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 1-17 in the reply filed on 18 March 2026 is acknowledged.
Claims 18-19 are withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to nonelected inventions, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the aforementioned reply.
Information Disclosure Statement
The information disclosure statement filed 2 September 2025 fails to comply with 37 CFR 1.98(a)(3)(i) because it does not include a concise explanation of the relevance, as it is presently understood by the individual designated in 37 CFR 1.56(c) most knowledgeable about the content of the information, of each reference listed that is not in the English language. It has been placed in the application file, but the lined-through information referred to therein has not been considered.
Claim Interpretation
The following is a quotation of 35 U.S.C. 112(f):
(f) Element in Claim for a Combination. – An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
The following is a quotation of pre-AIA 35 U.S.C. 112, sixth paragraph:
An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
The claims in this application are given their broadest reasonable interpretation using the plain meaning of the claim language in light of the specification as it would be understood by one of ordinary skill in the art. The broadest reasonable interpretation of a claim element (also commonly referred to as a claim limitation) is limited by the description in the specification when 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is invoked.
As explained in MPEP § 2181, subsection I, claim limitations that meet the following three-prong test will be interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph:
(A) the claim limitation uses the term “means” or “step” or a term used as a substitute for “means” that is a generic placeholder (also called a nonce term or a non-structural term having no specific structural meaning) for performing the claimed function;
(B) the term “means” or “step” or the generic placeholder is modified by functional language, typically, but not always linked by the transition word “for” (e.g., “means for”) or another linking word or phrase, such as “configured to” or “so that”; and
(C) the term “means” or “step” or the generic placeholder is not modified by sufficient structure, material, or acts for performing the claimed function.
Use of the word “means” (or “step”) in a claim with functional language creates a rebuttable presumption that the claim limitation is to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites sufficient structure, material, or acts to entirely perform the recited function.
Absence of the word “means” (or “step”) in a claim creates a rebuttable presumption that the claim limitation is not to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is not interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites function without reciting sufficient structure, material or acts to entirely perform the recited function.
Claim limitations in this application that use the word “means” (or “step”) are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action. Conversely, claim limitations in this application that do not use the word “means” (or “step”) are not being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action.
This application includes one or more claim limitations that do not use the word “means,” but are nonetheless being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, because the claim limitation(s) uses a generic placeholder that is coupled with functional language without reciting sufficient structure to perform the recited function and the generic placeholder is not preceded by a structural modifier. Such claim limitation(s) is/are: claim 1 source gas supply system which has been interpreted as a gas supply pipe, a mass flow controller (MFC) and a valve, and equivalents thereto, as set forth, e.g., in para. 25 of the specification; claim 1 inert gas supply system which has been interpreted as a gas supply pipe, a mass flow controller (MFC) and a valve, and equivalents thereto, as set forth, e.g., in para. 25 of the specification; claims 10 and 14 reactant gas supply system which has been interpreted as a gas supply pipe, a mass flow controller (MFC) and a valve, and equivalents thereto, as set forth, e.g., in para. 25 of the specification; claims 11 and 14 first cleaning gas supply system which has been interpreted as a gas supply pipe, a mass flow controller (MFC) and a valve, and equivalents thereto, as set forth, e.g., in para. 25 of the specification; claims 12 and 14 additive gas supply system which has been interpreted as a gas supply pipe, a mass flow controller (MFC) and a valve, and equivalents thereto, as set forth, e.g., in para. 25 of the specification; claim 13 second cleaning gas supply system which has been interpreted as a gas supply pipe, a mass flow controller (MFC) and a valve, and equivalents thereto, as set forth, e.g., in para. 25 of the specification.
Because this/these claim limitation(s) is/are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, it/they is/are being interpreted to cover the corresponding structure described in the specification as performing the claimed function, and equivalents thereof.
If applicant does not intend to have this/these limitation(s) interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, applicant may: (1) amend the claim limitation(s) to avoid it/them being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph (e.g., by reciting sufficient structure to perform the claimed function); or (2) present a sufficient showing that the claim limitation(s) recite(s) sufficient structure to perform the claimed function so as to avoid it/them being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph.
Claim Rejections - 35 USC § 102
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.
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claim(s) 1-4, 6-8, 10-14 and 16-17 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by U.S. Patent Pub. No. 2014/0287594 to Terasaki et al.
Regarding claim 1: Terasaki et al. disclose a substrate processing apparatus, comprising: a process container (see, e.g. Figs. 1-3 and 11; inside volume of 16, 18 and 100) accommodating a substrate; a first nozzle (40a) including a side surface in which a first discharge opening (any one of 48a) is formed, the first discharge opening directed toward a substrate arrangement region (region capable of accommodating array of 24) where the substrate is arranged in the process container; a second nozzle (340b) including a side surface in which a second discharge opening (e.g., 342b and 344b) directed toward at least one of a portion of the side surface of the first nozzle in a range different from a range where the first discharge opening is formed (see, e.g., 342b or 344b) and a space between the portion in the range different from the range wherein the first discharge opening is formed and an inner wall surface of the process container (see, e.g., any one of 344b); a source gas supply system (a gas supply pipe 42a and 52a, a mass flow controller (MFC) 44a and 54a, and a valve 46a and 56b) configured to supply a source gas into the process container via the first nozzle; and an inert gas supply system (a gas supply pipe 52b and 62b, a mass flow controller (MFC) 54b and 64b, and a valve 56b and 66b) configured to supply an inert gas into the process container via the second nozzle. Regarding intended use, Examiner notes that the courts have ruled 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. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987); and expressions relating the apparatus to contents thereof during an intended operation are of no significance in determining patentability of the apparatus claim. Ex parte Thibault, 164 USPQ 666, 667 (Bd. App. 1969).
With respect to claim 2, Terasaki et al. disclose the apparatus capable of supporting a plurality of substrates including the substrate in the substrate arrangement at a predetermined interval in a direction perpendicular to surface of the substrate (using boat 28); and wherein the first nozzle and the second nozzle are provided along an arrangement direction of the plurality of substrates at positions adjacent to each other along a circumferential direction of the substrate.
With respect to claim 3, in Teraski et al., the second discharge opening is formed so as to discharge the inert gas toward a portion of the side surface of the first nozzle being opposite, in a radial direction of the first nozzle, to the range where the first discharge opening is formed. See aforementioned second discharge openings 344b in Fig. 11.
With respect to claim 4, in Teraski et al., the second nizzle does not include a discharge opening at a position facing the substrate arrangement region. See, e.g., Fig. 11.
With respect to claim 6, Terasaki et al. disclose the apparatus further disclose a controller (200; also see, e.g., paras. 98-106) configured to be capable of controlling the source gas supply system and the inert gas supply system so as to supply the inert gas and the source gas into the process container. Examiner noted that language “controller capable of” is not interpreted as the controller being programmed to control any specific method limitations and/or results, rather limitations which the controller is capable of performing are considered intended use, wherein the courts have ruled XX.
With respect to claim 7, Terasaki et al. disclose the apparatus capable of supporting a plurality of substrates including the substrate in the substrate arrangement at a predetermined interval in a direction perpendicular to surface of the substrate (using boat 28); and wherein the second nozzle includes an upper discharge opening (342b) that is opened to be directed toward a space above the substrate arrangement direction.
With respect to claim 8, in Terasaki et al, the upper discharge opening is formed in distal end of the second nozzle. See, e.g., Fig. 11.
With respect to claim 10, in Terasaki et al., the apparatus may further comprise a third nozzle (e.g. 40c) including a side surface in which a third discharge opening (e.g., one of 48c) is formed; a reactant gas supply system (a gas supply pipe 42d, a mass flow controller (MFC) 44d, and a valve 46d) configured to supply a reactant gas into the process container via the third nozzle; and a controller (200; also see, e.g., paras. 98-106) configured to be capable of controlling the source gas supply system, the reactant gas supply system, and the inert gas supply system so as to perform processing of forming a film on the substrate to be accommodated in the process container by performing a cycle a predetermined number of times. Examiner notes that language “controller to be capable of” is not interpreted as the controller being programmed to control any specific method limitations and/or results, rather limitations which the controller is capable of performing are considered intended use, wherein the courts have ruled 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. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987); expressions relating the apparatus to contents thereof during an intended operation are of no significance in determining patentability of the apparatus claim. Ex parte Thibault, 164 USPQ 666, 667 (Bd. App. 1969).
With respect to claim 11, Terasaki et al., further disclose a first cleaning gas system (a gas supply pipe 42a, a mass flow controller (MFC) 44a, and a valve 46a OR a gas supply pipe 62b, a mass flow controller (MFC) 64B, and a valve 66b) configured to supply a first cleaning gas to one of the first nozzle and the second nozzle.
With respect to claim 12, Terasaki et al., further disclose an additive gas supply system (a gas supply pipe 62a, a mass flow controller (MFC) 64, and a valve 66a) to supply an additive gas that is capable of reacting with the first cleaning gas to another nozzle (40c) different from the one of the first nizzle and the second nozzle.
With respect to claim 13, Terasaki et al., further disclose second cleaning gas supply system (a gas supply pipe 62a, a mass flow controller (MFC) 64, and a valve 66a) to supply a second cleaning gas to another nozzle (40c) different from the one of the first nozzle and the second nozzle. Regarding intended use, 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. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987); and expressions relating the apparatus to contents thereof during an intended operation are of no significance in determining patentability of the apparatus claim. Ex parte Thibault, 164 USPQ 666, 667 (Bd. App. 1969).
With respect to claim 14, Terasaki et al., may further comprise a third nozzle (e.g. 40c) including a side surface in which a third discharge opening (e.g., one of 48c) is formed; a reactant gas supply system (a gas supply pipe 42d, a mass flow controller (MFC) 44d, and a valve 46d) configured to supply a reactant gas into the process container via the third nozzle; a first cleaning gas supply system (a gas supply pipe 62b, a mass flow controller (MFC) 64b, and a valve 66b) configured to supply a first cleaning gas to any one of the first nozzle, the second nozzle and the third nozzle (in this case the second nozzle); and an additive gas supply system (a gas supply pipe 42c, a mass flow controller (MFC) 44c, and a valve 46c) configured to supply an additive gas that is capable of reacting with the first cleaning gas to another nozzle (in this case the third nozzle) different from the second nozzle. Regarding intended use, Examiner notes that the courts have ruled 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. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987); and expressions relating the apparatus to contents thereof during an intended operation are of no significance in determining patentability of the apparatus claim. Ex parte Thibault, 164 USPQ 666, 667 (Bd. App. 1969).
With respect to claim 16, in Terasaki et al., the apparatus may further comprise a sixth nozzle (e.g. 40c) including a side surface in which a sixth discharge opening (e.g., one of 48c) is formed, the sixth discharge opening directed toward the substrate arrangement region; wherein in the side surface of the second nozzle a seventh discharge opening (see aforementioned second discharge openings 344b in Fig. 11.) is further formed, the seventh discharge opening directed toward at least one of a portion of the side surface of the sixth nozzle in a range different from where the sixth discharge opening is formed and a space between the portion in the range different from the range where the sixth discharge opening is formed and the inner wall surface of the process container; and the source gas supply system further comprises (a gas supply pipe 42d, a mass flow controller (MFC) 44d, and a valve 46d) such that it is configured to supply a source gas into the process container via the first nozzle and the sixth nozzle.
With respect to claim 17, in Terasaki et al., the apparatus may further comprise in the side surface of the second nozzle, an eighth discharge opening (e.g., a lower one of 344b in Fig. 11) is formed, the eighth discharge opening directed in a portion of the side surface in a range different from a range facing the substrate arrangement different from a range where the second discharge opening is formed.
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 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.
Claim(s) 5 is/are rejected under 35 U.S.C. 103 as being unpatentable over Terasaki as applied to claims 1-4, 6-8, 10-14 and 16-17 above in view of JP Patent Pub. No. 2016-122691 to Murata et al.
Terasaki et al. disclose the apparatus substantially as claimed and as described above.
However, Terasaki et al. fails disclose the second nozzle is configured to be detachable with respect to the process container.
Murata et al. disclose by making a nozzle detachable so that can be detached and maintained and particle generated from the nozzle may be suppressed (see translation).
Thus, it would have been obvious to one of ordinary skill in the art before Applicant’s invention was effectively filed to have provided the second nozzle is detachable for the purpose of maintaining the same and suppressing particle generation as taught by Murata et al.
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Terasaki as applied to claims 1-4, 6-8, 10-14 and 16-17 above in view of U.S. Patent Pub. No. 2019/0186014 to Kikama et al.
Terasaki et al. disclose the apparatus substantially as claimed and as described above.
However, Terasaki et al. fail to disclose an opening area of the upper discharge opening of the second nozzle is larger than an opening area of the second discharge opening of the second nozzle.
Kikama et al. disclose a nozzle (e.g., 76, 78, 80) having an opening area of an upper discharge opening (e.g. 76C) of the nozzle is larger than an opening area of a second discharge opening (e.g., 76B) of the second nozzle for the purpose of preventing a film from residing on a process container (44B) (see, e.g., paras. 40-51 and 63-65, wherein the following relative opening area relationships are disclosed: 76B<76A; 76C>76A resulting in 76C>76A). Examiner also notes that the courts have ruled Where the general conditions of a claim are disclosed in the prior art, it is not inventive to discover the optimum or workable ranges by routine experimentation. In re Aller, 220 F.2d 454, 456, 105 USPQ 233, 235 (CCPA 1955).
Thus, it would have been obvious to one of ordinary skill in the art before Applicant’s invention was effectively filed to have provided in Terasaki et al. the upper discharge opening of the second nozzle is larger than an opening area of the second discharge opening of the second nozzle in order to of prevent a film from residing on the process container as taught by Kikama et al.
Claim(s) 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Terasaki as applied to claims 1-4, 6-8, 10-14 and 16-17 above in view of JP Pub. No. 2000-058530 to Nishida et al. in view of U.S. Patent Pub. No. 2009/0087964 to Maeda et al.
Terasaki et al. disclose the apparatus substantially as claimed and as described above.
However, Terasaki et al. fail to disclose a fourth nozzle including a side surface in which a fourth discharge opening is formed, the fourth discharge opening directed toward the substrate arrangement region; and a fifth nozzle including a side surface in which a fifth discharge opening is formed, the fifth discharge opening directed toward at least one of a portion of the side surface of the fourth nozzle in a range different from a range where the fourth discharge opening is formed and a space between the portion in the range different from the range where the fourth discharge opening is formed and the inner wall surface of the process container; wherein, the source gas supply system is configured to supply the source gas into the process container via the first nozzle and the fourth nozzle; and the inert gas supply system is configured to supply the inert gas into the process container via the second nozzle and the fifth nozzle.
The fourth nozzle and the fifth nozzle as described above, essentially describe a duplication of the first nozzle and the second nozzle, wherein the courts have ruled that the mere duplication of parts has no patentable significance unless a new and unexpected result is produced. In re Harza, 274 F.2d 669, 124 USPQ 378 (CCPA 1960).
Additionally, Nishida et al. disclose providing one or two or more nozzles for supplying an inert purge gas and/or a self-cleaning gas to a process container for the purpose of performing a pressure-control operation in the process container and/or a self-cleaning operation of the process container and/or supplying process gases to the process container (see translation).
Maeda et al. disclose what would be obvious to one of ordinary skill in the art exercising ordinary creativity, common sense and logic, but is not explicitly disclosed in Teraski et al. or Maeda et al., gas supply systems including single sources of gases each provided to supply a plurality of nozzles with gases (e.g., processing/deposition/inert/cleaning gases) to a plurality of nozzles (e.g., 41-51) that are capable of and intended to provide more than one gas (as an alternative to providing individual gas sources for each of the nozzles) for the purpose of providing a streamlined gas supply system connected to a plurality of nozzles intend to supply appropriate deposition gases, inert gases and cleaning gases to a process container (202) (see, e.g., Figs. 1-3 and paras. 34-57).
Thus, it would have been obvious to one of ordinary skill in the art before Applicant’s invention was effectively filed to have duplicated the first and second nozzles to provide fourth and fifth nozzles as claimed connected to the source gas supply system and the inert gas supply system, respectively, in order to provide a streamlined gas supply system connected the first, second, third and fourth nozzles to supply appropriate deposition gases, inert gases and cleaning gases to the process container as taught by Nishida et al. and Maeda et al.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US Patent Pubs. No. 2005/0045102; 2020/0211866; 2021/0062335 and JP Pub. Nos. 2000021795 and 3423254 disclose elongated nozzles configurations with various discharge opening configurations.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to KARLA MOORE whose telephone number is (571)272-1440. The examiner can normally be reached Monday-Friday, 9am-6pm EST.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, PARVIZ HASSANZADEH can be reached at (571) 272-1435. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/KARLA A MOORE/Primary Examiner, Art Unit 1716
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