installed surface of the disk part (surface of 2 on which 4’ sits) and configured to allow heat generated by the heating unit heating unit (heater, 1’) passes therethrough [fig 4, 9 & 0015].
It would have been obvious to one skilled in the art before the effective filing date to modify the pocket part-installed surface of the disk part of Choi to comprise a heat hole, as in Oomi, to achieve uniform heating of the substrate and high-quality thin-film semiconductor elements can be manufactured [Oomi – 0017].
Regarding claim 16:
Choi teaches the disk part (130) is configured to be rotated (via first motor M1) with respect to the chamber (110) [fig 1 & 0072], and wherein the pocket part (150) is configured to be rotated separately from rotation of the disk part (separately controlled via second motor M2) [fig 1 & 0072].
The claim limitations “wherein the substrate is exposed to at least one of source gas, purge gas, and reactant gas in response to rotation of the disk part” are merely intended use and are given weight to the extent that the prior art is capable of performing the intended use. A claim containing a “recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus” if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987).
Regarding claim 17:
Modified Choi teaches the heating unit (290) comprises a heater (heater) [Choi - fig 1 & 0087]; wherein the heater (290) is provided on a second surface of the disk part (130) in the chamber (110) [Choi - fig 1 & 0027, 0086]; and wherein the heat hole (21) is configured to allow the heat of the heater (1’) pass therethrough to be transmitted to the pocket part (4’) [Oomi - fig 4, 9 & 0015].
Regarding claim 18:
Modified Choi teaches the pocket part (150) comprises a plurality of pocket parts (pocket portions) on the disk part (130) [Choi - fig 1 & 0043]; wherein the heat hole (21) is formed at each location facing each of the plurality of pocket parts (4’) [Oomi - fig 4, 9 & 0015]; wherein the heating unit (1’) is provided at a location facing the heat hole (21) [Oomi - fig 4, 9 & 0015].
The claim limitations “wherein the heating unit and the disk part are configured to be relatively moved to each other, so that a plurality of heat holes alternately passes through a location facing a particular portion of the heating unit” are merely intended use and are given weight to the extent that the prior art is capable of performing the intended use. A claim containing a “recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus” if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987).
Regarding claim 19:
Modified Choi teaches the first surface of the disk part (top surface of 130) has a seating groove on which the pocket part is seated (formed in a plurality of disk portions – see fig 5) [Choi - fig 1, 5 & 0043]; wherein the heat hole (21) is formed on a middle portion of a bottom surface of the seating groove formed in 2 below 4’) [Oomi - fig 4, 9 & 0015]; wherein a diameter of the heat hole (21) is formed smaller than a diameter of the pocket part (see fig 4 and 9) [Oomi - fig 4, 9 & 0015]; and wherein by a difference in diameter between the heat hole and the pocket part, a center portion of the pocket part faces the heat hole (see fig 4 and 9) [Oomi - fig 4, 9 & 0015] and an edge of the pocket part (150) is rotatably supported by an edge of the bottom surface of the seating groove (see fig 5) [Choi - fig 1, 5 & 0043].
Regarding claim 20:
Choi teaches an installation portion (through hole) formed on a middle portion of the disk part (130) below the pocket part (150) [fig 1 & 0081]; wherein the installation portion (through hole) comprises a bearing (bearing, 131) serving as a rotating center of the pocket part (150) [fig 1 & 0081]; and wherein the pocket part (150) is provided on the disk part (130) to be rotatable on the bearing (131) with respect to the disk part (130) [fig 1 & 0081].
Choi does not specifically teach the disk part below the pocket part being a heat hole and a connection portion arranged to cross the heat hole to connect the installation portion to the disk part are provided.
Oomi teaches the disk part (2) below the pocket part (4’) being a heat hole (21) and a connection portion (areas between 21) arranged to cross the heat hole (21) to connect the installation portion (center of 2) to the disk part are provided (periphery of 2) [fig 4, 9 & 0015].
It would have been obvious to one skilled in the art before the effective filing date to modify the pocket part-installed surface of the disk part of Choi to comprise a heat hole, as in Oomi, to achieve uniform heating of the substrate and high-quality thin-film semiconductor elements can be manufactured [Oomi – 0017].
Regarding claim 21:
Choi teaches an installation portion (through hole) formed on a middle portion of the disk part (130) below the pocket part (150) [fig 1 & 0081]; the installation portion (through hole) comprises a bearing (bearing, 131) serving as a rotating center of the pocket part (150) [fig 1 & 0081]; and the pocket part (150) is provided on the disk part (130) to be rotatable on the bearing (131) with respect to the disk part (130) [fig 1 & 0081].
Choi does not specifically teach the disk part below the pocket part being a heat hole and a plurality of connection portions arranged to cross the heat hole to connect the installation portion to the disk part are provided; wherein each of the plurality of connection portions has a rod shape, and the plurality of connection portions are arranged at different angles with the installation portion as the center; wherein the heat hole is divided into a plurality of heat holes by the plurality of connection portions; and wherein each of the plurality of heat holes has a fan shape.
Oomi teaches the disk part (2) below the pocket part (4’) being a heat hole (21) and a plurality of connection portions (areas between 21) arranged to cross the heat hole (21) to connect the installation portion (center of 2) to the disk part are provided (periphery of 2) [fig 4, 9 & 0015]; wherein each of the plurality of connection portions (areas between 21) has a rod shape (see fig 4), and the plurality of connection portions are arranged at different angles with the installation portion as the center (see fig 4) [fig 4 & 0015]; wherein the heat hole (21) is divided into a plurality of heat holes (21) by the plurality of the connection portions (areas between 21) [fig 4 & 0015]; and wherein each of the plurality of heat holes (21) has a fan shape (see fig 4) [fig 4 & 0015].
It would have been obvious to one skilled in the art before the effective filing date to modify the pocket part-installed surface of the disk part of Choi to comprise a heat hole, as in Oomi, to achieve uniform heating of the substrate and high-quality thin-film semiconductor elements can be manufactured [Oomi – 0017].
Regarding claim 22:
Choi teaches a lift portion (lift portion, 151) is provided at a middle portion of the pocket part (150) to raise and lower the substrate (10) [fig 1 & 0083]; and wherein a lift hole (through hole h) is provided so that a lift drive part (lift pins, 153) pushing up or pulling down the lift portion (151) passes through the lift hole (h) [fig 1 & 0083].
Regarding claim 23:
Modified Choi teaches an end cap (outer circumference of 2) provided at a second surface of the disk part (2) and configured to block at least a part of the heat hole (21) is provided [Oomi - fig 4, 9 & 0015].
Regarding claim 24:
Choi teaches a pocket gear (pocket gear, 180) installed at a second surface of the disk part (130) and connected to the pocket part (150), a link gear (main gear, 170) engaged with the pocket gear (180), and a first drive part (first motor, M1) configured to rotate the link gear (170) [fig 1 & 0065]; wherein when the link gear (170) is rotated by the first drive part (M1), the pocket part (150) is rotated together with the pocket gear (180) engaged with the link gear (170) [fig 1 & 0065]; and wherein the link gear (170) is arranged at a different location (see fig 1) from the pocket gear (180) on a direction parallel to the disk part (130) [fig 1 & 0065].
Regarding claim 25:
Choi teaches a bearing (bearing, 131) is connected to the pocket part (150) and configured to be rotatably supported by the disk part (130) [fig 1 & 0081]; wherein a pocket gear (pocket gear, 180) connected to the pocket part (150) has a center portion removably coupled to the bearing (131) [fig 1 & 0081]; wherein a lift portion (lift portion, 151) is provided at a middle portion of the pocket part (150) to raise and lower the substrate (10) [fig 1 & 0083]; wherein a lift hole (hole through 131) is formed on a middle portion of the bearing (131) so that a lift drive part (lift pins, 153) pushing up or pulling down the lift portion (151) passes through the lift hole (hole through 131) [fig 1 & 0081, 0083]; wherein a through hole (hole through 150) is formed on a middle portion of the center portion (center portion of 150) so that the lift portion (151) passes through the through hole (hole through 150) [fig 1 & 0081, 0083]; and wherein the lift hole (hole through 131) and the through hole (hole through 150) are formed coaxially (see fig 1) [fig 1 & 0081].
14. Claim(s) 26 is/are rejected under 35 U.S.C. 103 as being unpatentable over Choi et al (KR 101832253B1) in view of Oomi et al (JPH04238893A) as applied to claims 15-25 above, and further in view of Han et al (KR 20110072336A).
The limitations of claims 15-25 have been set forth above.
Regarding claim 26:
Modified Choi teaches a bearing (181) connected to the pocket part (150), and a pocket gear (180) installed on a second surface of the disk part (130) and configured to rotate the bearing (181) are provided [Choi - fig 1 & 0081].
Modified Choi does not specifically teach the pocket part is grounded to a ground terminal through at least one of a first electric channel, a second electric channel, and a third electric channel through which electricity communicates.
Han teaches a pocket part (portion of 20 supporting 5) is grounded to a ground terminal (grounded) through at least one of a first electric channel, a second electric channel, and a third electric channel through which electricity communicates (see fig 2) [fig 2 & 0033].
It would have been obvious to one skilled in the art before the effective filing date to modify the substrate processing device of Choi with the structure of Han to provide a substrate processing apparatus improved in structure to improve a processing efficiency of a substrate by forming a plasma only in a selected region [Han – 0012].
The claim limitations “wherein when the disk part electrically connected to the ground terminal is provided, the first electric channel is an electric channel configured to electrically connect the pocket part to the disk part by using a brush part in contact with both the pocket part and the disk part; wherein when the disk part electrically connected to the ground terminal is provided, the second electric channel is an electric channel configured to electrically connect the pocket part to the disk part by the bearing; and wherein when the pocket gear electrically connected to the ground terminal is provided, the third electric channel is an electric channel configured to electrically connect the pocket part to the pocket gear by the bearing” are merely intended use and are given weight to the extent that the prior art is capable of performing the intended use. A claim containing a “recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus” if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987). Specifically, said limitations are merely directed to how applicant intends to electrically connect the pocket part to the disk part. Furthermore, said limitations are set forth in the alternative only and are therefore not a requirement of the claim.
15. Claim(s) 31-32 is/are rejected under 35 U.S.C. 103 as being unpatentable over Choi et al (KR 101832253B1) as applied to claims 29-30 above, and further in view of Oomi et al (JPH04238893A).
The limitations of claims 29-30 have been set forth above.
Regarding claim 31:
Choi teaches a portion (portion below 150) formed in the disk part (130) below the pocket part (150) [fig 1 & 0081]; wherein the at least one pocket gear (180) is formed in a size capable of covering the portion (portion below 150) [fig 1 & 0081]; and wherein the gear hole (hole in 180, h) is formed in the at least one pocket gear (180) facing the heat hole portion (portion below 150) [fig 1 & 0081].
Choi does not specifically disclose the portion being a heat hole so that the heat generated by the heating unit passes through the heat hole.
Oomi teaches a heat hole (21) so that the heat generated by the heating unit (1’) passes through the heat hole (21) [fig 4, 9 & 0015].
It would have been obvious to one skilled in the art before the effective filing date to modify the portion formed in the disk part below the pocket part of Choi to comprise a heat hole, as in Oomi, to achieve uniform heating of the substrate and high-quality thin-film semiconductor elements can be manufactured [Oomi – 0017].
Regarding claim 32:
Choi teaches a portion (portion below 150) formed in the disk part (130) below the pocket part (150) [fig 1 & 0081]; wherein a bearing (bearing, 131) is connected to the at least one pocket part (150) [fig 1 & 0081]; wherein the bearing (131) is rotatably supported by the disk part (130) fig 1 & 0081]; wherein the at least one pocket gear (180) further comprises a ring portion (peripheral portion of 180) having a ring shape (see fig 1), a center portion (vertical portion of 180) removably coupled to the bearing (181), wherein the connection portion (center portion of 180) is arranged to cross the gear hole (hole in 180) to connect the ring portion (peripheral portion of 180) to the center portion (vertical portion of 180) [fig 1 & 0081]; wherein the at least one pocket gear (180) is a plurality of pocket gears, and the plurality of pocket gears comprises a plurality of types of pocket gears of which at least one of a formation location, the number, an area, and a shape of the connection portion is different from each other (see fig 2) [fig 1-2 & 0081].
Choi does not specifically disclose the portion being a heat hole so that the heat generated by the heating unit passes through the heat hole.
Oomi teaches a heat hole (21) so that the heat generated by the heating unit (1’) passes through the heat hole (21) [fig 4, 9 & 0015].
It would have been obvious to one skilled in the art before the effective filing date to modify the portion formed in the disk part below the pocket part of Choi to comprise a heat hole, as in Oomi, to achieve uniform heating of the substrate and high-quality thin-film semiconductor elements can be manufactured [Oomi – 0017].
The claim limitations “wherein when the at least one pocket gear is rotated, the connection portion periodically blocks the heat hole” and “wherein the plurality of types of pocket gears are configured to be replaced with respect to the bearing so as to adjust amount of the heat passing through the heat hole” are merely intended use and are given weight to the extent that the prior art is capable of performing the intended use. A claim containing a “recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus” if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987).
Response to Arguments
16. Applicant’s arguments, see Remarks, filed 06/04/2026, with respect to the drawing objections have been fully considered and are persuasive. The drawing objections have been withdrawn in view of the replacement sheet received 06/04/2026 and the amendments to claim 33.
17. Applicant’s arguments, see Remarks, filed 06/04/2026, with respect to the rejection of claim(s) 16 and 30 under 35 USC 112(b) have been fully considered and are persuasive. The rejection of claim(s) 16 and 30 under 35 USC 112(b) has been withdrawn in view of the amendments to claim(s) 16 and 30.
18. Applicant's arguments, see Remarks, filed 06/04/2026, with respect to the rejection of claim(s) 15-26 and 31-32 under 35 USC 103 have been fully considered but they are not persuasive.
Applicant argues that one would not combine Oomi’s openings with a contact-based configuration of Choi.
In response, it is noted that one of ordinary skill in the art would recognize that the bottom of 150 is NOT in contact with 130 in Choi. This is because 150 is rotatably provided with respect to 130 [0072]. Therefore, it would have been obvious to one of ordinary skill in the art to modify the non-contact based configuration with Oomi’s openings for the reasons set forth in the body of the rejection above.
Applicant argues that the configuration of claim 15 is different than Oomi because the heat hole of claim 15 is disposed in a disk part and not on a heat equalizing plate.
In response, it is noted that no structural difference has been claimed. The heat equalizing plate of Oomi has been interpreted to correspond to the disk part. Furthermore, the test for obviousness is not that the claimed invention must be expressly suggested in any one or all of the references. Rather, the test is what the combined teachings of the references would have suggested to those of ordinary skill in the art. See In re Keller, 642 F.2d 413, 208 USPQ 871 (CCPA 1981). As set forth in the body of the rejection above, it would have been obvious to one skilled in the art before the effective filing date to modify the pocket part-installed surface of the disk part of Choi to comprise the heat hole of Oomi.
Applicant argues neither Choi nor Oomi teaches “an end cap provided at a second surface of the disk part and configured to block at least a part of the heat hole”, as recited in claim 23, because the outer circumference of 2 is a region where no holes are formed.
In response, examiner disagrees. The outer region of 2 blocks the radially outward portion of the holes. As such, the limitations of the claim are met.
19. Applicant's arguments, see Remarks, filed 06/04/2026, with respect to the rejection of claim(s) 29-30 under 35 USC 102(a)(1) have been fully considered but they are not persuasive.
Applicant argues that Choi fails to teach the amended limitations.
In response, examiner disagrees. Choi teaches at least one pocket gear (pocket gear, 180) comprises a connection portion (central portion of 180 – including the portion which extends between each h), and wherein a gear hole (through hole, h) through which heat of the heating unit (290) passes is formed in the at least one pocket gear (180), the gear hole (h) being divided into a plurality of gear holes by the connection portion (central portion of 180 – including the portion which extends between each h) [fig 1, 6 & 0065].
20. Applicant’s arguments, see Remarks, filed 06/04/2026, with respect to the rejection of claim(s) 33-34 under 35 USC 103 have been fully considered and are persuasive. The rejection of claim(s) 33-34 under 35 USC 103 has been withdrawn in view of the amendments to claim(s) 33.
Conclusion
21. The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Yamaguchi et al (JP 2007243060A), Kato et al (US 2016/0138159), and Shin et al (US 2020/0335387) teach a substrate processing device [fig 1 of each]. Bowman et al (US 5,044,943) teaches a heat hole is formed in a pocket part [fig 8].
22. THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
23. Any inquiry concerning this communication or earlier communications from the examiner should be directed to BENJAMIN R KENDALL whose telephone number is (571)272-5081. The examiner can normally be reached 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, William F Kraig can be reached at (571)272-8660. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/Benjamin Kendall/Primary Examiner, Art Unit 2896
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