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 .
Election/Restrictions
Applicant’s election without traverse of Group I (Claims 1, 2, 3, 4, 5, 6, 7, 8,9 and 10) in the reply filed on 23 January 2026 is acknowledged. Claim 11 is withdraw as a result of the applicant’s election.
Claim Objections
3. Claims 8, 9, and 10 are objected to because of the following informality: the extraneous phrase “any one of” is found in all of the aforementioned claims. Claim 10 is objected to because of the following informality: the phrase “electrically conducted” should be “electrically connected” to each other. Appropriate correction is required.
Claim Rejections - 35 USC § 103
4. 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.
5. The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
5. Claim 1 is rejected under 35 U.S.C. 103 as being unpatentable over Gomi et al.
Gomi et al. (JP S322644 B1 translated using google translate 28 May 2026) is directed toward a method of bright plating.
Regarding Claim 1, Gomi et al. discloses a plating apparatus depicted in FIG. 1, FIG.2, and FIG. 3 comprising a substrate holder for holding a substrate (element A cathode/substrate) in a plating tank (element 1) with an electrolyte (element 2). The plating apparatus of Gomi et al. does not explicitly describe a discrete first tank and second plating tank. However, the plating apparatus depicted in modified FIG. 1 defined by a left side and a right side (labeled in amended FIG. 1 as such) which contain the auxiliary electrodes (elements P’) and the auxiliary electrode are connected to an AC power source. Referring to modified FIG. 1, the left side and right side of the tank correspond to a first tank (i.e.: the left side) positioned on the side of a first surface of the substrate (i.e.: left side of cathode A) and a second tank (i.e.: right side) positioned on the side of a second surface of the substrate, wherein the first tank and the second tank communicate with each other via a gap. The aforementioned gap corresponds to the area above and below the cathode A. Gomi et al. furthers discloses a first anode electrode (element P) arranged in the first tank in the plating tank and a first electric power source (i.e.: DC power source in modified FIG. 1) constructed to supply plating current between the substrate (cathode A) and the first anode electrode. Moreover, Gomi et al. teaches an auxiliary anode electrode (element P’) arranged in a position that is in the gap and on the side of the first tank and an auxiliary cathode electrode (element P’) arranged in a position that is in the gap and on the side of the second tank (modified FIG. 1). Since both auxiliary electrodes (elements P’) are connected to an AC power source (analogous to an auxiliary electric power source of the instant application), either electrode is a capable of being the auxiliary anode or the auxiliary cathode and using AC current makes one auxiliary electrode the auxiliary anode while the other auxiliary electrode is the auxiliary cathode.
[AltContent: textbox ([img-media_image1.png]
Modified FIG. 1 from Gomi et al. with left and right side of plating tank labeled)]
6. Claims 2, 3, 4, 6, 7, 8, 9, and 10 are rejected under 35 U.S.C. 103 as being unpatentable over Gomi et al. as applied to Claim 1 above, and further in view of He’781.
Gomi et al. (JP S322644 B1 translated using google translate 28 May 2026) is directed toward a method of bright plating. He’781 (US Pub. No. 2014/0144781 A1) is directed toward a plating apparatus comprising an auxiliary electrode that functions as both an anode and cathode (abstract).
Regarding Claim 2, Gomi et al. discloses the plating apparatus as per Claim 1, but is silent on the control mechanism of the auxiliary electrodes. However, control of any electrical process is governed by Ohm’s law (V=iR or i=V/R where V is the potential, R is the electrical resistance, and i is the current) and control of the electrical process is either described as galvanostatic or potentiostatic. The former case (i.e.: galvanostatic) refers to an electrical process where the applied current is held constant and the output potential is measured (and effected by the electrical resistance of the circuit). The latter case (i.e.: potentiostatic) refers to an electrical process where the applied potential is held constant and the output current is measured (and effected by the electrical resistance of the circuit). One of ordinary skill in the art would investigate other plating method and apparatuses where the control of the electrical characteristics of the auxiliary electrodes are taught.
He’781 is directed toward a plating apparatus depicted in FIG. 1A comprising a plating vessel 101, an electrolyte 102, and a wafer 103 (analogous to the substrate/cathode of the instant application (¶53). As per ¶54, the plating apparatus of He’781 further includes an anode 105 with apparatus having both an anode and cathode chamber (analogous the first and second tanks of the instant application). The plating apparatus of He’781 is also comprised of an auxiliary electrode 119 which is capable of functioning as an anode (and a cathode) and a thieving secondary cathode 115 (FIG. 1A and ¶56-59). Given the description of the electroplating apparatus of He’781, it has a similar structure to the electroplating apparatus of Gomi et al.
The apparatus of He’781 further includes multiple power supplies and a controller in association with the power supplies (¶40). He’781 continues to explain that the controller is configured to perform the methods such as instructions to specify electrical characteristics (e.g.: current, voltage, power, polarity) provided to any of the following components: the wafer substrate, the auxiliary electrode, an anode, and the secondary (thief electrode) according to ¶40. The controller 433 which is capable of controlling the aforementioned electrical characteristics is described in detail ¶70 and ¶72-78. He’781 indicates that the controller 433 in conjunction with power supplies 431 allows for independent control of current and potential provided to the wafer, the auxiliary electrode (i.e.: auxiliary electrode), and the second auxiliary cathode of the electroplating apparatus and other plating components (¶76). Thus, controller 433 is capable of controlling power supplies 431 to generate the current profiles. ¶76 of He’781 further teaches that the controller may be used in conjunction with sensors that may determine whether a condition has been met or programmed with separate current versus time profile for each of the wafer, auxiliary electrode, and the secondary cathode. He’781 continues to explain in ¶77 that the controller 433 may be configured to control electrical power to produce a more uniform current distribution delivered to the wafer.
It would be obvious to one of ordinary skill in the art prior to the effective filing date of the claimed to modify the plating apparatus of Gomi et al. with the controller of He’781 with the reasonable expectation controlling the electrical characteristics of the cathode (wafer), the anode, the auxiliary anode, and the auxiliary cathode thus enabling depositing of a consistent and uniform metallic coating.
Given the breadth and scope of control over the electrical characteristics of the plating apparatus of Gomi et al. in view He’781 described in Claim 2 above, said apparatus would be capable of having the auxiliary current set to have a current value that is obtained by dividing an over-voltage in the first surface of the substrate by a resistance value of electrolytic solution that exists between the auxiliary anode electrode and the auxiliary cathode electrode as part of routine parameter optimization. See MPEP 2144.05(II) – Routine Optimization.
Regarding Claim 3, Gomi et al. discloses the plating apparatus as per Claim 1 further comprising a second anode electrode arranged in the second tank in the plating tank; and a second electric power source as evidenced by FIG. 3 in Gomi et al. where the second anode (right side element P) is connected to the AC power source (i.e.: a second power source).
However, Gomi et al. is silent on the second electric power source being able to supply plating current between the substrate and the second anode electrode, wherein current outputted from the second electric power source is set in such a manner that an over-voltage in the second surface of the substrate is smaller than an over-voltage in the first surface of the substrate. The control of any electrical process is governed by Ohm’s law (V=iR or i=V/R where V is the potential, R is the electrical resistance, and i is the current) and control of the electrical process is either described as galvanostatic or potentiostatic. The former case (i.e.: galvanostatic) refers to an electrical process where the applied current is held constant and the output potential is measured (and effected by the electrical resistance of the circuit). The latter case (i.e.: potentiostatic) refers to an electrical process where the applied potential is held constant and the output current is measured (and effected by the electrical resistance of the circuit). One of ordinary skill in the art would investigate other plating method and apparatuses where the control of the electrical characteristics of the plating apparatus parts are described.
He’781 is directed toward a plating apparatus depicted in FIG. 1A comprising a plating vessel 101, an electrolyte 102, and a wafer 103 (analogous to the substrate/cathode of the instant application (¶53). As per ¶54, the plating apparatus of He’781 further includes an anode 105 with apparatus having both an anode and cathode chamber (analogous the first and second tanks of the instant application). The plating apparatus of He’781 is also comprised of an auxiliary electrode 119 which is capable of functioning as an anode (and a cathode) and a thieving secondary cathode 115 (FIG. 1A and ¶56-59). Given the description of the electroplating apparatus of He’781, it has a similar structure to the electroplating apparatus of Gomi et al.
The apparatus of He’781 further includes multiple power supplies and a controller in association with the power supplies (¶40). He’781 continues to explain that the controller is configured to perform the methods such as instructions to specify electrical characteristics (e.g.: current, voltage, power, polarity) provided to any of the following components: the wafer substrate, the auxiliary electrode, an anode, and the secondary (thief electrode) according to ¶40. The controller 433 which is capable of controlling the aforementioned electrical characteristics is described in detail ¶70 and ¶72-78. He’781 indicates that the controller 433 in conjunction with power supplies 431 allows for independent control of current and potential provided to the wafer, the auxiliary electrode (i.e.: auxiliary electrode), and the second auxiliary cathode of the electroplating apparatus and other plating components (¶76). Thus, controller 433 is capable of controlling power supplies 431 to generate the current profiles. ¶76 of He’781 further teaches that the controller may be used in conjunction with sensors that may determine whether a condition has been met or programmed with separate current versus time profile for each of the wafer, auxiliary electrode, and the secondary cathode. He’781 continues to explain in ¶77 that the controller 433 may be configured to control electrical power to produce a more uniform current distribution delivered to the wafer.
It would be obvious to one of ordinary skill in the art prior to the effective filing date of the claimed to modify the plating apparatus of Gomi et al. with the controller of He’781 with the reasonable expectation controlling the electrical characteristics of the cathode (wafer), the anode, the auxiliary anode, and the auxiliary cathode thus enabling depositing of a consistent and uniform metallic coating.
Given the breadth and scope of control over the electrical characteristics of the plating apparatus of Gomi et al. in view He’781 described in Claim 3 above, said apparatus would be capable of having a second electric power source constructed to supply a plating current between the substrate and the second anode electrode, wherein current outputted from the second electric power source is set in such a manner that an over-voltage in the second surface of the substrate is smaller than an over-voltage in the first surface of the substrate as part of routine parameter optimization. See MPEP 2144.05(II) – Routine Optimization.
Regarding Claim 4, Gomi et al. in view of He’781 discloses the plating apparatus of Claim 3, but is silent on the auxiliary current set to have a current value that is obtained by dividing a difference between the over-voltage in the first surface of the substrate and the over-voltage in the second surface of the substrate by a resistance value of electrolytic solution that exists between the auxiliary anode electrode and the auxiliary cathode electrode. Given the breadth and scope of control over the electrical characteristics of the plating apparatus of Gomi et al. in view He’781 described in Claim 3 above, said apparatus would be capable of having the auxiliary current set to a current value that is obtained by dividing a difference between the over-voltage in the first surface of the substrate and the over-voltage in the second surface of the substrate by a resistance value of electrolytic solution that exists between the auxiliary anode electrode and the auxiliary cathode electrode as part of routine parameter optimization. See MPEP 2144.05(II) – Routine Optimization.
Regarding Claim 6, Gomi et al. in view of He’781 discloses the plating apparatus of Claim 4, but is silent on having the auxiliary current is controlled based on a measured value of current supplied from the first electric power source and a measured value of current supplied from the second electric power source. Given the breadth and scope of control over the electrical characteristics of the plating apparatus of Gomi et al. in view He’781 described in Claims 3 and 4 above, said apparatus would be capable of having the auxiliary current controlled based on a measured value of current supplied from the first electric power source and a measured value of current supplied from the second electric power source as part of routine parameter optimization. See MPEP 2144.05(II) – Routine Optimization.
Regarding Claim 7, Gomi et al. in view of He’781 discloses the plating apparatus of Claims 3, 4, and 6, but is silent on having the auxiliary current is controlled based on a difference between current density in the first surface of the substrate and current density in the second surface of the substrate. Given the breadth and scope of control over the electrical characteristics of the plating apparatus of Gomi et al. in view He’781 described in Claims 3, 4, and 6 above, said apparatus would be capable of having the auxiliary current controlled based on a difference between current density in the first surface of the substrate and current density in the second surface of the substrate as part of routine parameter optimization. See MPEP 2144.05(II) – Routine Optimization.
Regarding Claim 8, Gomi et al. in view of He’781 discloses the plating apparatus according to Claim 7 comprising barrier membranes arranged in a position between the auxiliary anode electrode and the first tank in the plating tank and a position between the auxiliary cathode electrode and the second tank in the plating tank, and constructed to allow selective permeation of ions supported by ¶41, ¶ 42, ¶46 and Claim 1 of He’781. The position of said selection permeable membrane is depicted in FIG. 1A, FIG. 1B, and FIG. 1C in He’781. The use of a membrane to isolate the auxiliary electrode can lead to electroplating with fewer defects as indicated in He’781 in ¶42.
Regarding Claim 9, Gomi et al. in view of He’781 discloses the plating apparatus according to Claim 8, wherein the gap makes the first and the second tank communicate with each by a bent path as depicted in modified FIG. 1 of Gomi et al.
Regarding Claim 10, Gomi et al. in view of He’781 discloses the plaiting apparatus of Claim 9, wherein the substrate is that in which the first surface and the second surface are electrically conducted to each other as depicted in modified FIG. 1 of Gomi et al.
7. Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Gomi et al. in view applied to Claim 4 above, and further in view of Fruchart et al.
Gomi et al. (JP S322644 B1 translated using google translate 28 May 2026) is directed toward a method of bright plating. He’781 (US Pub. No. 2014/0144781 A1) is directed toward a plating apparatus comprising an auxiliary electrode that functions as both an anode and cathode (abstract). Fruchart et al. (Handbook of Magnetic Materials, Vol. 27; Chapter 3: “Magnetic Nanowires and Nanotubes,” 2018, pg. 155-267) discloses information about reference electrodes.
Regarding Claim 5, Gomi et al. in view of He’781 discloses the plating apparatus according to Claim 4, but does not disclose the use of a reference electrode nor the positioning of said reference electrode in the electroplating electrical circuit. However, it is known that the use reference electrodes allow for the delivery of precise voltage/potential resulting in enhanced control of deposition in electroplating processes. Fruchart et al. indicates that common plating cell consists of at least two electrodes with deposition occurring at the cathode (pg. 161: 2.2.1 Electroplating Section). For better control over the deposition, Fruchart et al. indicates that the electric potential of the cathode is often measured with respect to a third, reference electrode (pg. 161: 2.2.1 Electroplating Section). This enables a better-defined shift of electrochemical potential, which can be exploited for deposition of different materials from a solution containing multiple species (e.g., Co and Cu for multisegmented wires) according to pg. 161: 2.2.1 Electroplating Section of Fruchart et al.
It would be obvious to one of ordinary skill in the art prior to the effective date of the claimed invention to modify the apparatus of Gomi et al. in view of He’781 by using a reference electrode as taught by Fruchart et al. with the reasonable expectation of improving control over the deposition of the metallic film since precise and accurate potentials can be applied during the electroplating process.
However, the combination of Gomi et al. in view of He’781 and Fruchart et al. is silent on a first reference electrode, which is arranged in a position close to the first surface of the substrate, for measuring an over-voltage in the first surface of the substrate, and a second reference electrode, which is arranged in a position close to the second surface of the substrate, for measuring an over-voltage in the second surface of the substrate; wherein the auxiliary current is controlled based on an over-voltage measured by using the first reference electrode and an over-voltage measured by using the second reference electrode.
Given the breadth and scope of control over the electrical characteristics of the plating apparatus of Gomi et al. in view He’781 and Fruchart et al. described in Claim 3, Claim 4, and Claim 5 above, said apparatus would be capable of having a first reference electrode, which is arranged in a position close to the first surface of the substrate, for measuring an over-voltage in the first surface of the substrate, and a second reference electrode, which is arranged in a position close to the second surface of the substrate, for measuring an over-voltage in the second surface of the substrate; wherein the auxiliary current is controlled based on an over-voltage measured by using the first reference electrode and an over-voltage measured by using the second reference electrode as part of routine parameter optimization. See MPEP 2144.05(II) – Routine Optimization.
Conclusion
8. The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Carter et al. (“Electroplating Fundamentals: Optimizing Cross-wafer Uniformity,” Process Application Note, ClassOne Technology 2021, pg. 1-13) is directed toward the optimization of electroplating (pg. 1: title).
9. Any inquiry concerning this communication or earlier communications from the examiner should be directed to KEVIN SYLVESTER whose telephone number is (703)756-5536. The examiner can normally be reached Mon - Fri 8:15 AM to 4:30 PM EST.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, James Lin can be reached at (571)272-8902. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/KEVIN SYLVESTER/Examiner, Art Unit 1794
/JAMES LIN/Supervisory Patent Examiner, Art Unit 1794
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