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.
Election/Restrictions
Applicant’s election without traverse of Species A [fig 11-13], drawn to claims 15-26 and 29-34 in the reply filed on 10/24/2025 is acknowledged.
Claims 27-28 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected species, there being no allowable generic or linking claim. Election was made without traverse in the reply filed on 10/24/2025.
Drawings
Figure 3 should be designated by a legend such as --Prior Art-- because only that which is old is illustrated. See MPEP § 608.02(g). Corrected drawings in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. The replacement sheet(s) should be labeled “Replacement Sheet” in the page header (as per 37 CFR 1.84(c)) so as not to obstruct any portion of the drawing figures. If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
The drawings are objected to under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the “antenna” (claim 33) must be shown or the feature(s) canceled from the claim(s). No new matter should be entered.
Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
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 applicant regards as his invention.
Claims 16 and 30 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.
Regarding claim 16:
Claim 16 recites “any one substrate”. However, it is noted that claim 15, from which claim 16 depends only sets forth a single substrate. Therefore, it is unclear if applicant is referring to the previously claimed substrate or if applicant is attempting to claim additional substrates. For purposes of prosecution on the merits, examiner is interpreting this limitation to mean “the substrate”.
Regarding claim 30:
Claim 30 recites “any one substrate”. However, it is noted that claim 29, from which claim 30 depends only sets forth a single substrate. Therefore, it is unclear if applicant is referring to the previously claimed substrate or if applicant is attempting to claim additional substrates. For purposes of prosecution on the merits, examiner is interpreting this limitation to mean “the substrate”.
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) 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 a pocket part (pocket portion, 150) provided on a first surface of the disk part (130) and on which a substrate (substrate, 10) is loaded [fig 1 & 0043], wherein a pocket gear (pocket gear, 180) is provided to face the disk part (130), and a gear hole (hole in 180) through which heat (h) of the heating unit (290) passes is formed in the pocket gear (180) [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 pocket part (150) on which the substrate (10) is loaded is 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
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.
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(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) and on which a substrate (substrate, 10) is loaded [fig 1 & 0043].
Choi does not specifically teach a heat hole is formed in a pocket part-installed surface of the disk part, so that heat generated by the heating unit passes through the heat hole.
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), so that heat generated by the heating unit (heater, 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 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 the pocket part (150) on which the substrate (10) is loaded 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).
Regarding claim 17:
Modified Choi teaches the heating unit (290) comprises a heater (heater) [Choi - fig 1 & 0087]; the heater (290) is provided on a second surface of the disk part (130) in the chamber (110) [Choi - fig 1 & 0027, 0086]; and the heat of the heater (1’) passes through the heat hole (21) and then is 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]; the heat hole (21) is formed at each location facing each of the pocket parts (4’) [Oomi - fig 4, 9 & 0015]; the heating unit (1’) is provided at a location facing the heat hole (21) [Oomi - fig 4, 9 & 0015].
The claim limitations “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]; 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]; 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 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]; 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 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 connection portion arranged to cross the heat hole to connect the installation portion to the disk part are provided; the connection portion comprises a plurality of connection portions; each of the connection portions has a rod shape, and the connection portions are arranged at different angles with the installation portion as the center; the heat hole is divided into a plurality of heat holes by the plurality of the connection portions; and each of the divided heat holes of the heat hole has a fan shape.
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]; the connection portion (areas between 21) comprises a plurality of connection portions (see fig 4) [fig 4 & 0015]; each of the connection portions (areas between 21) has a rod shape (see fig 4), and the connection portions are arranged at different angles with the installation portion as the center (see fig 4) [fig 4 & 0015]; 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 each of the divided heat holes (21) of the heat hole 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 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]; 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 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]; 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]; 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]; 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]; 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 the lift hole (hole through 131) and the through hole (hole through 150) are formed coaxially (see fig 1) [fig 1 & 0081].
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 “when the conductive 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; when the conductive 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 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.
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]; the pocket gear (180) is formed in a size capable of covering the portion (portion below 150) [fig 1 & 0081]; and the gear hole (hole in 180) is formed in the 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]; a bearing (bearing, 131) is connected to the pocket part (150) [fig 1 & 0081]; the bearing (131) is rotatably supported by the disk part (130) fig 1 & 0081]; the pocket gear (180) 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), and a connection portion (center portion of 180) 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]; the pocket gear (180) comprises a plurality 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 “when the pocket gear is rotated, the connection portion periodically blocks the heat hole” and “the plurality types of the 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).
Claim(s) 33-34 is/are rejected under 35 U.S.C. 103 as being unpatentable over Choi et al (KR 101832253B1) in view of Han et al (KR 20110072336A) and Tamagaki et al (US 2014/0110253).
Regarding claim 33:
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]; a pocket part (pocket portion, 150) provided on a first surface of the disk part (130) and on which a substrate (substrate, 10) is loaded [fig 1 & 0043]; the pocket part (150) is rotatably provided with respect to the disk part (130) [fig 1 & 0072].
Choi does not specifically teach a high-frequency power supply configured to generate plasma; an upper electrode or an antenna connected to a first end of the high-frequency power supply; and a lower electrode or a ground terminal connected to a second end of the high-frequency power supply, wherein the pocket part is connected to the lower electrode or the ground terminal.
Han teaches a high-frequency power supply (high-frequency power source) configured to generate plasma (plasma is formed) [fig 2 & 0033]; an upper electrode (50) or an antenna connected to a first end of the high-frequency power supply (high-frequency power source); and a lower electrode or a ground terminal connected to a second end of the high-frequency power supply (20 acts as a grounded electrode), wherein the pocket part (portion of 20 supporting 5) is connected to the lower electrode or the ground terminal (20 acts as a grounded electrode) [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].
Choi modified by Han does not specifically disclose 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.
Tamagaki teaches an electrical connection unit (158) configured to electrically connect the lower electrode or the ground terminal (voltage feedthrough 157) that is a fixed portion to the pocket part (162) that is a rotated portion [fig 4 & 0065, 0078].
It would have been obvious to one skilled in the art before the effective filing date to modify the connection between the pocket part and ground terminal of modified Choi with the electrical connection unit of Tamagaki to maintain an electrical connection during rotation of the pocket part [Tamagaki – 0065].
Regarding claim 34:
Modified Choi teaches the electrical connection unit (158) comprises a brush (brush) elastically in contact with the pocket part (162) [Tamagaki - fig 4 & 0065, 0078].
Conclusion
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].
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.
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/Benjamin Kendall/Primary Examiner, Art Unit 2896