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 .
Response to Amendment/Arguments
Applicant's amendment filed on 3/26/2026 has been entered. Claim 1 has been amended. Claims 2-5 are as previously presented. Claim 6 has been cancelled.
Claims 1-5 are still pending in this application, with claim 1 being independent.
Applicant's amendment overcomes the 1/5/2026 rejection under 35 U.S.C. 103 of claims 1-5.
Applicant’s arguments with respect to amended claim 1 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Claim Interpretation
Regarding claim 4, which recites “wherein the controller is configured to select which one of the first switching element and the second switching element operates, based on a recipe”
The term “recipe” in claim 4 is used by the claim to mean a treatment recipe defining procedures and conditions for treating a semiconductor wafer [see specification, para. 0059: “The storage 34 of the controller 3 stores a treatment recipe 35 defining procedures and conditions for treating the semiconductor wafer W”].
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.
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.
Claims 1-5 are rejected under 35 U.S.C. 103 as being unpatentable over Fuse (US 20120244725 A1) in view of Karim (US 20130099693 A1) and Yokomori (US 20090166351 A1).
Regarding claim 1,
Fuse teaches:
A heat treatment apparatus [see fig. 1] that heats a substrate by emitting a flash of light to the substrate [para. 0048: “The heat treatment apparatus 1 according to a first preferred embodiment of the present invention is a flash lamp annealer for irradiating a disk-shaped silicon semiconductor wafer W having a diameter of300 mm and serving as a substrate with a flash of light to heat the semiconductor wafer W.”], the apparatus comprising:
a chamber housing the substrate [para. 0049: “The heat treatment apparatus 1 includes a chamber 6 for receiving a semiconductor wafer W therein”];
a holder holding the substrate in the chamber [para. 0049: “The heat treatment apparatus 1 further includes a holder 7 provided inside the chamber 6 and for holding a semiconductor wafer W”];
a flash lamp emitting the flash of light to the substrate, the substrate being held by the holder [para. 0049: “The heat treatment apparatus 1 includes a chamber 6 for receiving a semiconductor wafer W therein, a flash heating part 5 including a plurality of built-in flash lamps FL”];
a discharge circuit allowing a current to flow through the flash lamp and causing the flash lamp to emit the flash of light [see fig. 8; para. 0067: “FIG. 8 is a diagram showing a driving circuit for each flash lamp FL”]; and
a controller controlling the discharge circuit [para. 0049: “The heat treatment apparatus 1 further includes a controller 3 for controlling operating mechanisms provided in the shutter mechanism 2, the halogen heating part 4, the flash heating part 5, and the chamber 6 to cause the operating mechanisms to heat-treat a semiconductor wafer W”],
wherein the discharge circuit includes a [Fuse discloses the known practice of including a switch connected with a lamp to control the operation thereof; para. 0067: “As illustrated in FIG. 8, a capacitor 93, a coil 94, a flash lamp FL, and an IGBT (insulated-gate bipolar transistor) 96 are connected in series.”], and
the controller is configured to [Fuse further discloses, with regards to the operation of the lamp, the inherent feature of the switch to be ‘on’ (conductive) or ‘off’ (non-conductive/open); para. 069: “When a voltage ("high" voltage) not less than a predetermined level is applied to the gate of the IGBT 96, the IGBT 96 turns on. When a voltage ("low" voltage) less than the predetermined level is applied to the gate of the IGBT 96, the IGBT 96 turns off. In this manner, the driving circuit including the flash lamp FL is turned on and off by the IGBT 96.”].
However, Fuse does not disclose:
wherein the discharge circuit includes
a first switching element connected in parallel with the flash lamp, and
an oscillation-proof diode that prevents oscillation when the first switching element enters an ON state;
the controller is configured to render the first switching element conductive to stop the emission of the flash lamp.
Karim, in the same field of endeavor [para. 0002: “This disclosure relates to systems and methods for operating flash lamps, particularly controlling the properties of high energy pulses produced by flash lamps.”], teaches:
a discharge circuit that includes a first switching element [see fig. 3, showing an additional switch SCR2] connected in parallel with a flash lamp, wherein the switch is rendered conductive to stop the emission of the flash lamp [para. 0011: “A second SCR switch is coupled in parallel to the lamp. When the second SCR is turned on, the lamp is switched off and all of the energy stored in capacitors C1 and C2 is dissipated.”].
Yokomori, in the same field of endeavor [para. 0002: “The present invention relates to a heating device used in the production process for semiconductors and thin-film transistors, and relates to a flash lamp heating device using a flash lamp as a heating source.”], teaches:
a discharge circuit that includes an oscillation-proof diode that prevents oscillation when the first switching element enters an ON state [figs. 2-3: diode 27; para. 0024: “…wherein a diode is connected in parallel to a series circuit comprising the flash lamp and the inductance, and a semiconductor switch is connected in series to the flash lamp.”].
Therefore, in view of Karim teaching a variation of a discharge circuit including switch SCR2 with a switch SCR1 [see fig. 3, showing SCR1 connected in series with the flash lamp, similar to the switching element 96 of Fuse; para. 0011: “FIG. 3 illustrates a variation of the system illustrated in FIG. 2, where the switch to ground is a silicon controlled rectifier (SCR) in series with the lamp”], it would have been obvious to one of ordinary skill in the art, before the effective filing date of the invention, to modify the discharge circuit of Fuse by including a first switching element connected in parallel with the flash lamp since Karim teaches this as a known, equivalent method to control the operation of a flash lamp, and also that the first switching element allows dissipating stored energy [para. 0011: “When the second SCR is turned on, the lamp is switched off and all of the energy stored in capacitors C1 and C2 is dissipated”]. Furthermore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the invention, to modify the discharge circuit of Fuse by including an oscillation-proof diode that prevents oscillation when the first switching element enters an ON state, since Yokomori teaches that the diode allows for controlling a feedback current associated with opening and closing of a corresponding switch [para. 0053: “…a diode 27 for controlling a feedback current associated with opening and closing of a gate 251 of the insulated gate bipolar transistor (IGBT element) 25 are connected in parallel to the flash lamp 5, respectively. Supplying energy to the capacitor 26 is started by switching on the switch SW1 arranged at the high voltage side 22.”].
Regarding claim 2, Fuse in view of Karim discloses the heat treatment apparatus according to claim 1.
Fuse further teaches:
wherein the first switching element is a gate commutated turn-off thyristor.
Specifically, since Fuse teaches a gate commutated turn-off thyristor switch as an equivalent switching element to IGBT 96 [para. 0143: “Although the IGBT 96 is used as a switching element in the aforementioned preferred embodiments, another transistor capable of turning on and off the circuit in accordance with the signal level inputted to the gate thereof may be used in place of the IGBT 96. It is, however, preferable to use an IGBT and a GTO (gate turn-off) thyristor which are suitable for handling high power as a switching element because the emission of light from the flash lamps FL consumes considerably high power.”], it would have been obvious to one of ordinary skill in the art, before the effective filing date of the invention, to modify the apparatus of Fuse and Karim, by substituting a GTO thyristor as the first switching element.
Regarding claim 3, Fuse in view of Karim discloses the heat treatment apparatus according to claim 1.
Fuse as modified by Karim, specifically Fuse, also discloses:
wherein the discharge circuit includes a second switching element connected in series with the flash lamp [i.e., IGBT 96; para. 0067: “As illustrated in FIG. 8…a flash lamp FL, and an IGBT (insulated-gate bipolar transistor) 96 are connected in series.”], and
the controller is configured to set the second switching element in a blocking state to stop the emission of the flash lamp [para. 069: “When a voltage ("high" voltage) not less than a predetermined level is applied to the gate of the IGBT 96, the IGBT 96 turns on. When a voltage ("low" voltage) less than the predetermined level is applied to the gate of the IGBT 96, the IGBT 96 turns off. In this manner, the driving circuit including the flash lamp FL is turned on and off by the IGBT 96.”].
Regarding claim 4, Fuse in view of Karim discloses the heat treatment apparatus according to claim 3.
Fuse as modified by Karim discloses:
wherein the controller is configured to select which one of the first switching element and the second switching element operates, based on a recipe [i.e., a treatment recipe defining procedures and conditions].
Specifically, in view of Karim disclosing structure [para. 0025: “The term microcontroller or processor is intended broadly to include any form of logic that can be used to provide control to the system, including microprocessors, microcontrollers, application-specific circuitry, or any other suitable device that can provide control of turning on and off lines and connections in response to feedback.”] capable of:
controlling the properties of the high energy pulses produced by the flash lamp [i.e., conditions; paras. 0002-3: “This disclosure relates to systems and methods for operating flash lamps, particularly controlling the properties of high energy pulses produced by flash lamps... A flash lamp is an electric arc lamp that produces intense, incoherent radiation for short pulse widths (durations).”] by opening and closing (i.e., procedure):
the switch connected in series [i.e., SCR1; para. 0011: “FIG. 2 illustrates a system for controlling a flash lamp… The switch can be opened and closed to try to control the pulse width… FIG. 3 illustrates a variation of the system illustrated in FIG. 2”] and
the switch connected in parallel [i.e., SCR2; para. 0011: “When the second SCR is turned on, the lamp is switched off”],
it would have been obvious to one of ordinary skill in the art, before the effective filing date of the invention, to further modify the controller of Fuse and Karim by configuring it to select which one of the first switching element and the second switching element operates, based on a recipe, since Karim teaches that this allows for:
overcoming jitter [para. 0022: “After the trigger turns on, there is often some level of jitter when the energy from the lamp forms. This jitter may be caused by the geometry of the lamp, the gases in the lamp, and other random factors. The microcontroller can monitor the current in the lamp and cause the IGBT switch to be opened at a desired time after the increase in current is sensed. This feedback control allows the pulse width to be controlled in response to the conditions one pulse at a time and in a way that overcomes jitter.”]; and
depositing different energy per pulse [i.e., treatment; para. 0025: “The control circuit can allow the user to set the desired pulse voltage, period, and pulse width from one pulse to the next. Additionally the microcontroller may be able to vary the pulse width from one pulse to the next and thus allow for different energy to be deposited per pulse.”] while also avoiding operational limits of components [para. 0025: “Additionally, the microcontroller can limit the user to pulse widths and energies that do not violate the operational limits of the lamp, the high voltage supply, and the IGBT switch.”]
Regarding claim 5, Fuse in view of Karim discloses the heat treatment apparatus according to claim 3.
Fuse also discloses:
wherein the second switching element is a gate commutated turn-off thyristor or an insulated gate bipolar transistor [para. 0067: “As illustrated in FIG. 8, a capacitor 93, a coil 94, a flash lamp FL, and an IGBT (insulated-gate bipolar transistor) 96 are connected in series.”].
Double Patenting
The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b).
The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13.
The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The actual filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/apply/applying-online/eterminal-disclaimer.
Claims 1-5 of the Instant Application are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims of Copending Application US 18749583 (amended claims received 5/4/2026, Notice of Allowance mailed 5/11/2026) in view of Karim (US 20130099693 A1).
Instant Application: 18074785
Copending Application: 18749583
Claim 1:
A heat treatment apparatus that heats a substrate by emitting a flash of light to the substrate, the apparatus comprising:
a chamber housing the substrate;
a holder holding the substrate in the chamber;
a flash lamp emitting the flash of light to the substrate, the substrate being held by the holder;
a discharge circuit allowing a current to flow through the flash lamp and causing the flash lamp to emit the flash of light; and
a controller controlling the discharge circuit,
wherein the discharge circuit includes a first switching element connected in parallel with the flash lamp and an oscillation proof diode that prevents oscillation when the first switching element enters an ON state, and
the controller is configured to render the first switching element conductive to stop the emission of the flash lamp.
Claim 1:
A heat treatment apparatus for irradiating a substrate with a flash of light to heat the substrate, comprising:
a chamber for receiving a substrate therein;
a holder for holding said substrate in said chamber;
a plurality of flash lamps for irradiating said substrate held by said holder with a flash of light;
a discharge circuit for passing current of 4,000 amps or less through said plurality of flash lamps to cause said plurality of flash lamps to emit light; and
a controller for controlling said discharge circuit,
said discharge circuit including a single one element set coupled to and controlling N parallel-connected flash lamps, where N is an integer not less than 2,
wherein said one element includes a single switching element for controlling current through said N flash lamps, and further includes a single coil, a single capacitor, and a single diode.
Claim 2: canceled
Claim 3: canceled
Claim 2:
The heat treatment apparatus according to claim 1, wherein the first switching element is a gate commutated turn-off thyristor.
Claim 5:
The heat treatment apparatus according to claim 3, wherein said switching element is a thyristor.
Claim 6:
The heat treatment apparatus according to claim 5, wherein said thyristor is a GTO thyristor or a GCT thyristor.
Regarding claims 1 and 2 of the Instant Application requiring that the first switching element is connected in parallel with the flash lamp, although the claims of the Copending Application do not recite any connection arrangement of the one switching element, Karim teaches a variation of the discharge circuit that includes a switching element SCR2 connected in in parallel with a flash lamp [fig. 3; para. 0011], thus it would have been obvious to a PHOSITA to substitute the placement of the one switching element such that it is connected in parallel with the flash lamp.
Regarding claim 3, which recites “wherein the discharge circuit includes a second switching element connected in series with the flash lamp, and the controller is configured to set the second switching element in a blocking state to stop the emission of the flash lamp,” Karim further teaches the variation of the discharge circuit including switching element SCR1 connected in series with the flash lamp [fig. 3; para. 0011].
Regarding claim 4, which recites “wherein the controller is configured to select which one of the first switching element and the second switching element operates, based on a recipe,” Karim discloses capable of controlling the properties of the high energy pulses produced by the flash lamp [paras. 0002-3] by opening and closing SCR1 and SCR2, which allows for depositing different energy per pulse while also avoiding operational limits of components [i.e., a treatment recipe; para. 0025].
Regarding claim 5, which recites “wherein the second switching element is a gate commutated turn-off thyristor or an insulated gate bipolar transistor,” Karim teaches that the switch is an IGBT transistor [para. 0013: “The lamp may be coupled to ground via an insulated-gate bipolar transistor (IGBT) switch (8) that is used to turn off current flow through the flash lamp (4).”].
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 THEODORE J EVANGELISTA whose telephone number is (571)272-6093. The examiner can normally be reached Monday - Friday, 9am - 5pm EST.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Edward F Landrum can be reached at (571) 272-5567. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/THEODORE J EVANGELISTA/Examiner, Art Unit 3761 /EDWARD F LANDRUM/Supervisory Patent Examiner, Art Unit 3761
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