Detailed Correspondence
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 .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 07/30/2026 has been entered.
Response to Amendment
Applicants’ submission, filed on 07/30/2026, in response to claims 1-18 and 21-22 rejection from the final office action (05/21/2026), by amending claims 1, 13-14, and 21-22 is entered and will be addressed below.
Claim Interpretations
The “An edge assembly used for a plasma etching system“, an edge assembly that is capable of performing plasma etching is considered read into this portion of claim 1.
It has been held that claim language that simply specifies an intended use or field of use for the invention generally will not limit the scope of a claim (Walter, 618 F.2d at 769, 205 USPQ at 409; MPEP 2106). Additionally, in apparatus claims, intended use must result in a structural difference between the claimed invention and the prior art in order to patentably distinguish the claimed invention from the prior art. If the prior art structure is capable of performing the intended use, then it meets the claim (In re Casey, 152 USPQ 235 (CCPA 1967); In re Otto, 136 USPQ 458, 459 (CCPA 1963); MPEP2111.02). When the structure recited in the reference is substantially identical to that of the claims, claimed properties or functions are presumed to be inherent (In re Best, 562 F.2d 1252, 1255, 195 USPQ 430, 433 (CCPA 1977); MPEP 2112.01).
The “a lower step portion proximate to the edge portion of the mounting platform” and “an upper step portion distal to the edge portion of the mounting platform” is considered a comparison between the lower step and the upper step, therefore, it is not rejected by 112(b) as being relative terms.
Claim Rejections - 35 USC § 103
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 1-12, 14-18, and 21 are rejected under 35 U.S.C. 103 as being unpatentable over Lin et al. (US 20210249232, hereafter ‘232), in view of VISHWANATH (US 20200234928, hereafter ‘928).
‘232 teaches some limitations of:
Claim 1: the apparatus for etching 100 further includes at least a ring assembly 128 disposed in the chamber 102 and an edge ring 130 disposed over the ring assembly 128 and the pedestal 106 (Fig. 1, [0028], includes the claimed “An edge assembly used for a plasma etching system, the edge assembly comprising: a mounting platform including a main body having a mounting surface and an extension extending from the main body; a focus ring peripherally surrounding an edge portion of the main body of the mounting platform mounted in the plasma etching system, the focus ring comprising”):
the edge ring 130 includes a first portion 132a and a second portion 132b coupled to the first portion 132a (Fig. 2, [0029], includes the claimed “a lower step portion proximate to the edge portion of the mounting platform, the lower step portion extending vertically from a bottom surface of the focus ring to a lower step top surface; and an upper step portion distal to the edge portion of the mounting platform, the upper step portion extending vertically from the bottom surface of the focus ring to an upper step top surface and extending radially from an upper step inner side to an upper step outer side, wherein the lower step portion and the upper step portion are connected at the upper step inner side”);
FIG. 4 is an enlarged view of the edge ring 130 according to aspects of one or more embodiments of the present disclosure. In some embodiments, the edge ring 130 further includes a third portion 132c received in the recess … the third portion 132c can include air matter … ([0034], includes the claimed “wherein the focus ring is characterized by an air gap located in the upper step portion, the air gap extending peripherally along a circumference of the focus ring”, see also Fig. 6A).
Claim 14: the apparatus for etching 100 further includes at least a ring assembly 128 disposed in the chamber 102 and an edge ring 130 disposed over the ring assembly 128 and the pedestal 106 (Fig. 1, [0028], includes the claimed “An edge assembly used for a plasma etching system, the edge assembly comprising: a focus ring peripherally surrounding an edge portion of a mounting platform mounted in the plasma etching system, the focus ring comprising”):
the edge ring 130 includes a first portion 132a and a second portion 132b coupled to the first portion 132a (Fig. 2, [0029]), FIG. 6A is a top view of an edge ring 130 according to aspects of one or more embodiments of the present disclosure ([0037], Fig. 6A shows the edge ring 130 is annular, includes the claimed “an upper step portion, wherein the upper step portion is annular and extends vertically from a bottom surface of the focus ring to an upper step top surface”),
FIG. 4 is an enlarged view of the edge ring 130 according to aspects of one or more embodiments of the present disclosure. In some embodiments, the edge ring 130 further includes a third portion 132c received in the recess … the third portion 132c can include air matter … ([0034], includes the claimed “and wherein the upper step portion is characterized by a cavity extending peripherally along a circumference of the upper step portion, and wherein the cavity is characterized by a cavity bottom surface coplanar with the bottom surface of the focus ring”, see also Fig. 6A).
Claim 21: The apparatus for etching 100 includes a chamber 102 (Fig. 1, [0019], 2nd sentence, includes the claimed “A plasma etching system, comprising: an etching chamber”);
the apparatus for etching 100 further includes at least a ring assembly 128 disposed in the chamber 102 and an edge ring 130 disposed over the ring assembly 128 and the pedestal 106 (Fig. 1, [0028], includes the claimed “a mounting platform within the etching chamber; and an edge assembly peripherally surrounding the mounting platform, the edge assembly comprising: a focus ring having a body”),
the edge ring 130 includes a first portion 132a and a second portion 132b coupled to the first portion 132a (Fig. 2, [0029], includes the claimed “comprising an upper step portion and a lower step portion”),
FIG. 4 is an enlarged view of the edge ring 130 according to aspects of one or more embodiments of the present disclosure. In some embodiments, the edge ring 130 further includes a third portion 132c received in the recess … the third portion 132c can include air matter … ([0034], includes the claimed “wherein the upper step portion defines a hollow channel extending circumferentially therein”, see also Fig. 6A).
‘232 does not teach the other limitations of:
Claim 1: (1A) a support ring disposed on the extension of the mounting platform;
(a focus ring peripherally surrounding an edge portion of the main body of the mounting platform mounted in the plasma etching system) and held by the support ring,
(1B) a cover ring peripherally surrounding the focus ring and a portion of the support ring.
Claim 12: further comprising: an enclosure ring peripherally surrounds the mounting platforms,
wherein the support ring is disposed partially on the extension of the mounting platform and partially on the enclosure ring.
Claim 14: (14A) a support ring;
(a focus ring peripherally surrounding an edge portion of a mounting platform mounted in the plasma etching system) and attached to the support ring,
(14B) and an actuator attached to the support ring and operable to move the support ring and the focus ring vertically; and
(14C) a cover ring peripherally surrounding the focus ring and at least a portion of the support ring.
Claim 21: (21A) an enclosure ring peripherally surrounding the mounting platform; and
(21B) a support ring disposed under the focus ring, wherein the focus ring is attached to the support ring, and the support ring is disposed partially on the mounting platform and partially on the enclosure ring; and
(21C) a cover ring disposed on the enclosure ring, wherein the cover ring peripherally surrounds the focus ring and at least a portion of the support ring.
‘928 is analogous art in the field of SEMICONDUCTOR PLASMA PROCESSING EQUIPMENT WITH WAFER EDGE PLASMA SHEATH TUNING ABILITY (title), a biasable edge ring is sometimes provided proximate to the wafer edges ([0003], 4th sentence). ‘928 teaches that In other embodiments, such as that shown in FIG. 6A, 6B, and 6C, the edge ring 230 may comprise a stack of an upper edge ring 602 and a middle edge ring 604. The upper edge ring 602 may be consumable and the middle edge ring 604 may be non-consumable ([0055], the middle edge ring 604 corresponds to the claimed “support ring” and the upper edge ring reads into “a focus ring … held by the support ring” as shown in Figs. 6A-6C), for the purpose of a small number of consumable parts ([0005]). Note also Figs. 6A-6C also shows “a main body having a mounting surface and an extension extending from the main body” and Fig. 3B shows “a lower step … an upper step” except there is no air gap extending peripherally along a circumference of the focus ring.
‘928 further teaches that in some embodiments, the edge ring 230 is configured to be raised and lowered by the movable ring 236 to adjust the shape of the plasma sheath 248 formed over the edge ring 230, as shown in FIG. 2C ([0044], description applicable to the movable ring 236 of Figs. 6A-6C where both the upper edge ring 602 and the middle edge ring 604 are raised and lowered by the movable ring 236, see also actuating mechanism 252, Fig. 11, [0044]), The cover ring 234 may be disposed on the sleeve 220 and the cover ring 234 may surround the edge ring 230 and the support ring 232 ([0041], 3rd sentence), for the purpose of adjusting the shape of the plasma sheath ([0044]). Note the cover ring 234 is “peripherally surrounding the focus ring and at least a portion of the support ring” and the sleeve 220 corresponds to the claimed “an enclosure ring … a cover ring disposed on the enclosure ring“, see Fig. 6A.
Before the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have added a non-consumable middle edge ring 604 as a support, as taught by ‘928, below the edge ring 130 of ‘232 (the limitations of 1A, 14A, and 21B), for the purpose of a small number of consumable parts, as taught by ‘928 ([0005]). Furthermore, to have added movable ring 236 (along with actuating mechanism 252) of ‘928, below the imported non-consumable middle edge ring and the focus ring 130 of ‘232 (the limitation of 14B) and to have added a cover ring 234 and sleeve 220, to surround the edge ring 130 and the imported supporting middle edge ring 604 (the limitations of 1B, 12, 14C, 21A, and 21C), for the purpose of adjusting the shape of the plasma sheath, as taught by ‘928 ([0044]).
‘232 further teaches the limitations of:
Claims 2-4: Fig. 4 shows the claimed “wherein the air gap is characterized by an air gap bottom surface coplanar with the bottom surface of the focus ring” of claim 2, “wherein the air gap extends radially from an air gap inner side to an air gap outer side “ of claim 3, “wherein the air gap inner side and the air gap outer side are perpendicular to the air gap bottom surface” of claim 4).
Claim 5: FIG. 5 is an enlarged view of the third portion of the edge ring according to aspects of one or more embodiments of the present disclosure ([0035], includes the claimed “wherein the air gap is characterized by a rectangular cross section in a radial plane”).
Claims 6-7: the third portion 132c can include air matter … ([0034], last sentence, includes the claimed “wherein the air gap is filled with a gas” of claim 6 and “wherein the gas is air” of claim 7).
Claims 8-9: FIG. 3 is an enlarged view of the edge ring 130 according to aspects of one or more embodiments of the present disclosure. In some embodiments, the edge ring 130 further includes a seal member 137. Further, the seal member 137 seals the recess. As a result, a third portion 132c, such as a hollow portion, is sealed within the first portion 132a and the seal member 137 … the third portion 132c can include a vacuumed pressure ([0032], includes the claimed “wherein the focus ring further comprises a back cover coplanar with the bottom surface of the focus ring and enclosing the air gap” of claim 8 and “wherein the air gap is enclosed to form a vacuumed cavity” of claim 9).
Claim 15: Fig. 3 or 4 shows the claimed “wherein the cavity extends radially from a cavity inner side perpendicular to the cavity bottom surface to a cavity outer side perpendicular to the cavity bottom surface”.
Claim 16: FIG. 3 is an enlarged view of the edge ring 130 according to aspects of one or more embodiments of the present disclosure. In some embodiments, the edge ring 130 further includes a seal member 137. Further, the seal member 137 seals the recess. As a result, a third portion 132c, such as a hollow portion, is sealed within the first portion 132a and the seal member 137 … the third portion 132c can include a vacuumed pressure ([0032], includes the claimed “wherein the focus ring further comprises a back cover coplanar with the bottom surface of the focus ring and enclosing the cavity”).
Claim 17: the edge ring 130 includes a first portion 132a and a second portion 132b coupled to the first portion 132a (Fig. 2, [0029], includes the claimed “wherein the focus ring further comprises: a lower step portion peripherally surrounding and proximate to the edge portion of the mounting platform, wherein the lower step portion extends vertically from the bottom surface of the focus ring to a lower step top surface, and wherein the lower step portion is attached to the upper step portion”).
Claim 18: the first portion 132a and the second portion 132b of the edge ring 130 can be made from relatively high-conductive electrode materials such as silicon carbide and silicon ([0030], 2nd sentence, includes the claimed “wherein the focus ring comprises silicon”).
‘232 states that various features are not drawn to scale. ‘232 does not teach the limitations of:
Claim 10: wherein the air gap is characterized by a radial dimension between the air gap inner side and the air gap outer side, and the radial dimension is between 30% and 90% of a first width of the upper step portion of the focus ring.
Claim 11: wherein the air gap is characterized by a vertical dimension between the air gap bottom surface and an air gap top surface, and the vertical dimension is between 20% and 70% of a first thickness of the upper step portion of the focus ring.
All Figures show the width of the recess 132c is about 50% of the width of first portion 132a and the height d of the recess 132c is slightly smaller than 50% of the height of the first portion 132a.
Before the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have adopted the width and height relationship of the recess to the first portion 132a, as a starting point of setting up the edge ring 130 in the etching system.
Claims 1-13 are rejected under 35 U.S.C. 103 as being unpatentable over ‘232, in view of Bosch (US 20170053820, hereafter ‘820).
‘232 teaches some limitations of claim 1 and does not teach the other limitation of claim 1 as discussed above.
‘820 is analogous art in the field of EDGE RING ASSEMBLY FOR IMPROVING FEATURE PROFILE TILTING AT EXTREME EDGE OF WAFER (title), to surround an electrostatic chuck (ESC) (abstract). ‘820 teaches that a quartz upper edge ring 700 is defined surrounding the top surface of the ESC (Fig. 7A, [0076], 2nd sentence), A passively powered hard anodized aluminum electrode ring 702 is disposed below the upper edge ring in the annular step 132 over the annular shelf 134. The electrode ring 702 surrounds (and is radially adjacent to) the sidewall 136 defined by the annular step 132. A quartz lower outer ring 704 surrounds (and is radially adjacent to) the electrode ring 702, and is also disposed below the upper edge ring 700 in the annular step 132 and disposed over the annular shelf 134. A ceramic/alumina spacer 708 surrounds (and is radially adjacent to) a lower portion of the lower outer ring 704. A ground ring 706 surrounds (and is radially adjacent to) the upper edge ring 700, the lower outer ring 704, and the spacer 708 ([0077]). Note either ring 702 or ring 704 or the combined 702 and 704 corresponds to the claimed “support ring” and the ground ring 706 corresponds to the cover ring that “surrounding the focus ring and a portion of the support ring“.
Before the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have added ring 702, 704, 706, and 708 of ‘820, as taught by ‘820, below and surrounds the edge ring 130 of ‘150, for the purpose of improving feature profile tilting at extreme edge of wafer, as taught by ‘820 (title).
‘232 further teaches the limitations of claims 2-11 as discussed above.
‘820 further teaches the limitations of:
Claim 12: Fig. 7A shows the claimed “an enclosure ring peripherally surrounds the mounting platform, wherein the support ring is disposed partially on the extension of the mounting platform and partially on the enclosure ring” of claim 12 and “wherein an outer vertical side of the focus ring and an outer vertical side of the support ring are substantially coplanar, and wherein the cover ring comprises a flat inner vertical surface that abuts the outer vertical side of the focus ring and the outer vertical side of the support ring“ of claim 13.
Claims 13 and 22 are rejected under 35 U.S.C. 103 as being unpatentable over ‘232 and ‘928, as being applied to claims 1 and 21 rejection above, further in view of ‘820.
The combination of ‘232 and ‘928 does not teach the other limitations of:
Claims 13 and 22: wherein an outer vertical side of the focus ring and an outer vertical side of the support ring are substantially coplanar, and wherein the cover ring comprises a flat inner vertical surface that abuts the outer vertical side of the focus ring and the outer vertical side of the support ring.
Claim 22: wherein an outer vertical side of the focus ring and an outer vertical side of the support ring are substantially coplanar, and wherein the cover ring comprises a flat inner vertical surface that abuts the outer vertical side of the focus ring and the outer vertical side of the support ring.
‘820 is analogous art as discussed above. Fig. 7A shows the outer vertical side of the upper edge ring 700 and the lower outer ring 704 are coplanar and abuts the inner vertical surface of the ground ring 706.
Before the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have changed the shape of the upper edge ring 602, middle edge ring 604, and the cover ring 234 of ‘928 to Fig. 7 of ‘820, and then combined with ‘232, for the purpose of improving feature profile tilting at extreme edge of wafer, as taught by ‘820 (title) and/or for obvious change of shape. A change of shape is generally recognized as being within the ordinary level of skill in the art. In re Dailey, 357 F.2nd 669, 149 USPQ 1966.
Response to Arguments
Applicant's arguments filed 07/30/2026 have been fully considered but they are not persuasive.
In regarding claim 1 rejection over Lin ‘232 and Vishwanath ‘928, Applicants argue that
Adding cover ring of ‘928 (or ‘612) would unpredictably disrupt the desired plasma sheath distribution, see the bottom of page 7.
This argument is found not persuasive.
‘928 addresses plasma sheath management throughout its Specification. Any plasma processing apparatus has a plasma sheath that varies with operation conditions. Adding, modifying, or moving components nears the chuck also affect plasma sheath. Applicants’ apparatus at least has the actuator that moving focus ring and operation voltage that “disrupt” the plasma sheath distribution. It is routine engineer to find the optimal range of plasma operation condition at each components arrangement for a desired plasma sheath profile. If Applicants insist that a single plasma sheath has to be maintained, then Applicants’ own apparatus does not fit the requirement.
Movable edge ring and a static edge ring having a sealed cavity is incompatible because it would break a static seal required to maintain an isolated cavity environment, see the middle of page 8.
This argument is found not persuasive.
The seal member 137 of ‘232 is part of the integrated edge ring 130. The examiner does not understand why the seal member 137 cannot be lifted along with the edge ring 130. Furthermore, in the combination of ‘928, the edge ring 130 is sitting on top of the imported middle edge ring 604. Note applicants’ back cover 292, shown in dotted line 292, can be lifted because it is sitting on the support ring 80.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US 20170213758 is cited for a cover ring partially surrounding a focus ring 444 and a support ring 442 (Fig. 4).
US 10777392 is cited for support ring and enclosure ring (Fig. 2A). US 20210358725 is cited for annular recess 300a with permittivity adjuster 500 (Fig. 2, [0036]). US 20210296096 is cited for annular enclosed space with edge rings (Figs. 2-4).
Any inquiry concerning this communication or earlier communications from the examiner should be directed to KEATH T CHEN whose telephone number is (571)270-1870. The examiner can normally be reached 8:30am-5:00 pm.
Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice.
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.
Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
/KEATH T CHEN/Primary Examiner, Art Unit 1716
Prosecution Insights