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 .
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claims 1-17 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.
In claim 1, lines 19-22, the phrase “having an increased surface roughness” introduces a relative term “increased” that renders the metes and bounds of the claim unclear. Relative to what is the surface roughness increased? Relative to not removing residue [0051], or not conducting oxidizing [0056], removing a native oxide [0010], a combination of these steps, or relative to some other conventional technology step [0011]?
In claim 12, line 11, the term “thermal treatment” renders the metes and bounds of the claim unclear. What comprises a thermal treatment? Room temperature is a thermal treatment compared to processing at temperatures lower than room temperature. The specification does not use the term “thermal treatment” so it is unclear what steps are needed for thermal treatment. Moreover, the specification at paragraph 54 seems to equate “plasma-free” treatment with “thermal post-treatment.” Is a plasma-free treatment also a thermal treatment? The specification describes temperature ranges for the process conditions [0059], but examples from the specification do not limit the claim scope. It is therefore unclear what temperature range is contemplated by applicant’s use of the term “thermal treatment.”
In claim 13, the term “the first average surface roughness” lacks proper antecedent basis.
Claims 2-11 and 14-17 fail to cured the indefiniteness of the base claims, and are therefore also rejected.
Claim Rejections - 35 USC § 103
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.
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1-8 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Takahashi et al (US 2021/0082710 A1) in view of Zhao et al (US 2024/0194487 A1) and Zhang et al (US 2021/0066085 A1).
Takahashi ’710 discloses a semiconductor processing method comprising:
providing a pre-treatment precursor (124, Fig. 5; “H2O, NH3, alcohol or the like” [0065]) to a processing of a remote plasma system (120 [0050] Fig. 5) of a semiconductor processing chamber 61 [0050];
generating plasma effluents (hydrogen radicals, [0065]) of the pre-treatment precursor in the remote plasma system;
flowing plasma effluents of the pre-treatment precursor to a processing region of the semiconductor processing chamber, wherein a substrate W comprising alternating layers of material (“Si/SiGe layers alternatingly stacked on a wafer W” [0023]) is disposed within the processing region (as depicted in Fig. 5), and wherein the alternating layers of material comprise a silicon-and-germanium-containing material [0023];
contacting the substrate with the plasma effluents of the pre-treatment precursor, wherein the contacting removes a residue (“D” Fig. 2B) from a surface of the silicon-and-germanium-containing material (“causing the hydrogen radicals in the generated plasma to act on the residuals D remaining on the arrangement surface Wn of the wafer W after the BT processing” [0065]);
etching the silicon-and-germanium-containing material [0070].
The resulting structure of Takahashi ’710 is a stack of Si and SiGe layers that have SiGe etched and recessed with respect to the Si layers (see Fig. 1, reproduced below). Takahashi ’710 fails to disclose a post-treatment after obtaining this resulting structure.
Zhao teaches a method that controls the amount of SiGe removed in amounts that are aligned uniformly [0064]. Zhao teaches to alternately and repeatedly oxidize and then remove the oxidized portion to obtain the desired removal amount [0064]. More specifically, Zhao teaches:
providing a post-treatment precursor (oxygen gas [0062]) to the processing region 313 [0062] of the semiconductor processing chamber 301 (Fig.3);
generating plasma effluents 504 of the post-treatment precursor in the processing region (“The oxygen plasma 504 is generated in the decompression chamber lower area 313” [0062]);
contacting the substrate with the post-treatment precursor, wherein the contacting oxidizes a portion of the silicon-and-germanium-containing material 506 (Fig.5C, [0062]); and
removing the portion of the silicon-and-germanium-containing material (Step 603b, [0063]).
The removal of the oxidized portion of the SiGe is uniform in the depth direction of the grooves 510 [0063]. The amount removed depends on the number of repeated cycles [0064].
It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide post-treatment as taught by Zhao in the method of Takahashi ’710 because Zhao teaches that oxidizing and removal of the oxide provides for uniform removal to a desired depth by controlling the number of cycles, which is expected to increase the yield of the final device by providing structures with desired dimensions with respect to the etched amount of SiGe.
As to amended claim 1, Takahashi ’710 fails to disclose an increased surface roughness. However, this “increased” surface roughness, as best understood, is the result of removing residue ([0051] of the instant specification) or oxidation [0058], or both. The modified method of Takahashi ’710 teaches both removing residue and oxidation, and thus is expected to remove increased surface roughness areas, as cited, inherently because where the same steps are conducted, the same results are expected.
In the alternative, Zhang teaches that oxidizing a surface and then etching provides for a surface with improved surface roughness [0022]. The method of Takahashi ’710 as modified by Zhao oxidizes a surface and then etches to remove the oxidized surface (see rejection above). Accordingly, it would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to oxidize and remove silicon-and-germanium-containing materials to a desired depth, thus providing improved surface roughness as cited in the modified method of Takahashi ’710 because Zhang teaches that oxidizing and etching improves surface roughness.
As to claim 2, Takahashi ’710 discloses that the pre-treatment precursor comprises a hydrogen-containing precursor, nitrogen-containing precursor, or an oxygen-containing precursor (H2O, NH3 [0065]).
As to claim 3, Takahashi ’710 discloses a plasma power is maintained at 300 W to 1000 W [0067], which is less than or about 5,000 W, as cited.
As to claim 4, Takahashi ’710 discloses providing an inert precursor with the pre-treatment precursor (helium may be included with the reducing gas [0056]).
As to claim 5, Zhao teaches that the post-treatment precursor comprises molecular oxygen O2 [0062]. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to include molecular oxygen O2 in the modified method of Takahashi ’710 because Zhao teaches that this is a useful gas to provide oxidation, and such is expected to give the predictable result of an oxidized surface.
As to claim 6, both Takahashi ’710 and Zhao disclose the alternating layers of material comprise a silicon-containing material (Si/SiGe, see rejection of claim 1).
As to claim 7, Takahashi ’710 discloses that the residue comprises a carbon-containing material [0065].
As to claim 8, it would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited temperature range in the modified method of Takahashi ’710 because Yang ’280 teaches that it is a useful temperature range for radical irradiation and such is expected to give the predictable result of removed residue. Still further, the temperature can be optimized for best results. MPEP 2144.05, II. A.
As to claim 11, see the discussion of surface roughness from claim 1, which also applies here. Zhao fails to disclose the average surface roughness of the silicon-and-germanium-containing material. However, it would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited surface roughness because the same steps are conducted, and therefore the same results are expected, and because Zhang teaches to expect improved surface roughness.
Claim 9 is rejected under 35 U.S.C. 103 as being unpatentable over Takahashi et al (US 2021/0082710 A1), Zhao et al (US 2024/0194487 A1) and Zhang et al (US 2021/0066085 A1), as applied to claim 1, and further in view of Yang et al (2016/0064519 A1).
As to claim 9, Takahashi ’710 fails to disclose that the pressure within the processing region of the semiconductor processing chamber. Yang ’519 teaches that during hydrogen radical treatment with a remove plasma, that the chamber pressure is less than 5 Torr [0066]. Yang ’519 is used as a general teaching of useful pressures in processing regions while using hydrogen radicals produced in a remote chamber. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited pressure in the modified method of Takahashi ’710 because Yang ’519 teaches that such is a useful pressure range from hydrogen radical processing, and such is expected to give the predictable result of a treated surface.
Claims 12, 15 and 18 are rejected under 35 U.S.C. 103 as being unpatentable over Zhao et al (US 2024/0194487 A1).
As to claim 12, Zhao discloses a semiconductor processing method comprising:
etching a silicon-and-germanium-containing material 503 from a substrate 502 (as depicted in Fig. 5B, to form groove 510, [0060]) disposed within a processing region of a semiconductor process chamber, wherein the silicon-and-germanium-containing material is one material of one or more alternating layers of material 502 on the substrate [0058], (and wherein the silicon-and-germanium-containing material is characterized by a first average surface roughness (Ra) (inherently));
providing a treatment precursor (oxygen radicals, “radical irradiation” [0052], [0067] oxidation process 603a) to the processing region 313 [0062] of the semiconductor processing chamber 301 (Fig.3);
contacting the substrate with the treatment precursor, wherein the contacting oxidizes a portion of the silicon-and-germanium-containing material (Fig.9B, [0062], “at Step 603a, radical irradiation may be used” [0067]), and wherein the contacting is, broadly interpreted, a thermal treatment (and also plasma-free by radical irradiation [0052]); and
removing the portion of the silicon-and-germanium-containing material (Step 603b, [0063]).
As to claim 15, Zhao discloses molecular oxygen [0062].
As to claim 18, Zhao discloses a semiconductor processing method comprising:
etching a silicon-and-germanium-containing material 503 from a substrate 502 (as depicted in Fig. 5B, to form groove 510, [0060]) disposed within a processing region of a semiconductor process chamber, wherein the silicon-and-germanium-containing material is one material of one or more alternating layers of material 502 on the substrate [0058];
providing a treatment precursor (oxygen radicals, “radical irradiation” [0052], [0067] oxidation process 603a) to the processing region 313 [0062] of the semiconductor processing chamber 301 (Fig.3);
contacting the substrate with the treatment precursor for a period of time of between 30-60 seconds (as depicted in Fig. 9B, this is the point at which the SiGe oxide film becomes saturated [0067]), which is within the cited range and therefore anticipatory, wherein the contacting oxidizes a portion of the silicon-and-germanium-containing material (Fig.9B, [0062], “at Step 603a, radical irradiation may be used” [0067]),
removing the portion of the silicon-and-germanium-containing material (Step 603b, [0063]).
Zhao halts the flow of treatment precursor, inherently, because the oxidizing precursors (oxygen O2) [0062] are different from the gases used to remove (C4F8 and CF3) [0063].
Claims 13, 19 and 21 are rejected under 35 U.S.C. 103 as being unpatentable over Zhao et al (US 2024/0194487 A1).
As to claim 13, Zhao fails to disclose the average surface roughness of the silicon-and-germanium-containing material. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited improved surface roughness in the method of Zhao because the same steps are conducted and therefore the same results are expected.
As to claim 19, Zhao teaches that plasma irradiation and radical irradiation may be conducted in different chambers [0073], which encompasses transferring a substrate to a second processing region of a second semiconductor processing chamber. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to transfer as cited after halting flow of the precursor in the method of Zhao because Zhao recognizes that different process steps may be performed in difference chambers, which is expected to allow for dedicated chambers for each step to optimize process flow.
As to claim 21, Zhao discloses contacting the substrate with the treatment precursor for a period of time of between 30-60 seconds (as depicted in Fig. 9B, this is the point at which the SiGe oxide film becomes saturated [0067]). This endpoint touches the cited range. A prima facie case of obviousness exists where the claimed ranges and prior art ranges do not overlap but are close enough that one skilled in the art would have expected them to have the same properties. MPEP 2144.05 I. Here, the treatment precursor is expected to have the same properties of oxidizing the surface because the same materials and compositions are present. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited contact time in the method of Zhao in order to optimize the process for best results of oxidation.
Claim 16 is rejected under 35 U.S.C. 103 as being unpatentable over Zhao et al (US 2024/0194487 A1), as applied to claim 12, and further in view of Yang et al (US 2019/0103280 A1).
As to claim 16, Yang ’280 teaches providing an inert precursor (helium, argon, xenon, [0026]) with the treatment precursor. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to include an inert precursor in the method of Zhao because Yang ’280 teaches that to so is useful and such is expected to give the predictable result of a treated surface.
Claim 14 is rejected under 35 U.S.C. 103 as being unpatentable over Zhao et al (US 2024/0194487 A1) in view of Yang et al (US 2019/0103280 A1) and Yang et al (2016/0064519 A1).
As to claim 14, Zhao fails to disclose the temperature within the processing region of the semiconductor processing chamber.
Yang ’280 teaches to control a wafer temperature within the range of 20 °C and 400 °C [0063]. More specifically, Yang ’280 teaches providing a substrate 54 with Si and SiGe thin films 53 and a carbon-containing layer 52 [0022], Fig. 1; generating radicals (the organic radical based surface treatment process, [0026]) by inducing a plasma [0026] in a remote plasma chamber and filtering ions by a separation grid and allowing passage of neutrals through holes in the separation grid for exposure to the workpiece [0027], [0031].
Yang ’280 teaches a broad temperature range at which radical treatment is effective. Thus, Yang ’280 is a general teaching that hydrogen radical treatment may be conducted at a temperature range of 20 °C to 400 °C, which encompasses the cited temperature range.
It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited temperature range in the method of Zhao because Yang ’280 teaches that it is a useful temperature range for radical treatment and such is expected to give the predictable result of a treated surface. Still further, the temperature can be optimized for best results. MPEP 2144.05, II. A.
Still further as to claim 14, Zhao fails to disclose that the pressure within the processing region of the semiconductor processing chamber. Yang ’519 teaches that during hydrogen radical treatment with a remove plasma, that the chamber pressure is less than 5 Torr [0066]. Yang ’519 is used as a general teaching of useful pressures in processing regions while using hydrogen radicals produced in a remote chamber. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide the cited pressure in the modified method of Zhao because Yang ’519 teaches that such is a useful pressure range from hydrogen radical processing, and such is expected to give the predictable result of a treated surface.
Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable Zhao et al (US 2024/0194487 A1), as applied to claim 12, and further in view of Zheng et al (US 2016/0079062 A1).
As to claim 17, Zhao fails to disclose to remove a native oxide layer. Zheng teaches that hydrogen radicals and/or energetically excited neutral species of hydrogen removes native oxides from Si or SiGe [0039]. Zheng also teaches that before processing substrates with Si and SiGe [0005], to clean the substrate 204 [0040] to remove native oxides of Si and SiGe by plasma etching [0041] or a high temperature bake process [0044]. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to remove native oxides as cited in the modified method of Zhao because Zheng teaches that hydrogen radicals of Zhao remove native oxides, or still further that it is a useful to remove native oxides as part of a cleaning process prior to processing, which is expected to improve the properties of the final device.
Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Zhao et al (US 2024/0194487 A1), as applied to claim 18, and further in view of Zheng et al (US 2016/0079062 A1).
As to claim 20, Zhao fails to disclose to remove a native oxide layer. Zheng teaches that hydrogen radicals and/or energetically excited neutral species of hydrogen removes native oxides from Si or SiGe [0039]. Zheng also teaches that before processing substrates with Si and SiGe [0005], to clean the substrate 204 [0040] to remove native oxides of Si and SiGe by plasma etching [0041] or a high temperature bake process [0044]. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to remove native oxides as cited in the method of Zhao because Zheng teaches that hydrogen radicals of Zhao remove native oxides, or still further that it is a useful to remove native oxides as part of a cleaning process prior to processing, which is expected to improve the properties of the final device.
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 1-9 and 11-20 are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1-20 of copending Application No. 18/112,252 in view of Zhao et al (US 2024/0194487 A1) and Zhang et al (US 2021/0066085 A1).
Claim 1 of the ’252 application is nearly identical to the first four steps cited in claim 1 of the instant invention because a “treatment precursor” has the same meaning as a “pre-treatment precursor.” However, the ’252 application fails to disclose the final four steps of etching, providing, generating, contacting and removing. The discussion of Zhao and Zhang from above is repeated here. It would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to provide post-treatment as taught by Zhao in the method of the ’252 application because Zhao teaches that oxidizing and removal of the oxide provides for uniform removal, which is expected to increase the yield of the final device by providing structures with desired dimensions with respect to the etched amount of SiGe, and provide the cited surface roughness as taught by Zhang.
This is a provisional nonstatutory double patenting rejection.
Response to Amendment
Claims 1-9 and 11-20 are provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1-20 of copending Application No. 18/112,252 in view of Zhao et al (US 2024/0194487 A1).
The rejections from the office action mailed on Oct. 22, 2025, have been modified in view of the claim amendments, but remain largely the same. Reliance upon Yang et al (US 2019/0103280 A1) is withdrawn in view of the deletion of temperature ranges from claim 1. Zhang et al (US 2021/0066085 A1) is newly relied upon to teach the obviousness of improved surface roughness with oxidizing and etching.
Response to Arguments
Applicant's arguments filed February 23, 2026, have been fully considered but they are not persuasive, to the extent they still apply.
Applicant argues with respect to the amendment to claim 1 that rougher portions may be oxidized to a grater degree, and roughness may be improved. Firstly, this amendment to the claim is unclear in scope, as explained in the 35 USC 112 rejection above, so it is difficult to understand how to reject the claim. However, as best understood, the improved surface roughness, as explained in the specification, is due to removing the residue or the oxidation/etching process. The modified method of Takahashi ’710 teaches all these steps, and is thus expected to also have “improved” surface roughness by removing as cited. Please see the rejection above, especially the teachings of newly applied Zhang et al (US 2021/0066085 A1). The same arguments and response hold for claim 11, as explained in the rejection.
As to claim 12, the term “thermal treatment” is not used or defined in the specification. As explained above in the rejection above, Zhao is expected to have a thermal treatment because a plasma-free treatment is, broadly interpreted, a thermal treatment.
As to claim 18, Zhao discloses a saturation time period, which is less than five minutes, and thus within the claimed range. Please see the rejection above for a more detailed explanation.
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 ANITA K ALANKO whose telephone number is (571)270-0297. The examiner can normally be reached Monday-Friday, 9 am-5pm.
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/ANITA K ALANKO/Primary Examiner, Art Unit 1713
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