DETAILED ACTION
The Applicant’s amendment filed on July 27, 2026 was received. Claims 1, 9 and 17 were amended. Claims 21-25 were added.
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action issued April 3, 2025.
Claim Rejections - 35 USC § 112
The claim rejections under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, previously indicated is withdrawn because applicants response filed July 27, 2026 provided reference numbers along with interpretation to support the claim language.
Claims 1, 3-4, 6-9, 11-12, 14-17 and 19 are 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.
Claims 1, 9 and 17 each recite “the annular ring directly heats the edge of the substrate through thermal radiation when the substrate is seated on the heating plate”.
However, this arrangement is not clearly depicted in drawings supplied by the applicant and heating by thermal radiation is not disclosed in the applicants’ specification.
Applicants has stated, in the remarks filed July 27, 2026, Support for the amendments can be found, at least, in paragraphs [0023]-[0024] and FIGS. 12A-14 of the as-filed application.
However, the specification as filed 08/29/2022 lacks paragraph numbers, and a text search for heats the edge of the substrate through thermal radiation does not yield a page/line where this concept is conveyed. Figures 14 and 15 which shows the heating elements 3392/3392a to be imbedded within airflow blocking member 33690a/3390b, therefore does not implicitly support the new added claim recitation. Applicant remarks filed July 27, 2026 provides no further support for the amended claim.
Claims 22 and 24 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.
Claim 22 recites the annular ring is divided into a plurality of sections, each section having a heating element. However, claim 1 recites the annular ring including a heater. It is unclear if the heating element in sections of the annular ring and the heater for the annular ring are distinct elements or should the heating elements be associated with the heater (which is the recitation found in claim 3). Clarification is required.
Claim 24 recites “the inclination of the other side of the annular ring is configured to facilitate flow of airflow approaching from outside toward the substrate”. However, claim 1 has the annular ring block a surrounding airflow from approaching the edge of the substrate. It is unclear how the annular ring will block at the edge of the substrate and facilitate the airflow approaching from outside toward the substrate.
Claim Rejections - 35 USC § 103
Claims 1, 4, 9, 12 and 17 are rejected under 35 U.S.C. 103 as being unpatentable over Seo (US 2019/0221455) in view of Hayashi (US 2021/0066049) and of Koshimizu (US 6,676,804).
In regards to claim 1, Seo teaches a heating unit (3230/1000, heat treatment unit) comprising:
a chamber (1100) that provides a heat treatment space (fig. 9-10; para. 47-48);
a substrate support unit (1300, heating plate) supports a seated substrate (W), the substrate support unit comprising a plurality of heaters (1420) (fig. 9-10; para. 54, 57);
a guide (1800, annular ring) (fig. 9-10; para. 47, 64) which restricts (blocks) airflow, where the guide is positioned adjacent to and surrounds the outer edge of the substrate (fig. 9-10; para. 47, 64);
the substrate support unit is a support plate and further comprises:
a plurality of pin members (1700) and a plurality of lift pins (1342) support the substrate, the plurality of pin members and plurality of lift pins extend from a central area of an upper surface (1320a) of the substrate support unit (fig. 8-11; para. 47, 54, 61);
the guide is formed on an edge area of the upper surface (1320a) of the substrate support unit (fig. 8-11);
the central area of the upper surface (1320a) of the substrate support unit has the same heigh as the edge area of the upper surface (1320a) of the substrate support unit (fig. 8-9).
Seo teaches the substrate is heated when placed onto the substrate support unit (para. 57, 62).
Seo does not explicitly teach an upper surface of the annular ring is provided at a height equal to a height of an upper surface of the substrate seated on the heating plate.
However, Hayashi teaches base/stage (12/411, heating plate) on which the wafer is seated where an annular focus ring (13, annular ring) is provided adjacent to and surrounds the outer edge of the substrate (fig. 1-2, 4; para. 24, 76, 80, 86, 94), and upper surface of the annular focus ring is provided at a height equal to a height of an upper surface of the wafer seated on the base/stage (fig. 1, 7).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the annular focus ring positioning of Hayashi onto the guide of Seo because Hayashi teaches it will reduce the flow of plasma (gas) towards the base/stage (para. 80, 86).
Seo and Hayashi do not explicitly teach the guide (annular ring) includes a heater.
However, Koshimizu teaches a ring body (112) that is positioned adjacent to and surrounds the outer edge of a substrate. Koshimizu teaches the ring body comprises an outer ring body (112b) with a heater (148), where the heater is connected to variable source (150). Koshimizu teaches the ring body further comprises an inner ring body (112a) which is made a of a conductive material and contacts the outer ring body (112b). Koshimizu teaches the heater is controlled to maintain a temperature for the outer ring body (fig. 5-8; col. 8, lines 55-60, col. 11, lines 30-55).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the heater in the ring body of Koshimizu onto the guide/focus ring of Seo and Hayashi because Koshimizu teaches it will provide uniform temperature and uniform processing of the wafer (col. 11, lines 50-60).
With regards to the functional recitations of preventing temperature drop of an edge of the substrate, to block a surrounding air flow from approaching the edge of the substrate, and the heater of the annular ring directly heats the edge of the substrate when the substrate is seated on the heating plate, The apparatus of Seo, Hayashi and Koshimizu is capable of performing as necessary, as the prior art combination teach the structural elements of the claim. Additionally, the courts have held that 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 (MPEP 2114).
In regards to claim 4, Seo, Hayashi and Koshimizu as discussed, where Seo teaches the guide has a ring shape (fig. 10; para. 64) and Hayashi teaches the focus ring has a ring shaped (fig. 1, 7; para. 24, 94).
In regards to claims 9 and 17, Seo teaches a heat treatment chamber comprising
a housing (3210) providing a heat treatment space therein and having a door (not shown, slot) for loading and unloading the substrate on one side (fig. 5, 7-8; para. 44-45);
a cooling unit (3220) located in the heat treatment space of the housing to cool the substrate (fig. 7-8; para. 44-46);
a heating unit (3230) located at one side of the cooling unit and heating the substrate (fig. 7-8; para. 44-45, 47);
a transfer unit (3240) for transferring a substrate between the cooling unit and the heating unit (fig. 7-8; para. 44-45, 66-67).
The heating treatment chamber further comprises:
a process chamber (1100) in which an upper chamber (1120) and a lower chamber (1140) are in contact with each other to form a treatment space (1110) defined by the upper chamber and the lower chamber (fig. 9-10; para. 47-49);
a substrate support unit (1300) comprising a support plate (1320, heating plate) supports a seated substrate (W), the substrate support unit comprising a plurality of heaters (1420) (fig. 9-10; para. 54, 57);
a lift pin (1340) for placing the substrate on the support plate or for moving the substrate placed on the support plate to be spaced apart from the support plate (fig. 9; para. 54, 56);
an elevating member (1130, vertical actuator) connected to the upper chamber or the lower chamber to vertically drive the upper chamber or the lower chamber (fig. 9; para. 52);
an exhaust unit (1500) comprising an exhaust pipe (1530) is connected to a central region of the upper chamber to exhaust the treatment space (fig. 9; para. 58);
a guide (1800, annular ring) (fig. 9-10; para. 47, 64) which restricts (blocks) airflow (fig. 9-10; para. 47, 64).
the substrate support unit is a support plate and further comprises:
a plurality of pin members (1700) and a plurality of lift pins (1342) support the substrate, the plurality of pin members and plurality of lift pins extend from a central area of an upper surface (1320a) of the substrate support unit (fig. 8-11; para. 47, 54, 61);
the guide is formed on an edge area of the upper surface (1320a) of the substrate support unit (fig. 8-11);
the central area of the upper surface (1320a) of the substrate support unit has the same heigh as the edge area of the upper surface (1320a) of the substrate support unit (fig. 8-9).
Seo teaches the substrate is heated when placed onto the substrate support unit (para. 57, 62).
Seo does not explicitly teach an upper surface of the annular ring is provided at a height equal to a height of an upper surface of the substrate seated on the heating plate.
However, Hayashi teaches base/stage (12/411, heating plate) on which the wafer is seated where an annular focus ring (13, annular ring) is provided to surround the edge of the substrate (fig. 1-2, 4; para. 24, 76, 80, 86, 94), and upper surface of the annular focus ring is provided at a height equal to a height of an upper surface of the wafer seated on the base/stage (fig. 1, 7).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the annular focus ring positioning of Hayashi onto the guide of Seo because Hayashi teaches it will reduce the flow of plasma (gas) towards the base/stage (para. 80, 86).
Seo and Hayashi do not explicitly teach the guide (annular ring) includes a heater.
However, Koshimizu teaches a ring body (112) that is positioned adjacent to and surrounds the outer edge of a substrate. Koshimizu teaches the ring body comprises an outer ring body (112b) with a heater (148), where the heater is connected to variable source (150). Koshimizu teaches the ring body further comprises an inner ring body (112a) which is made a of a conductive material and contacts the outer ring body (112b). Koshimizu teaches the heater is controlled to maintain a temperature for the outer ring body (fig. 5-8; col. 8, lines 55-60, col. 11, lines 30-55).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the heater in the ring body of Koshimizu onto the guide/focus ring of Seo and Hayashi because Koshimizu teaches it will provide uniform temperature and uniform processing of the wafer (col. 11, lines 50-60).
With regards to the functional recitations of preventing temperature drop of an edge of the substrate, to block a surrounding air flow from approaching the edge of the substrate, and the heater of the annular ring directly heats the edge of the substrate when the substrate is seated on the heating plate, The apparatus of Seo, Hayashi and Koshimizu is capable of performing as necessary, as the prior art combination teach the structural elements of the claim. Additionally, the courts have held that 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 (MPEP 2114).
In regards to claim 12, Seo, Hayashi and Koshimizu as discussed, where Seo teaches the guide has a ring shape (fig. 10; para. 64) and Hayashi teaches the focus ring has a ring shaped (Hayashi-fig. 1, 7; para. 24, 94).
Claims 3, 6-8, 11, 14-16, 19 and 21-25 are rejected under 35 U.S.C. 103 as being unpatentable over Seo, Hayashi and Koshimizu as applied to claims 1, 4, 9, 12 and 17 above, and further in view of Saitoh (US 2019/0108986).
In regards to claims 3, 11, 19 and 21-22, Seo, Hayashi and Koshimizu as discussed, but do not explicitly teach the annular ring is divided into a plurality of sections, and the heating element is provided in each section to be independently controllable.
However, Saitoh teaches a supporting member (4) comprising an electrostatic chuck (6) and a focus ring (5) with a focus ring heater unit (9). Saitoh teaches the chuck comprises a plurality of regions (HT1), where a heater is provided for each region to provide control of a temperature in each region (each section/region is independently controllable). Saitoh teaches the focus ring heater unit comprises a plurality of regions (HT2), and the heater (9a) is provided in each of the region, to provide control of a temperature in each region (each section/region is independently controllable) (fig. 2-3; para. 34, 36, 50-52, 56).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the supporting member with the plurality of regions which are heated of Saitoh onto the ring and heater of Seo, Hayashi and Koshimizu because Saitoh teaches it will aid in the uniformity of the processing of the wafer (para. 3).
In regards to claim 6-8, Seo, Hayashi and Koshimizu as discussed, but do not explicitly teach the annular ring has a curved upper surface, the annular ring has one side facing the edge of the substrate and other side opposite to the one side have different inclinations from each other, the annular ring has inclination of the other side is provided more gently than the inclination of the one side.
However, Saitoh teaches a focus ring (5) comprising a curved upper surface with a height equal to a height of the upper surface of the wafer seated on the mounting table (2) (fig. 13a/13b; para. 32, 36, 54, 101).
Saitoh teaches the focus ring has one side facing the edge of the wafer (see protruding portion-5a of focus ring) and other side opposite to the one side having different inclinations from each other and the focus ring has an inclination of the other side is provided more gently than the inclination of the one side (fig. 13/13b).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the focus ring shape of Saitoh onto the annular/focus ring of Seo, Hayashi and Koshimizu because Saitoh teaches it will provide control of the flow of plasma (gas) around the edge of the wafer (para. 55).
In regards to claims 14-16, Seo, Hayashi and Koshimizu as discussed, but do not explicitly teach the annular ring has a curved upper surface, the annular ring has one side facing the edge of the substrate and other side opposite to the one side have different inclinations from each other, the annular ring has inclination of the other side is provided more gently than the inclination of the one side.
However, Saitoh teaches a focus ring (5) comprising a curved upper surface with a height equal to a height of the upper surface of the wafer seated on the mounting table (2) (fig. 13a/13b; para. 32, 36, 54, 101).
Saitoh teaches the focus ring has one side facing the edge of the wafer (see protruding portion-5a of focus ring) and other side opposite to the one side having different inclinations from each other and the focus ring has an inclination of the other side is provided more gently than the inclination of the one side (fig. 13/13b).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to incorporate the focus ring shape of Saitoh onto the focus ring of Seo, Hayashi and Koshimizu because Saitoh teaches it will provide control of the flow of plasma (gas) around the edge of the wafer (para. 55).
In regards to claims 23-25, Seo, Hayashi and Koshimizu as discussed, where Seo teaches the guide has a ring shape and a curved profiled (fig. 10; para. 64) and Hayashi teaches the focus ring has a ring shaped, also the term of ring defines the element is ring shape (fig. 1, 7; para. 24, 94).
Further regarding the shape, the shape of the claimed annular ring is a matter of choice which a person of ordinary skill in the art would have found obvious absent persuasive evidence that the particular shape of the claimed annular ring is significant.
Response to Arguments
Applicant's arguments filed July 27, 2026 have been fully considered but they are not persuasive.
Applicant’s principal arguments are:
Seo guide does not include a heater and does not directly heat the edge of the substrate.
Hayashi's focus ring is designed for plasma processing uniformity and is actively cooled, not heated to directly heat the substrate edge through thermal radiation.
Koshimizu's heater maintains the temperature of the outer insulating ring body itself for plasma processing stability, not to directly heat the edge of the substrate through thermal radiation and prior art heaters serve fundamentally different purposes than the claimed heater.
Saitoh's focus ring is designed for plasma processing applications, not for directly heating the substrate edge through thermal radiation as required by claim 1.
In response to Applicant’s arguments, please consider the following comments:
In response to applicant's arguments against the references individually, one cannot show nonobviousness by attacking references individually where the rejections are based on combinations of references. See In re Keller, 642 F.2d 413, 208 USPQ 871 (CCPA 1981); In re Merck & Co., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986). Koshimizu was relied upon to teach the ring comprising the heater which is capable of heating the edge of the substrate.
Hayashi focus ring was relied up to teach the size and shape of the claimed ring provided around the edge of the substrate/wafer was known in the art. The process of active cooling of the focus ring at some point in the substrate processing, does not represent a teach away disclosure as the prior art does not explicitly state the focus ring cannot be exposed to heat or be heated.
In response to applicant's argument that heater maintains the temperature of the outer insulating ring body itself for plasma processing stability, not to directly heat the edge of the substrate, a recitation of the intended use of the claimed invention must result in a structural difference between the claimed invention and the prior art in order to patentably distinguish the claimed invention from the prior art. If the prior art structure is capable of performing the intended use, then it meets the claim. Applicants response does not make clear how heat the edge of the substrate provides a structural difference over the cited prior art combination.
Applicant's argument is not persuasive as Saitoh teaches the claimed structure. It is not necessary that the prior art suggest the combination to achieve the same advantage or result discovered by applicant (MPEP2144-IV).
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.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Binu Thomas whose telephone number is (571)270-7684. The examiner can normally be reached Monday to Thursday, 8:00AM-5:00PM PT.
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/Binu Thomas/Primary Examiner, Art Unit 1717
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