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 .
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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 01/12/2026 has been entered.
Response to Arguments
Claims 1, 4-7, and 9-16 are pending, independent claims 1, 7, and 11 have been amended, and dependent claims 13-16 are new.
In light of the amendments, a new ground(s) of rejection is made in view of U.S.C. 112(a) for claims 14 and 16.
Applicant’s arguments on pages 8-13, filed 01/12/2026 with respect to U.S.C. 103 rejection of claims 1, 4-7, and 9-16 have been fully considered but they are not considered persuasive.
Applicant argues that neither Hitoshi nor Kenichi discloses or suggest the new amended limitations of the independent claims 1, 7, and 11.
Examiner respectfully disagrees and directs the applicant to the rejections below.
Claim Rejections - 35 USC § 112
The following is a quotation of the first paragraph of 35 U.S.C. 112(a):
(a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention.
The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112:
The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention.
Claim 14 is rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention. Claim 14 states that the “X(k) of the equation includes at least the first and second temperatures measured at current time.” However, no reference is found in the specification to support this statement in the claim.
Claim 16 is rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention. Claim 16 makes reference to a seemingly important term of “thermal transfer delay” however, nowhere in the specification is there reference to this terminology, nor is there an explanation of what this term means for the claim.
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(s) 1, 7, and 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hitoshi et al. (WO 2020145183 A1) hereinafter Hitoshi in view of Kenichi (JP 4384538 B2).
Regarding Claim 1, Hitoshi teaches (a) acquiring a first temperature measured by a first temperature sensor in an inner region in an inner tube inside a processing container of the film forming apparatus (“As shown in FIG. 3, the cascade thermocouples 52 a to 52 g serving as third (i.e., first) temperature sensors are housed in a protective tube 62 (i.e., tube) provided between the reaction tube 222 and the boat 217 (i.e., inside a processing container of the film forming apparatus, i.e., in an inner region in an inner tube, where the inside glass of 222 is the inner tube) .” [0027]); (b) calculating, by a first control circuitry, a first power to be output to a heater disposed in the processing container such that the first temperature approaches a target temperature based on the first temperature acquired in (a) (“a second PID calculation unit (PID2) (i.e., first control circuitry) 504 that performs PID calculation according to the output of the second subtractor 503 and indicates the operation amount to the power regulator 511. The power regulator 511 supplies power (i.e., first power) to the resistance heater 520 according to the instructed operation amount.” [0045]), where “the temperature (i.e., first temperature) inside the reaction tube 222 is lowered to a predetermined temperature (i.e., target temperature) based on the temperature measured by the temperature detector.” [0044]); (c) acquiring a second temperature measured by a second temperature sensor provided in an outer region outside an outer tube in the processing container (“As shown in FIG. 3, temperature detection devices 300a to 300h, which include heater thermocouples 51a to 51h as first temperature sensors (i.e., second thermal sensors)” [0026] where the outer glass of 222 is an outer tube), wherein the outer the has a substantially cylindrical shape with a ceiling, and is provided concentrically around the inner tube ([0009] “Fig. 4is a horizontal cross-sectional view of the processing furnace of FIG. 3,”, where the outer region , region outside inner tube 222 is concentric about 222, and Fig. 3 where there is a ceiling above 222 labels 208t); (d) calculating, by a second control circuitry, a second power to be output to the heater such that the second temperature approaches an second temperature limit, based on the second temperature acquired in (c) (“first PID calculation unit (PID1) 502 (i.e., second control circuitry) that performs PID calculation according to the output of the first subtractor 501 and indicates the value that the measured temperature from the heater thermocouple 51 should follow, a second subtractor 503 that outputs the deviation between the output of the first PID calculation unit (PID1) 502 and the temperature (i.e., second temperature) from the heater thermocouple 51” [0045] where “the switch 509 based on at least the state of the heater thermocouple 51, and an overheat protector 514 that outputs a signal to the power regulator 511 to cut off the heater power (i.e., second power) when it detects that the detected temperature of the overheat detection thermocouple 53 is abnormally high (i.e., approaches an second temperature limit).” [0048]) wherein the second power is calculated independently of the first power by the second control circuitry (Fig 10, where PID1 is independent of PID2 and PID3); (e) calculating a predicted value of the second temperature at a predetermined time ahead, from the second temperature acquired in (c), based on a prediction model that predicts at least the second temperature (“the temperature control unit 282 may also be provided with a reference temperature of at least one of the temperature data items among the heater temperature, which is the temperature of the heater (i.e., second temperature sensor measurement), and the furnace temperature (i.e., first temperature sensor measurement), which is the temperature inside the processing chamber, a power supply value in a steady state to the heater controlled to the reference temperature, and a prediction model memory area for storing a prediction model for predicting a predicted temperature of at least one of the temperature data items (i.e., where a predicted temperature from a prediction model would inherently be predicted for a predetermined time ahead of the current time at use of prediction model)among the heater temperature and the furnace temperature, and may acquire the temperature data and the power supply value, create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output to the heater.” [0052]) (f) outputting either the first power or the second power to the heater according to the predicted value of the second temperature calculated in (e) (“storing a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature and the furnace temperature, and may acquire the temperature data and the power supply value, create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output (i.e., either the first or second power) to the heater.” [0052] where the calculation of the second temperature is noted to “indicates the operation amount to the power regulator 511. The power regulator 511 supplies power to the resistance heater 520 according to the instructed operation amount.” In [0045]); and (g) repeating (a) to (f) in a predetermined cycle (“an example of the configuration of a substrate processing apparatus that performs a substrate processing process by heat treatment as one step in the manufacturing process of a semiconductor device will be described with reference to FIG. 1” [0010] where the embodied configuration example “enables stable and continuous temperature control (i.e., repeating in a predetermined cycle).” [0008]) wherein the heater is provided in the outer region on a sidewall of the processing container such that a heat generated from the heater is transferred from the outer region to the inner region to raise the first temperature to the target temperature ([0028] “The heater unit 208 is divided into a plurality of heating zones, and in the example of FIG. 3, is divided into seven zones. 344 Around the side of the reaction tube 222, a heater (U1 zone heater) 208a on the uppermost side of the furnace body, a heater (U2 zone heater) 208b immediately below the U1 zone heater 208a, a heater (CU zone heater) 208c immediately below the U2 zone heater 208b, a heater (C zone heater) 208d immediately below the CU zone heater 208c, a heater (CL zone heater) 208e immediately below the C zone heater 208d, a heater (L 1 zone heater) 208f immediately below the CL zone heater 208e, and a heater (L2 zone heater) 208g on the lowermost side are provided and exposed on the inner surface of the furnace body.” Where in Fig 3, the heater is provided in the outer region on a sidewall, and the heat travels from the outer region to the inner regions, where [0021] “A heater unit 208 serving as a furnace for heating the entire inside of the reaction tube 222 uniformly or to a predetermined temperature distribution is provided outside the reaction tube 222 so as to surround the reaction tube 222.”); wherein in (f), the first power is output to the heater when the predicted value of the second temperature is less than the second temperature limit (“the power regulator 511 supplies power (i.e., first power) to the resistance heater 520 according to the instructed operation amount.” [0045]), where “in a heating step, the inside of the reaction tube 222 is heated to a predetermined temperature (i.e., second temperature is lower than the predetermined temperature (second temperature limit)) the by the heater unit 208 based on the temperature measured by the temperature detection device).” [0042]), the second power is output to the heater when the predicted value of the second temperature is equal to or higher than the second temperature limit (“the switch 509 based on at least the state of the heater thermocouple 51, and an overheat protector 514 that outputs a signal to the power regulator 511 to cut off the heater power (i.e., second power) when it detects that the detected temperature of the overheat detection thermocouple 53 is abnormally high.” [0048], where the detected temperature being abnormally high is referring to “a temperature or voltage higher than a predetermined first threshold value” [0049]), wherein the heater is shut down to stop heating by the heater when the second temperature exceeds an excess temperature ([0048] “a signal to the power regulator 511 to cut off the heater power when it detects that the detected temperature of the overheat detection thermocouple 53 (i.e., second temperature) is abnormally high (i.e., exceeds an excess temperature).”), and the second temperature limit is lower than the excess temperature ([0049] “The overheat protection device 514 monitors the detected temperature of the overheat detection thermocouple 53, and when it detects a temperature higher than a predetermined second threshold value, which corresponds to a temperature of the heater unit 208 that would never be reached under normal use (e.g., 800° C) (i.e., excess temperature), for a predetermined period of time or more, it outputs the above-mentioned shut-off signal.”).
Hitoshi does not teach the second power has a value greater than zero; changing the power command by switching a control source between an output of the first circuitry and an output of the second control circuitry.
Kenichi teaches the second power has a value greater than zero (“Outputting a second power command value smaller than the power command value” pg. 2 paragraph 6); changing the power command by switching a control source between an output of the first circuitry and an output of the second control circuitry (pg 3 paragraph 1 “After the power command value is output from the fixed pattern output unit, switching means for switching the output of the power command value to the power supply unit from the fixed pattern output unit to the adjustment unit”) .
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the second power has a value greater than zero as discussed in Kenichi to the film forming apparatus and method discussed in Hitoshi for the purpose of reach the target temperature more rapidly, rather than merely shutting off the heat supply, by outputting the positive value of the second power. This is advantageous because it helps provide a substrate processing apparatus and a substrate processing method that can quickly stabilize a substrate at a target temperature and perform heat treatment with high in-plane uniformity.
Regarding Claim 7, Hitoshi teaches (a) acquiring a first temperature measured by a first temperature sensor in an inner region in an inner tube inside a processing container of the film forming apparatus (“As shown in FIG. 3, the cascade thermocouples 52 a to 52 g serving as third (i.e., first) temperature sensors are housed in a protective tube 62 (i.e., tube) provided between the reaction tube 222 and the boat 217 (i.e., inside a processing container of the film forming apparatus, i.e., in an inner region in an inner tube, where the inside glass of 222 is the inner tube) .” [0027]) (b) calculating, by a first control circuitry, a first power to be output to a heater disposed in the processing container such that the first temperature approaches a target temperature, based on the first temperature acquired in (a) (“a second PID calculation unit (PID2) (i.e., first control circuitry) 504 that performs PID calculation according to the output of the second subtractor 503 and indicates the operation amount to the power regulator 511. The power regulator 511 supplies power (i.e., first power) to the resistance heater 520 according to the instructed operation amount.” [0045]), where “the temperature (i.e., first temperature) inside the reaction tube 222 is lowered to a predetermined temperature (i.e., target temperature) based on the temperature measured by the temperature detector.” [0044]); (c) acquiring a second temperature measured by a second temperature sensor provided in an outer region outside an outer tube in the processing container (“As shown in FIG. 3, temperature detection devices 300a to 300h, which include heater thermocouples 51a to 51h as first temperature sensors (i.e., second thermal sensors)” [0026] where the outer glass of 222 is an outer tube), wherein the outer the has a substantially cylindrical shape with a ceiling, and is provided concentrically around the inner tube ([0009] “Fig. 4is a horizontal cross-sectional view of the processing furnace of FIG. 3,”, where the outer region , region outside inner tube 222 is concentric about 222, and Fig. 3 where there is a ceiling above 222 labels 208t); (d) calculating, by a second control circuitry, a second power to be output to the heater such that the second temperature approaches an second temperature limit, based on the second temperature acquired in (c) (“first PID calculation unit (PID1) 502 (i.e., second control circuitry) that performs PID calculation according to the output of the first subtractor 501 and indicates the value that the measured temperature from the heater thermocouple 51 should follow, a second subtractor 503 that outputs the deviation between the output of the first PID calculation unit (PID1) 502 and the temperature (i.e., second temperature) from the heater thermocouple 51” [0045] where “the switch 509 based on at least the state of the heater thermocouple 51, and an overheat protector 514 that outputs a signal to the power regulator 511 to cut off the heater power (i.e., second power) when it detects that the detected temperature of the overheat detection thermocouple 53 is abnormally high (i.e., approaches an second temperature limit).” [0048]) wherein the second power is calculated independently of the first power by the second control circuitry (Fig 10, where PID1 is independent of PID2 and PID3); (e) outputting either the first power or the second power to the heater based on a magnitude relationship between the first power and the second power (“storing a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature and the furnace temperature, and may acquire the temperature data and the power supply value, create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output (i.e., either the first or second power) to the heater.” [0052] where the calculation of the second temperature is noted to “indicates the operation amount to the power regulator 511. The power regulator 511 supplies power to the resistance heater 520 according to the instructed operation amount.” In [0045]); and (f) repeating (a) to (e) in a predetermined cycle (“an example of the configuration of a substrate processing apparatus that performs a substrate processing process by heat treatment as one step in the manufacturing process of a semiconductor device will be described with reference to FIG. 1” [0010] where the embodied configuration example “enables stable and continuous temperature control (i.e., repeating in a predetermined cycle).” [0008]); wherein the heater is provided in the outer region on a sidewall of the processing container such that a heat generated from the heater is transferred from the outer region to the inner region to raise the first temperature to the target temperature ([0028] “The heater unit 208 is divided into a plurality of heating zones, and in the example of FIG. 3, is divided into seven zones. 344 Around the side of the reaction tube 222, a heater (U1 zone heater) 208a on the uppermost side of the furnace body, a heater (U2 zone heater) 208b immediately below the U1 zone heater 208a, a heater (CU zone heater) 208c immediately below the U2 zone heater 208b, a heater (C zone heater) 208d immediately below the CU zone heater 208c, a heater (CL zone heater) 208e immediately below the C zone heater 208d, a heater (L 1 zone heater) 208f immediately below the CL zone heater 208e, and a heater (L2 zone heater) 208g on the lowermost side are provided and exposed on the inner surface of the furnace body.” Where in Fig 3, the heater is provided in the outer region on a sidewall, and the heat travels from the outer region to the inner regions, where [0021] “A heater unit 208 serving as a furnace for heating the entire inside of the reaction tube 222 uniformly or to a predetermined temperature distribution is provided outside the reaction tube 222 so as to surround the reaction tube 222.”); wherein in (f), the first power is output to the heater when the predicted value of the second temperature is less than the second temperature limit (“the power regulator 511 supplies power (i.e., first power) to the resistance heater 520 according to the instructed operation amount.” [0045]), where “in a heating step, the inside of the reaction tube 222 is heated to a predetermined temperature (i.e., second temperature is lower than the predetermined temperature (second temperature limit)) the by the heater unit 208 based on the temperature measured by the temperature detection device).” [0042]), the second power is output to the heater when the predicted value of the second temperature is equal to or higher than the second temperature limit (“the switch 509 based on at least the state of the heater thermocouple 51, and an overheat protector 514 that outputs a signal to the power regulator 511 to cut off the heater power (i.e., second power) when it detects that the detected temperature of the overheat detection thermocouple 53 is abnormally high.” [0048], where the detected temperature being abnormally high is referring to “a temperature or voltage higher than a predetermined first threshold value” [0049]), wherein the heater is shut down to stop heating by the heater when the second temperature exceeds an excess temperature ([0048] “a signal to the power regulator 511 to cut off the heater power when it detects that the detected temperature of the overheat detection thermocouple 53 (i.e., second temperature) is abnormally high (i.e., exceeds an excess temperature).”), and the second temperature limit is lower than the excess temperature ([0049] “The overheat protection device 514 monitors the detected temperature of the overheat detection thermocouple 53, and when it detects a temperature higher than a predetermined second threshold value, which corresponds to a temperature of the heater unit 208 that would never be reached under normal use (e.g., 800° C) (i.e., excess temperature), for a predetermined period of time or more, it outputs the above-mentioned shut-off signal.”).
Hitoshi does not teach the second power has a value greater than zero; changing the power command by switching a control source between an output of the first circuitry and an output of the second control circuitry.
Kenichi teaches the second power has a value greater than zero (“Outputting a second power command value smaller than the power command value” pg. 2 paragraph 6); changing the power command by switching a control source between an output of the first circuitry and an output of the second control circuitry (pg 3 paragraph 1 “After the power command value is output from the fixed pattern output unit, switching means for switching the output of the power command value to the power supply unit from the fixed pattern output unit to the adjustment unit”).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the second power has a value greater than zero as discussed in Kenichi to the film forming apparatus and method discussed in Hitoshi for the purpose of reach the target temperature more rapidly, rather than merely shutting off the heat supply, by outputting the positive value of the second power. This is advantageous because it helps provide a substrate processing apparatus and a substrate processing method that can quickly stabilize a substrate at a target temperature and perform heat treatment with high in-plane uniformity.
Regarding Claim 11, Hitoshi teaches a processing container ([0009] Fig. “1 is a perspective view of a substrate processing apparatus according to an embodiment of the present disclosure;”); an inner tube configured to accommodate a substrate (“the reaction tube 222 and the boat 217 (i.e., inside a processing container of the film forming apparatus, i.e., in an inner region in an inner tube, where the inside glass of 222 is the inner tube) .” [0027]); an outer tube provided concentrically around the inner tube ([0009] “Fig. 4is a horizontal cross-sectional view of the processing furnace of FIG. 3,”, where the outer region , region outside inner tube 222 is concentric about 222, and Fig. 3 where there is a ceiling above 222 labels 208t); an acquisition circuitry (“temperature detection devices 300a to 300h” [0026]) configured to acquire a a first temperature measured by a first temperature sensor in an inner region in an inner tube inside a processing container of the film forming apparatus (“As shown in FIG. 3, the cascade thermocouples 52 a to 52 g serving as third (i.e., first) temperature sensors are housed in a protective tube 62 (i.e., tube) provided between the reaction tube 222 and the boat 217 (i.e., inside a processing container of the film forming apparatus, i.e., in an inner region in an inner tube, where the inside glass of 222 is the inner tube) .” [0027]); and acquire a second temperature sensor provided in an outer region outside an outer tube in the processing container (“As shown in FIG. 3, temperature detection devices 300a to 300h, which include heater thermocouples 51a to 51h as first temperature sensors (i.e., second thermal sensors)” [0026] where the outer glass of 222 is an outer tube), a heater provided in the outer region on a sidewall of the processing container, such that a heat generated from the heater is transferred from the outer region to the inner region to raise the first temperature to the target temperature ([0028] “The heater unit 208 is divided into a plurality of heating zones, and in the example of FIG. 3, is divided into seven zones. 344 Around the side of the reaction tube 222, a heater (U1 zone heater) 208a on the uppermost side of the furnace body, a heater (U2 zone heater) 208b immediately below the U1 zone heater 208a, a heater (CU zone heater) 208c immediately below the U2 zone heater 208b, a heater (C zone heater) 208d immediately below the CU zone heater 208c, a heater (CL zone heater) 208e immediately below the C zone heater 208d, a heater (L 1 zone heater) 208f immediately below the CL zone heater 208e, and a heater (L2 zone heater) 208g on the lowermost side are provided and exposed on the inner surface of the furnace body.” Where in Fig 3, the heater is provided in the outer region on a sidewall, and the heat travels from the outer region to the inner regions, where [0021] “A heater unit 208 serving as a furnace for heating the entire inside of the reaction tube 222 uniformly or to a predetermined temperature distribution is provided outside the reaction tube 222 so as to surround the reaction tube 222.”); a first control circuitry configured to calculate a first power to be output to the heater such that the first temperature approaches a target temperature based on the first temperature acquired by the acquisition circuitry(“a second PID calculation unit (PID2) 504 (i.e., first control circuitry) that performs PID calculation according to the output of the second subtractor 503 and indicates the operation amount to the power regulator 511. The power regulator 511 supplies power (i.e., first power) to the resistance heater 520 according to the instructed operation amount.” [0045]), where “the temperature (i.e., first temperature) inside the reaction tube 222 is lowered to a predetermined temperature (i.e., target temperature) based on the temperature measured by the temperature detector.” [0044]); a second control circuitry configured to calculate a second power to be output to the heater such that the second temperature approaches an upper temperature limit based on the second temperature acquired by the acquisition circuitry (“first PID calculation unit (PID1) 502 that performs PID calculation according to the output of the first subtractor 501 and indicates the value that the measured temperature from the heater thermocouple 51 should follow, a second subtractor 503 that outputs the deviation between the output of the first PID calculation unit (PID1) 502 and the temperature (i.e., second temperature) from the heater thermocouple 51” [0045] where “the switch 509 based on at least the state of the heater thermocouple 51, and an overheat protector 514 that outputs a signal to the power regulator 511 to cut off the heater power (i.e., second power) when it detects that the detected temperature of the overheat detection thermocouple 53 is abnormally high (i.e., approaches an upper limit).” [0048]) and the second power is calculated independently of the first power by the second control circuitry (Fig 10, where PID1 is independent of PID2 and PID3); a prediction circuitry configured to calculate a predicted value of the second temperature at a predetermined time ahead, from the second temperature acquired by the acquisition circuitry, based on a prediction model that predicts at least the second temperature (“the temperature control unit 282 may also be provided with a reference temperature of at least one of the temperature data items among the heater temperature, which is the temperature of the heater (i.e., second temperature sensor measurement), and the furnace temperature (i.e., first temperature sensor measurement), which is the temperature inside the processing chamber, a power supply value in a steady state to the heater controlled to the reference temperature, and a prediction model memory area for storing a prediction model for predicting a predicted temperature of at least one of the temperature data items (i.e., where a predicted temperature from a prediction model would inherently be predicted for a predetermined time ahead of the current time at use of prediction model)among the heater temperature and the furnace temperature, and may acquire the temperature data and the power supply value, create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output to the heater.” [0052]); and an output circuitry configured to output (“storing a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature and the furnace temperature, and may acquire the temperature data and the power supply value, create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output (i.e., either the first or second power) to the heater.” [0052] where the calculation of the second temperature is noted to “indicates the operation amount to the power regulator 511. The power regulator 511 supplies power to the resistance heater 520 according to the instructed operation amount.” In [0045]); the first power is output to the heater when the predicted value of the second temperature is less than the second temperature limit (“the power regulator 511 supplies power (i.e., first power) to the resistance heater 520 according to the instructed operation amount.” [0045]), where “in a heating step, the inside of the reaction tube 222 is heated to a predetermined temperature (i.e., second temperature is lower than the predetermined temperature (second temperature limit)) the by the heater unit 208 based on the temperature measured by the temperature detection device).” [0042]), the second power is output to the heater when the predicted value of the second temperature is equal to or higher than the second temperature limit (“the switch 509 based on at least the state of the heater thermocouple 51, and an overheat protector 514 that outputs a signal to the power regulator 511 to cut off the heater power (i.e., second power) when it detects that the detected temperature of the overheat detection thermocouple 53 is abnormally high.” [0048], where the detected temperature being abnormally high is referring to “a temperature or voltage higher than a predetermined first threshold value” [0049]);
wherein the output circuitry outputs either the first power or the second power to the heater by according to the predicted value of the second temperature (“storing a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature and the furnace temperature, and may acquire the temperature data and the power supply value, create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output (i.e., either the first or second power) to the heater.” [0052] where the calculation of the second temperature is noted to “indicates the operation amount to the power regulator 511. The power regulator 511 supplies power to the resistance heater 520 according to the instructed operation amount.” In [0045]); wherein each of the acquisition circuitry, the first control circuitry, the second control circuitry, the prediction circuitry, and the output circuitry repeatedly perform an operation thereof in a predetermined cycle (“an example of the configuration of a substrate processing apparatus that performs a substrate processing process by heat treatment as one step in the manufacturing process of a semiconductor device will be described with reference to FIG. 1” [0010] where the embodied configuration example “enables stable and continuous temperature control (i.e., repeating in a predetermined cycle).” [0008]), wherein the heater is shut down to stop heating by the heater when the second temperature exceeds an excess temperature ([0048] “a signal to the power regulator 511 to cut off the heater power when it detects that the detected temperature of the overheat detection thermocouple 53 (i.e., second temperature) is abnormally high (i.e., exceeds an excess temperature).”), and the second temperature limit is lower than the excess temperature ([0049] “The overheat protection device 514 monitors the detected temperature of the overheat detection thermocouple 53, and when it detects a temperature higher than a predetermined second threshold value, which corresponds to a temperature of the heater unit 208 that would never be reached under normal use (e.g., 800° C) (i.e., excess temperature), for a predetermined period of time or more, it outputs the above-mentioned shut-off signal.”).
Hitoshi does not teach the second power has a value greater than zero; ; changing the power command by switching a control source between an output of the first circuitry and an output of the second control circuitry.
Kenichi teaches the second power has a value greater than zero (“Outputting a second power command value smaller than the power command value” pg. 2 paragraph 6); changing the power command by switching a control source between an output of the first circuitry and an output of the second control circuitry (pg 3 paragraph 1 “After the power command value is output from the fixed pattern output unit, switching means for switching the output of the power command value to the power supply unit from the fixed pattern output unit to the adjustment unit”).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the second power has a value greater than zero as discussed in Kenichi to the film forming apparatus and method discussed in Hitoshi for the purpose of reach the target temperature more rapidly, rather than merely shutting off the heat supply, by outputting the positive value of the second power. This is advantageous because it helps provide a substrate processing apparatus and a substrate processing method that can quickly stabilize a substrate at a target temperature and perform heat treatment with high in-plane uniformity.
Regarding Claim 14, Hitoshi and Kenichi teaches the limitations of claim 1.
Hitoshi does not teach wherein the prediction model calculates the predicted value using a state variable X(k+1) = AX(k) + Bu(k), where X(k) includes at least the first temperature and the second temperature measured at a current time.
Kenichi teaches wherein the prediction model calculates the predicted value using a state variable X(k+1) = AX(k) + Bu(k), where X(k) includes at least the first temperature and the second temperature measured at a current time (pg 12 paragraph 7 where the equation X(k+1) is represented in such a way that k is said in the specification to be an integer value at some time, and the following equation looks at
t
k
for some certain time.
y
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d
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T
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, where
y
=
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(
k
+
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)
,
k
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=
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;
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k
;
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a
n
d
T
d
d
e
d
t
=
u
(
k
)
).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the modeling equation as discussed in Kenichi to the film forming apparatus and method discussed in Hitoshi for the purpose of predicting the amount of time it takes the temperature to reach the target temperature. This is advantageous because it helps provide a substrate processing apparatus and a substrate processing method that can quickly stabilize a substrate at a target temperature and perform heat treatment with high in-plane uniformity.
Regarding Claim 15, Hitoshi and Kenichi teaches the limitations of claim 1.
Hitoshi does not teach
Kenichi teaches wherein the control input value is switched back from the second power to the first power when the predicted value of the second temperature falls below the second temperature limit (pg 10 paragraph 2 “On the other hand, at time t1, the PID control is switched to the fixed pattern output control, and the rated output (100% output) is supplied to the heaters 32A and 32B, and the heating is actively performed. For this reason, the temperature of the mounting table 3 begins to draw a rising curve toward the end of lowering and overshoots at a target temperature (process temperature) exceeding 130 ° C., but the substrate G is a glass substrate having a large thickness of about 6 mm, for example. Therefore, the heat capacity is large, and as a result, the temperature rises later than the mounting table 3. When a predetermined time elapses, the power supplied to the heaters 32A and 32B is set to zero according to the pattern output P, so that the temperature of the mounting table 3 begins to drop, but the substrate G uses the heat for the overshoot. Absorbing from 3, the temperature rises to the target temperature. For example, when a predetermined time measured by, for example, a timer elapses after the substrate G is placed, the switching means 44 switches to the PID calculation unit 41 side to return to PID control, and the temperature detection value of the temperature detection unit 33 The output of the power supply units 40A and 40B is controlled so that the temperature becomes the set temperature,”).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the second power has a value greater than zero as discussed in Kenichi to the film forming apparatus and method discussed in Hitoshi for the purpose of reach the target temperature more rapidly, rather than merely shutting off the heat supply, by outputting the positive value of the second power. This is advantageous because it helps provide a substrate processing apparatus and a substrate processing method that can quickly stabilize a substrate at a target temperature and perform heat treatment with high in-plane uniformity.
Claim(s) 4-6 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hitoshi and Kenichi in view of Nozawa et al. (US 2020/0101490 A1) hereinafter Nozawa.
Regarding Claim 4, Hitoshi and Kenichi teaches the limitations of claim 1. Hitoshi further teaches wherein the prediction model is capable of predicting the first temperature (“a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature, which is the temperature of the heater, and the furnace temperature, which is the temperature inside the processing chamber (i.e., first temperature),” [0052]), and a state variable including information on the second temperature is input to the prediction model (“but the temperature control unit 282 may also be provided with a reference temperature of at least one of the temperature data items” [0052] where the second temperature is one of the reference temperature data items) wherein the method further comprises: (h) calculating a power to be output to the heater such that a predicted value of the first temperature calculated by the prediction model approaches the target temperature (“create a predetermined equation using the prediction model, and calculate a solution based on the equation that minimizes the deviation (i.e., model values approach the target value)between the reference temperature (i.e., reference temperature) and the predicted temperature (i.e., predicted model temperature)” [0052], where “calculate a solution based on the equation that minimizes the deviation between the reference temperature and the predicted temperature, thereby controlling to optimize the power supply value output to the heater.” [0052]); and (i) inputting the power calculated in (h) to the prediction model, and calculating a predicted value of the first temperature, from the predicted value of the first temperature based on the prediction model (“a prediction model for predicting a predicted temperature of at least one of the temperature data (i.e., first temperature is one of the at least one temperature data at a given time ahead) items among the heater temperature and the furnace temperature, and may acquire the temperature data (i.e., predicted value of the first temperature based on the prediction model) and the power supply value (i.e., power calculated at h),” [0052] where the prediction model “configuration enables stable and continuous temperature control (i.e., the steps are repeated continuously over the time of the system operation).” [0008]), and wherein (e) includes inputting the power calculated in (h) to the prediction model based on the predicted value of the first temperature calculated in (i) (“may acquire the temperature data (i.e., predicted value of the first temperature based on the prediction model) and the power supply value (i.e., power calculated at h)” [0052]), and repeating the calculation (“a prediction model memory area for storing a prediction model for predicting a predicted temperature of at least one of the temperature data items” [0052] where the “configuration enables stable and continuous temperature control (i.e., repeating the steps continuously through the operation).
Hitoshi and Kenichi does not teach a given predetermined time period ahead n (n
≥
1).
Nozawa teaches a given predetermined time period ahead n (n
≥
1). (Fig. 6 Where steps S12-S16 happen in a time period, and are cyclical. Moving from S16 to S12 would be the end of one time period and moving ahead 1 to the next time period.).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the predetermined time frames discussed in Nozawa to the temperature measurement method discussed in Hitoshi and Kenichi for the purpose of measuring the temperature and calculating the power needed to run the film forming heating apparatus in a consistently repeatable time frames. This gives the advantage of being able to target the temperature of the heating apparatus with finer adjustability (e.g., [0005], Nozawa).
Regarding Claim 5, Hitoshi and Kenichi teaches the limitations of claim 1. Hitoshi further teaches wherein the (e) includes inputting power information and a state variable including information on the second temperature to the prediction model (“the temperature control unit 282 may also be provided with a reference temperature of at least one of the temperature data items among the heater temperature, which is the temperature of the heater (i.e., second temperature), and the furnace temperature, which is the temperature inside the processing chamber, a power supply value (i.e., power information) in a steady state to the heater controlled to the reference temperature,” [0052]), and calculating the predicted value of the second temperature, from the second temperature acquired in (c) (“a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature (i.e., second temperature value) and the furnace temperature, and may acquire the temperature data ( measured second temperature) and the power supply value,” [0052] where the prediction model “configuration enables stable and continuous temperature control (i.e., the steps are repeated continuously over the time of the system operation).” [0008]).
Hitoshi and Kenichi does not teach predetermined time frames.
Nozawa teaches predetermined time frames (Fig. 6 where the system waits for a predetermined amount of time).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the predetermined time frames discussed in Nozawa to the temperature measurement method discussed in Hitoshi and Kenichi for the purpose of measuring the temperature and calculating the power needed to run the film forming heating apparatus in a consistently repeatable time frames. This gives the advantage of being able to target the temperature of the heating apparatus with finer adjustability (e.g., [0005], Nozawa).
Regarding Claim 6, Hitoshi and Kenichi teaches the limitations of claim 1. Hitoshi further teaches wherein the (e) includes inputting a state variable including information on the second temperature to the prediction model (“the temperature control unit 282 may also be provided with a reference temperature of at least one of the temperature data items among the heater temperature, which is the temperature of the heater (i.e., second temperature), and the furnace temperature, which is the temperature inside the processing chamber,” [0052]),, and calculating the predicted value of the second temperature, from the second temperature acquired in (c) (“a prediction model for predicting a predicted temperature of at least one of the temperature data items among the heater temperature (i.e., second temperature value) and the furnace temperature, and may acquire the temperature data ( measured second temperature) and the power supply value,” [0052] where the prediction model “configuration enables stable and continuous temperature control (i.e., the steps are repeated continuously over the time of the system operation).” [0008]).
Hitoshi and Kenichi does not teach predetermined time frames.
Nozawa teaches predetermined time frames (Fig. 6 where the system waits for a predetermined amount of time).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the predetermined time frames discussed in Nozawa to the temperature measurement method discussed in Hitoshi for the purpose of measuring the temperature and calculating the power needed to run the film forming heating apparatus in a consistently repeatable time frames. This gives the advantage of being able to target the temperature of the heating apparatus with finer adjustability (e.g., [0005], Nozawa).
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hitoshi and Kenichi in view of Asada (JP 2003193238 A).
Regarding Claim 9, Hitoshi and Kenichi teaches the limitations of claim 1.
Hitoshi and Kenichi does not teach wherein the film forming apparatus forms a metal film.
Asada teaches wherein the film forming apparatus forms a metal film (“can be similarly applied to cleaning after a film forming process of an insulating film such as a silicon nitride film or a metal film such as a titanium nitride film” [0037]).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the metal film taught in Asada to the measurement and device discussed in Hitoshi and Kenichi for the purpose of making metal films and keeping the device to temperature. This gives the advantage of monitoring the efficiency making of films and monitoring the temperature.
Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hitoshi and Kenichi in view of Kamakura et al. (US 2014/0287599 A1) .
Regarding Claim 10 Hitoshi and Kenichi teaches the limitations of claim 1.
Hitoshi and Kenichi does not teach wherein an inner surface of the outer tube are covered with a molybdenum (MO) film.
Kamakura teaches wherein a surface of the inner tube and an inner surface of the outer tube are covered with a film ([0007] “a thin film is formed not only on the substrate but also on an inner wall of the process container (hereinafter, the thin film formed on the inner wall of the process container will be referred to also as a ‘deposited film’). ” Where [0154] “ the present invention is also applicable to cases in which a metal thin film containing a metal element such as titanium (Ti), zirconium (Zr), hafnium (Hf), tantalum (Ta), aluminum (Al), molybdenum (Mo), tungsten (W), or cobalt (Co) is formed.”)
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the film deposition taught in Kamakura to the measurement and device discussed in Hitoshi and Kenichi for the purpose of making films and keeping the device to temperature. This gives the advantage of monitoring the efficiency making of films and monitoring the temperature as the film develops on the surface of the tubes changing the dynamics needed to heat the substrate.
Claim(s) 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hitoshi and Kenichi in view of Jia-Ping (TW 201137293 A).
Regarding Claim 12, Hitoshi and Kenichi teaches the limitations of claim 1.
Hitoshi and Kenichi does not teach wherein the inner tube is spaced apart from the outer tube so as to define an intervening space there between.
Jia-Ping teaches wherein the inner tube is spaced apart from the outer tube so as to define an intervening space there between. (“A sealed space 120 (i.e., space between) is formed between the protective outer tube 102 (i.e., outer tube) and the inner flow guiding tube (i.e., inner tube) 100,” pg 2 lines 23-24).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the use of a space between the inner and outer tubes as discussed in Jia-Ping to the method of controlling a film forming apparatus discussed in Hitoshi and Kenichi for the purpose of having variations of the setup required to control film forming. This is advantageous because, the heater, or sensors could be moved around into the space between the inner and outer tubes as required to optimize the heating necessary for the type of material or process that is being used for film forming.
Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hitoshi and Kenichi in view of Chain (CVD MOLYBDENUM FILMS OF HIGH INFRARED REFLECTANCE AND SIGNIFICANT SOLAR ABSORPTANCE, 1981 Journal de Physique Colloques, 42 (C1), pp.C1-203 C1-211. 10.1051/jphyscol:1981115).
Regarding Claim 16, Hitoshi and Kenichi teaches the limitations of claim 1.
Hitoshi does not teach wherein the molybdenum (Mo) film has a reflectance of about 0.97 and the second power is output to prevent the heater from shutting down.
Kenichi teaches and the second power is output to prevent the heater from shutting down (pg 12 paragraph 3 “When the pattern output unit 42 is switched to the PID calculation unit 41, the calculation is performed using the differential element and the integral element of the transfer function calculated until the switching. In this case, regarding the output from the fixed pattern output unit 42, the power is set to zero (second power command value) after the rated output (first power command value) as in the first embodiment. The present invention is not limited to this, and the rated output or smaller output may be supplied at a constant value” where a heater's controller sends a power signal of zero, it means the heater is off and in a "rest" (standby) state, not powered down completely. The heater is not producing heat, but the control system remains active, awaiting a new signal to turn back on when the temperature drops below the set point.) due to thermal transfer delay caused by the reflectance (Fig. 12 where the substrate shows thermal transfer delay).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to combine the second power has a value greater than zero as discussed in Kenichi to the film forming apparatus and method discussed in Hitoshi for the purpose of reach the target temperature more rapidly, rather than merely shutting off the heat supply, by outputting the positive value of the second power. This is advantageous because it helps provide a substrate processing apparatus and a substrate processing method that can quickly stabilize a substrate at a target temperature and perform heat treatment with high in-plane uniformity.
Chain teaches wherein the molybdenum (Mo) film has a reflectance of about 0.97 (abstract “After post-deposition anneal, the reflective film exhibits an infrared reflectance of 98.7 % at 10 microns”),
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention, to use Chain teaching the Mo film reflectance and combine it with Hitoshi and Kenichi for the purpose of using a well know and highly reflective material. This is advantageous because Mo film being well known means that the way Mo film is made is well documented, giving way to easy comparisons on how effective and efficient the semiconductor making process is.
Examiner’s Note
Regarding Claim 13, the closest prior arts Hitoshi and Kenichi teach several limitations and their specifics are rejected in the office action above.
However, Hitoshi and Kenichi fail to disclose wherein the calculation of the predicted value in (e) and the outputting in (f) are performed at a cycle of 4 seconds to predict the second temperature at 1 minute ahead found in claim 13. There is no motivations absent the applicant’s own disclose, to modify the references of Hitoshi and Kenichi in the manner required by the claims.
For these reasons, pending the ability to overcome the U.S.C 103 rejection of independent Claim 1, claim 13 is allowable.
Conclusion
Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). 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.
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/EMMA ALEXANDER/Patent Examiner, Art Unit 2857
/Catherine T. Rastovski/Supervisory Primary Examiner, Art Unit 2857