DETAILED ACTION
This action is responsive to Applicant’s reply filed 7/24/2026.
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 .
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
Claim Status
Claims 6-9, 13-20, and 23-25 are pending.
Claims 1-5, 10-12, and 21-22 are cancelled.
Claim 25 is withdrawn.
Claims 6, 13-14, and 23-24 are currently amended.
Claim Objections
Claims 6 and 24 are objected to due to the following informalities:
Claim 6: pg. 3, line 5 (Claims 7/24/2026) should read “at a first position and… at a second position” for clarity.
Claim 24: pg. 7, line 19 (Id.) should be amended in the same way.
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.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claims 6, 9, 14-16, 18-20, and 23-24 are rejected under 35 U.S.C. 103 as being unpatentable over Kitagawa (US 2015/0373783) in view of Johnson (US 2003/0201069), Kim (US 2015/0027875), Koike (US 2002/0072240), and Kellogg (US 2012/0003836).
Regarding claims 6 and 24, Kitagawa teaches a plasma processing apparatus (Fig. 1, plasma processing apparatus #10) comprising:
a chamber ([0023] and Fig. 1, container #1);
a first mounting table ([0040] and Fig. 2, base central portion #3a) connected to at least one RF (Radio Frequency) power supply ([0026] and Fig. 1, either RF power source #10a or #10b), the first mounting table including:
a first base which includes a first coolant path ([0042] and Fig. 2, inner coolant path #2e) and a first flange (see Fig. 2, radially outer portion);
an electrostatic chuck on the first base ([0023] and Fig. 2, chuck #6); and
a first mounting surface (Fig. 2, surface supporting wafer W),
a focus ring which surrounds the first mounting surface ([0025] and Fig. 2, focus ring #5);
a second mounting table arranged to surround the first mounting table ([0040] and Fig. 2, base peripheral portion #3b) and which has a ring-shape ([0040]: annular), the second mounting table being positioned on the first flange (see Fig. 2), the second mounting table including:
a second base which is physically separate from the first base (see Fig. 2, spaced apart horizontally from each other, occupy different vertical positions as well) includes a second coolant path ([0042] and Fig. 2, outer coolant path #2f);
a second mounting surface (Fig. 2, surface supporting focus ring #5); and
at least one focus ring heater ([0025] and Fig. 2, heater electrode #22),
a plasma generator configured to generate plasma in the chamber and perform plasma processing of a substrate ([0023], [0026] and Fig. 1, RF power sources #10a/b for wafer W); and
a controller ([0036] and Fig. 1, controller #90), wherein the controller is configured to control the plasma processing apparatus to: (a) perform plasma processing of the substrate in a state where the second mounting table is positioned at a first position ([0023] and Fig. 1: substrate support is stationary for processing).
Kitagawa does not teach wherein the second base is physically separate from the first base in a direction perpendicular to the first mounting surface (vertical) and is vertically movable relative to the first base in the direction perpendicular to the first mounting surface, at least one elevation mechanism configured to vertically move the second mounting table relative to the first base in the direction perpendicular to the first mounting surface (vertical), the at least one elevation mechanism including: an actuator; and a rod connected to the second base and to the actuator.
However, Johnson teaches at least one elevation mechanism configured to vertically move the second mounting table relative to the first mounting table including: an actuator; and a rod connected to the second base to the actuator (Johnson – [0044] and Fig. 5B, motor #430, shaft #444 moving #200 and #210 relative to #460).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to modify the Kitagawa apparatus to comprise the movable mounting table of Johnson in order to achieve desired workpiece processing uniformity (Johnson – [0049]).
Modified Kitagawa does not teach a flexible line which supplies a coolant to the second coolant path.
However, Kim teaches a flexible line which supplies a coolant to a coolant path (Kim – [0119] and Fig. 5, tube #416 connected to refrigerant tank is flexible, connected to outer portion of substrate mounting members #400).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to modify the coolant pipelines of modified Kitagawa to comprise a flexible line in order to provide effective cooling even when a member-to-be-cooled moves (Kim – [0119]).
Modified Kitagawa does not explicitly teach wherein the controller is configured to: (b) perform plasma processing of the substrate or another substrate in a state where the second mounting table is positioned at a second position which is higher than the first position, and/or configured to move the second mounting table from a first position to a second position which is higher than the first position based on a consumption amount of the focus ring and to perform the plasma processing in a state where the second mounting table is positioned at the second position.
However, Koike teaches such a procedure (Koike – [0032]-[0045]).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to program the controller of modified Kitagawa to enact the method of Koike in order to maintain processing uniformity (Koike – [0039]).
Modified Kitagawa does not teach the limitations of the conducting part.
However, Kellogg teaches a conducting part which electrically connects a first mounting table and a second mounting table (Kellogg – [0033] and Fig. 3C, RF return straps #390), wherein the conducting part is configured to electrically connect the first mounting table and the second mounting table in both of a state where the second mounting table is at the first position and a state where the second mounting table is at the second position (Kellogg – [0033] and Fig. 3C, RF return straps #390).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to further modify the modified Kitagawa apparatus to comprise the conducting parts of Kellogg in order to provide proper RF ground return paths between a fixed and movable member (Kellogg – [0033]).
For clarity, the limitation: “wherein both the first position and the second position are at heights at which the substrate is subjected to the plasma processing” is regarded as merely an intended use of the apparatus and is given patentable weight to the extent that the prior art is capable of performing the intended uses. 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. See MPEP 2114(II).
Modified Kitagawa is regarded as capable of processing a substrate at a variety of heights due to the structures of Kitagawa (substrate support and processing) and Koike (first/second positions).
Regarding claim 9, Kitagawa teaches wherein a thickness of the second mounting table is greater than a thickness of the electrostatic chuck (see Fig. 2).
Regarding claim 14, Kitagawa teaches wherein the electrostatic chuck includes a second flange, and at least a part of the focus ring is arranged above the second flange (Fig. 2, flange #6e).
Regarding claim 15, Kitagawa teaches wherein an outer peripheral surface of the first mounting table faces an inner peripheral surface of the second mounting table through an annular gap, and the focus ring is arranged to cover the annular gap (see Fig. 2, groove #13).
Regarding claim 16, Kitagawa teaches wherein the focus ring is supported on the second mounting surface, and a thermally conductive sheet is positioned between the focus ring and the second mounting surface ([0048] and Fig. 2, intermediate layer #18).
Regarding claim 18, Kitagawa modified by Johnson and Kim does not teach the added limitations of the claim.
However, Koike teaches at least one measuring unit configured to measure a height of an upper surface of the focus ring (Koike – [0025] and Figs. 1-2, sensor #5), wherein the controller is configured to control a driving amount of the at least one elevation mechanism based on height information of the upper surface of the focus ring measured by the at least one measuring unit (Koike – [0025]-[0027]) so that the height of the upper surface of the focus ring with respect to an upper surface of the substrate is within a preset range (Koike – [0028]).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to program the controller of modified Kitagawa to enact the method of Koike in order to maintain processing uniformity (Koike – [0039]).
Regarding claim 19, Kitagawa in view of Johnson and Kim does not teach the added limitations of the claim.
However, Koike teaches wherein the at least one elevation mechanism includes a plurality of elevation mechanisms (Koike – [0052] and Figs. 1-2, plurality of drive units #61), the plasma processing apparatus further including a plurality of height measuring units (Koike – Fig. 2, plurality of sensors #5), each of the plurality of height measuring units configured to measure a height of an upper surface of the focus ring (Koike – [0051]), wherein the controller is configured to independently control a driving amount of each elevation mechanism based on height information of the upper surface of the focus ring measured by the plurality of height measuring units so that the height of the upper surface of the focus ring with respect to the upper surface of the substrate is within a preset range (Koike – [0052]).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to program the controller of modified Kitagawa to enact the method of Koike in order to maintain processing uniformity (Koike – [0039]).
Regarding claim 20, Kitagawa in view of Johnson and Kim does not teach the added limitations of the claim.
However, Koike teaches wherein each of the plurality of elevation mechanisms is paired with a height measurement unit of the plurality of height measurement units, to provide a plurality of pairs with each pair including one of the elevation mechanisms and one of the height measurement units, and wherein the controller is configured to drive each elevation mechanism based on the height information from its paired height measurement unit (Koike – [0051]-[0052] and Fig. 2, sensors #5 paired with drive units #61).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to program the controller of modified Kitagawa to enact the method of Koike in order to maintain processing uniformity (Koike – [0039]).
Regarding claim 23, modified Kitagawa does not teach the added limitations of the claim.
However, Kellogg teaches wherein the conducting part comprises a flexible wiring (Kellogg – [0033] and Fig. 3C, RF return straps #390 are a flexible, flat wire).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to further modify the modified Kitagawa apparatus to comprise the conducting parts of Kellogg in order to provide proper RF ground return paths between a fixed and movable member (Kellogg – [0033]).
Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Kitagawa (US 2015/0373783), Johnson (US 2003/0201069), Kim (US 2015/0027875), Koike (US 2002/0072240), and Kellogg (US 2012/0003836), as applied to claims 6, 9, 14-16, 18-20, and 23-24 above, and further in view of Makabe (US 2010/0122774).
The limitations of claims 6, 9, 14-16, 18-20, and 23-24 are set forth above.
Regarding claim 7, modified Kitagawa does not teach wherein the controller is configured to circulate a first coolant through the first coolant path and to circulate a second coolant which is different from the first coolant through the second coolant path to individually control temperatures of the first mounting table and the second mounting table.
However, Makabe teaches this feature (Makabe – [0079]-[0082] and Fig. 9, first and second paths #45a and #45b separately receive coolant).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to modify the coolant supply structure of modified Kitagawa to that of Makabe in order to create a desirable temperature distribution between a central and outer portion of the substrate support (Makabe - [0071]).
Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Kitagawa (US 2015/0373783), Johnson (US 2003/0201069), Kim (US 2015/0027875), Koike (US 2002/0072240), and Kellogg (US 2012/0003836), as applied to claims 6, 9, 14-16, 18-20, and 23-24 above, and further in view of Suzuki (US 2011/0174790).
The limitations of claims 6, 9, 14-16, 18-20, and 23-24 are set forth above.
Regarding claim 8, modified Kitagawa does not teach the added limitations of the claim.
While Suzuki does not explicitly teach wherein a bottom surface of the second coolant path is positioned between a bottom surface of the first coolant path and an upper surface of the first coolant path, and within a movable range of the second mounting table, Suzuki does teach wherein the size/height of a coolant passage is a result effective variable. Specifically, that the height of a coolant passage can be selected based upon flow rate/specific heat/density of the coolant, the distance from the inlet, etc., in order to achieve a desired cooling efficiency (Suzuki – [0022], [0072], [0122]).
It would have been obvious to a person of ordinary skill in the art, as of the effective filing date of the instant application, to discover the optimum range for the height of the second coolant path through routine experimentation in order to achieve a desired cooling efficiency (Suzuki – [0022], [0072], [0122]). It has been held that discovering an optimum value of a result effective variable involves only routine skill in the art. See MPEP 2144.05.
Claim 13 is rejected under 35 U.S.C. 103 as being unpatentable over Kitagawa (US 2015/0373783), Johnson (US 2003/0201069), Kim (US 2015/0027875), Koike (US 2002/0072240), and Kellogg (US 2012/0003836), as applied to claims 6, 9, 14-16, 18-20, and 23-24 above, and further in view of Strang (US 2004/0129226).
The limitations of claims 6, 9, 14-16, 18-20, and 23-24 are set forth above.
Regarding claim 13, modified Kitagawa does not teach the added limitations of the claim.
However, Strang teaches wherein a mounting table is supported on a flange via an O-ring (Strang – [0044] and Figs. 8A-B, compliant element #670 can comprise an O-ring).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to further modify the modified Kitagawa apparatus to comprise an O-ring seal as claimed in order to reduce the likelihood of structural damage to the focus ring (Strang – [0044]) or, in the case of modified Kitagawa, to protect the bottom surface of the second mounting table.
While modified Kitagawa does not explicitly teach at least two O-rings, such a difference amounts to a mere duplication of parts. It would have been obvious to one of ordinary skill in the art, as of the effective filing date of the instant application, to provide at least one additional O-ring since it has been held that a mere duplication of parts has no patentable significance unless a new and unexpected result is produced. See MPEP 2144.04.
Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Kitagawa (US 2015/0373783), Johnson (US 2003/0201069), Kim (US 2015/0027875), Koike (US 2002/0072240), and Kellogg (US 2012/0003836), as applied to claims 6, 9, 14-16, 18-20, and 23-24 above, and further in view of Wege (US 2007/0111339).
The limitations of claims 6, 9, 14-16, 18-20, and 23-24 are set forth above.
Regarding claim 17, modified Kitagawa does not teach the added limitations of the claim.
However, Wege teaches wherein the second mounting surface includes multiple regions (Wege – [0057] and Fig. 4, ring segments comprising #80a-d).
It would be obvious to one of ordinary skill in the art, before the effective filing date of the instant application, to further modify the modified Kitagawa apparatus to comprise multiple regions in order to more accurately adjust plasma distribution (Wege – [0058]).
While Wege does not teach a plurality of heaters in said segments, the Examiner notes Kitagawa does teach a focus ring heater (see claim 6 above). As such, the only difference between the claim and the prior art is a plurality of heaters.
It would have been obvious to one of ordinary skill in the art, as of the effective filing date of the instant application, to provide a plurality of heaters of modified Kitagawa since it has been held that a mere duplication of parts has no patentable significance unless a new and unexpected result is produced. See MPEP 2144.04.
As Wege teaches dividing the focus ring assembly into multiple segments, the only way a PHOSITA could incorporate the heater into the Wege assembly is by dividing it into parts, as well- thus meeting the limitations of the claim as a combination.
Response to Arguments
Applicant’s arguments concerning the §103 rejections of claims 6 and 24 have been carefully considered, but are not persuasive. The §103 rejections of all claims are maintained on substantially the same grounds with only minor changes to account for the most recent amendments.
First, the Examiner notes Kitagawa explicitly teaches the RF power supply as added to claim 1 (see at least par. [0026] of Kitagawa). Further, the Examiner notes the final limitation of the claims is merely an intended use of the apparatus, and has supplied a “capable of” statement explaining how the modified Kitagawa apparatus meets the limitation. Thus Applicant’s assertion that: “[t]hese combined features are neither disclosed nor suggested by the cited prior art” (Remarks, pg. 14) is not persuasive.
Turning to Applicant’s arguments concerning previous claims 11-12 and 21-22 (Remarks, pgs. 14-16), now incorporated into independent claims 6 and 24, Applicant’s arguments are not persuasive for at least the reasons that follow.
Regarding the “conducting part” (Remarks, pg. 14-15), the Examiner notes that the claim merely requires that the conducting part electrically connect the first and second mounting tables. The claim does not require where the conducting part must supply RF power from the first table to the second table, as argued by Applicant. Although the claims are interpreted in light of the specification, limitations from the specification are not read into the claims. See In re Van Geuns, 988 F.2d 1181, 26 USPQ2d 1057 (Fed. Cir. 1993).
Regarding Kellogg (Remarks, pg. 15), the Examiner notes the reference is exclusively relied upon to teach the conducting part, not the operation of the second mounting table. These features are taught by the Kitagawa, Johnson, and Koike references as combined herein. 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).
Regarding Kitagawa (Remarks, pg. 15), the Applicant has not sufficiently demonstrated that the monolithic structure of Kitagawa, made separable with the teachings of Johnson and Koike, fails to meet the limitations of the claim. As above, 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).
Applicant’s request for rejoinder of claim 25 is again noted, but is moot until such time when/if a claim is found to be 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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/Kurt Sweely/Primary Examiner, Art Unit 1718
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