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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 04/30/2026 has been entered.
Response to Amendment
Applicants’ submission, filed on 04/06/2026, in response to claims 1, 3, and 7 rejection from the final office action (02/04/2026), by amending claim 1 is entered and will be addressed below.
Claim Interpretation
Claim 1 recites “one or more first measurement units … one or more second measurement units … (1x) wherein the number of the one or more second measurement units is less than the number of the one or more first measurement units … (1y) wherein the calculator calculates the temperature of the second area of the substrate using at least one of a difference between the measured values of the first area measured by the one or more first measurement units and the one or more second measurement units and the measured values of the third area measured by the one or more first measurement units and the one or more second measurement units and an average thereof,
wherein the calculator calculates the temperature of the second area of the substrate further using a measured value of the second area measured by the one or more first measurement units”, By the condition of (1x) therefore, there has to be two or more first measurement units because the latter part of claim 1. By the condition of (1y), it may seems to require three first measurement units. However, the claim does not exclude a scanning first measurement units, therefore, claim 1 may include two first measurement units (at least one is able to measurement multiple areas), or three fixed first measurement units.
The ”wherein the calculator calculates the temperature of the second area of the substrate using at least one of a difference between the measured values of the first area measured by the one or more first measurement units and the one or more second measurement units and the measured values of the third area measured by the one or more first measurement units and the one or more second measurement units and an average thereof” of claim 1 includes interpolation between both the planar direction (between areas) and the vertical direction (between the first measurement units from below the substrate and the second measurement units from above the substrate).
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:
The “one or more first measurement units“ in claim 1, this is considered an optical temperature sensor or pyrometer ([0052]) or the equivalent thereof.
The “one or more second measurement units” in claim 1, this is considered as thermocouples ([0073]) or the equivalent thereof.
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.
Election/Restrictions
Claims 8-13 remain withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected Invention Group II, there being no allowable generic or linking claim.
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, 3, and 7 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.
The newly added limitations “the calculator is configured to control power to the heater in the respective areas based on the calculated substrate temperature of the second area so that the temperature of the substrate remains uniform across the first, second and third areas” of claim 1 is not clear because claim 1 has one single heater (as well as disclosed in Applicants’ Specification). It is not clear how to adjust a heater in the respective areas to achieve uniform temperature in different areas.
Claim 1 will be examined inclusive multiple heaters independently controlled.
Furthermore, claim 1 also recites “wherein the calculator (1p) calculates the temperature of the second area of the substrate using at least one of a difference between the measured values of the first area measured by the one or more first measurement units and the one or more second measurement units and the measured values of the third area measured by the one or more first measurement units and the one or more second measurement units and an average thereof,
wherein the calculator (1q) calculates the temperature of the second area of the substrate further using a measured value of the second area measured by the one or more first measurement units, and
wherein the calculator is configured to control power to the heater in the respective areas based on the calculated substrate temperature of the second area so that the temperature of the substrate remains uniform across the first, second and third areas“, it is not clear “to control power to the heater” is based on the interpolated temperature (1p) or by the directly measured temperature (1q), or (1r) some combination of values calculated by (1p) and (1q).
Interpretation of (1r) is not clear because how to combine (1p) and (1q) is not specified.
This portion of claim 1 will be examined inclusive either interpolated or directly measured substrate temperature of the second area.
Dependent claims 3 and 7 are also rejected under USC 112(b) at least due to dependency to rejected claim 1.
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, 3, and 7 are rejected 35 U.S.C. 103 as being unpatentable over Tobashi et al. (US 20010020439, hereafter ‘439), in view of Zhu et al. (US 20220155148, hereafter ‘148), Feng et al. (US 20220334554, hereafter ‘554), Buchberger et al. (US 20070091541, hereafter ‘541), and optionally with Cimino et al. (US 20210022212, hereafter ‘212).
‘439 teaches some limitations of:
Claim 1: As shown in FIG. 1, there is provided a reactor 1 for subjecting a semiconductor substrate W such as a silicon wafer or the like to oxidation, diffusion, chemical vapor deposition (CVD) ([0061]), includes the claimed “A substrate processing apparatus comprising: a chamber”);
The lower part of said reactor 1 is horizontally provided with a disc-shaped heater 2. Further, a susceptor 3 is provided immediately above said heater 2 to hold said semiconductor substrate W such that said susceptor 3 is rotatably supported by a rotary shaft 4 extending through said heater 2 and the bottom of said reactor 1 ([0062], includes the claimed “a susceptor configured to support a substrate in the chamber; a heater disposed under the susceptor”);
Further, while said reactor 1 is provided with a plurality of infrared radiation thermometers 6 at the ceiling thereof to measure the temperatures at a plurality of points on the surface of the semiconductor substrate W, another infrared radiation thermometer 7 is provided at a lower part of the inside of the reactor 1 to measure the temperature of the reverse side of the semiconductor substrate W ([0064], the infrared radiation thermometer 7 is the claimed “one or more first measurement units disposed under the heater and configured to measure temperature of the heater”, note this is functionally equivalent to thermocouple; the plurality of infrared radiation thermometers 6 is the claimed “one or more second measurement units disposed above the substrate and configured to measure temperature of the substrate, wherein the first measurement units and the second measurement units are different from each other in number” as the infrared radiation thermometers are optical temperature sensors),
a temperature control program adaptable for said temperature rise/fall characteristic is automatically selected out of a plurality of temperature control programs written in advance; the semiconductor substrate is controlled on the basis of the selected temperature control program (includes the claimed “and a calculator”).
‘439 does not teach the other limitations of:
Claim 1: (1A) (a calculator) configured to calculate temperature of a second area of the substrate using measured values of a first area measured by the one or more first measurement units and the one or more second measurement units and measured values of a third area measured by the one or more first measurement units and the one or more second measurement units, the second area being located between the first area and the third area,
(1B) wherein the number of the one or more second measurement units is less than the number of the one or more first measurement units, and
(1C) wherein the calculator calculates the temperature of the second area of the substrate using at least one of a difference between the measured values of the first area measured by the one or more first measurement units and the one or more second measurement units and the measured values of the third area measured by the one or more first measurement units and the one or more second measurement units and an average thereof,
wherein the calculator calculates the temperature of the second area of the substrate further using a measured value of the second area measured by the one or more first measurement units, and
(1D) wherein the calculator is configured to control power to the heater in the respective areas based on the calculated substrate temperature of the second area so that the temperature of the substrate remains uniform across the first, second and third areas.
‘148 is analogous art in the field of TEMPERATURE PROFILE MEASUREMENT AND SYNCHRONIZED CONTROL ON SUBSTRATE AND SUSCEPTOR IN AN EPITAXY CHAMBER (title). ’148 teaches that The Epi chamber 100 further includes a top outer optical pyrometer 138 mounted on an angle block 140 disposed on a mounting block 142 on the top mounting plate 114 to measure temperature at an outer location 144 of the top surface 106S of the substrate 106 that is spaced from the center location 120 of the top surface 106S of the substrate 106 (Fig. 1, [0019]), 2nd last sentence), The temperature at a center location 118 of the bottom surface 104S′ of the susceptor 104 and the temperature at a center location 120 of a top surface 106S of the substrate 106 are respectively measured by a bottom center optical pyrometer 122 disposed on the bottom mounting plate 112 and a top center optical pyrometer 124 disposed on the top mounting plate 114 ([0017]), although FIG. 1 only illustrates one bottom outer optical pyrometer 130, more than one bottom outer optical pyrometer 130 may be used to simultaneously measure temperatures at multiple locations of the bottom surface 104S′ of the susceptor 104 ([0021], Fig. 3 shows four pyrometers 130), The temperature data collected from the bottom center optical pyrometer 122 and the bottom outer optical pyrometer 130 is input to a susceptor controller 146 ([0022]), A bottom surface 104S′ of the susceptor 104 opposite the top surface 104S is heated by a bottom heating lamp module 108 having an inner zone and an outer zone (not shown). The inner zone and the outer zone of the bottom lamp module can be independently controlled to heat an inner portion and an outer portion of the susceptor 104, respectively ([0016], 4th sentence, therefore, the inner/center zone and the outer zone are directly controlled by the pyrometer 122 and 130, respectively ), for the purpose of deposition uniformity ([0004]). ‘148 also teaches that a method of processing a plurality of substrates in an epitaxy chamber is provided ([0007]).
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 more thermometers 7 than the number of thermometers 6 of ‘439 and processing a plurality of substrates on the rotary susceptor 3 of ‘439 (the limitations of 1B), as taught by ‘148; furthermore, to have controlled each zone independently based on the pyrometer (or infrared radiation thermometers), as taught by ‘148, for a multi-zone control to the apparatus of ‘439 (the limitation of 1D, under the interpretation of 1q), for the purpose of deposition uniformity, as taught by ‘148 ([0004]).
‘554 is analogous art in the field of temperature sensors in the wafer supports which contact the wafer and measure its temperature, and non-contact sensors such as photodetectors to measure light output of the LEDs and a pyrometer configured to measure the temperature of different types of wafers ([0084]). ’554 teaches that First, supplemental metrology values are collected from a series of points of a training wafer surface. These points may or may not correspond to points where the large beam spot data was collected. Even if they do not correspond, the spectral response of the standalone metrology values can be interpolated over the face of the wafer, optionally using a spatial model to facilitate this interpolation ([0211]). The temperature control zones may provide for a controllable temperature profile during fabrication operations, with the temperature profile being controllably shaped both radially and azimuthally (or in an x-y coordinate system). The temperature control zones can be arranged in a defined pattern, such as, a rectangular grid, a hexagonal grid, or other suitable pattern for generating a temperature profile as desired. Each temperature control zone can be of a suitable size for generating a temperature profile with the desired spatial granularity (2nd half of [0080]), to accurately predict appropriate settings for a device fabrication tool ([0066], 4th sentence). ‘554 also teaches that At least one of these process settings may be settings or information about settings for elements of a position selective activation component such as a multi-heater wafer chuck ([0239]), process settings engine 1417 is configured to output process chamber settings 1419 and deliver them to the process chamber 1421, where they are applied for processing preprocessed wafer 1403. As illustrated, process chamber 1421 includes a wafer chuck 1423 that may include multiple independently controllable temperature settings for controlling the two-dimensional temperature distribution on wafer 1403 ([0240]), the metrology head or beam spot are moved linearly in two dimensions to capture metrology data over the entire wafer surface. This approach may reduce variations in die and/or pattern orientation with respect to the beam orientation, and hence relative orientation of pattern information captured with metrology samples. This may allow more streamlined denoising of metrology signals ([0098], last two sentences) and the spatial model may represent wafer temperature distributions produced by a wafer chuck having a two-dimensional array of heaters ([0252], 3rd sentence, in short, interpolated spatial model to control two-dimensional array of heaters).
‘541 is analogous art in the field of Method Of Processing A Workpiece In A Plasma Reactor Using Feed Forward Thermal Control (title), a plasma reactor having an electrostatic chuck for supporting the workpiece within a reactor chamber … sensing conditions in the chamber including temperature near the workpiece and simulating heat flow through the electrostatic chuck in a thermal model of the chuck based upon the conditions. The method further includes obtaining the next scheduled change in RF heat load on the workpiece and using the model to estimate a change in thermal conditions of the coolant in the evaporator that would hold the temperature nearly constant by compensating for the next scheduled change in RF heat load, and making the change in thermal conditions of the coolant in the evaporator prior to the time of the next scheduled change by a head start related to the thermal propagation delay through the electrostatic chuck (abstract). ’541 teaches that This correction cycle can include simultaneously monitoring plural temperature sensors periodically placed in axial alignment along the Z-axis inside the ESC 105, such as the temperature sensors 220, 221 of FIG. 7 (although more than two axially aligned periodically spaced sensors may be employed in this step). From such multiple contemporaneous measurements, an instantaneous temperature profile T(Z) may be deduced (block 306 of FIG. 28B). This instantaneous temperature distribution is input to the thermal model 288 (block 307 of FIG. 28B). Using the instantaneous temperature distribution of the step of block 307 as the updated "initial" condition, the thermal model 288 generates a new updated version of the time-evolving temperature profile T(Z,t) ([0127], 3rd sentence, see also Fig. 24 for the Z-axis direction being vertical direction).
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 spatial interpolation and applied to two dimensional array of heaters, as taught by ‘554, and building temperature profile along Z axis, as taught by ‘541, to the temperature control program of ‘439 (the limitations of 1A, 1C and 1D, under interpretation of 1p), for the purpose of accurately predicting appropriate settings for a device fabrication tool ([0066], 4th sentence) and for the purpose of feed forward control, as taught by ‘541 (title). Note linear interpolation is taking average of the two neighboring data points. Note also the spatial distribution in the vertical direction requires data from both thermometers 6 and duplicated thermometers 7 from ‘148.
‘212 is analogous art in the field of MULTI-ZONE HEATER MODEL-BASED CONTROL IN SEMICONDUCTOR MANUFACTURING (title), A plurality of heating zones in a substrate support assembly in a chamber is independently controlled (abstract). ’212 teaches that the available information about temperature feedback measurements and power usage for all the zones of the substrate support can be compared in real-time or offline to the reference ones provided during the design stage ([0081]), It is also contemplated that the spatially tunable (also referred to as “independently controllable”) heaters may also be utilized ([0028], last sentence).
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 operated the control of heaters by independently controllable heaters, as taught as taught by ‘212, to the temperature control program of ‘439 (the limitations of 1D, again under interpretation of 1q), for the purpose of warning of malfunction, as taught by ‘212 ([0081]).
‘439 further teaches the limitations of:
Claim 3: Fig. 1 shows the claimed “wherein a first of the one or more second measurement units and a second of the one or more second measurement units are spaced apart from each other by a predetermined distance” (also taught by ‘212).
The combination of ‘439, ‘148, ‘554, ‘541, and ‘212 further teaches the limitations of:
Claim 7: said susceptor 3 is rotatably supported by a rotary shaft 4 extending through said heater 2 and the bottom of said reactor 1 (‘439, [0062], last sentence, includes the claimed “wherein the susceptor is rotatable”, also taught by ‘554, [0006]),
a method of processing a plurality of substrates in an epitaxy chamber is provided (‘148, [0007], includes the claimed “while supporting a plurality of substrates”);
Fig. 1 of ‘439 shows the claimed “and the one or more second measurement units are disposed above the plurality of substrates, respectively”
In case Applicants argue that ‘439 does not teach thermocouples as one or more first measurement units of claim 1.
‘212 further teaches that “Each heating zone includes a separate temperature sensor, which may be a resistance thermometer detector (RTD) or, in some embodiments, a thermocouple” ([0027]).
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 replaced the infrared radiation thermometer 7 of ‘439 with thermocouples of ‘212, for its suitability for temperature measuring elements with predictable results. The selection of something based on its known suitability for its intended use has been held to support a prima facie case of obviousness. MPEP 2144.07.
Response to Arguments
Applicant's arguments filed 04/06/2026 have been fully considered but they are not persuasive.
In regarding to 35 USC 101 rejection, Applicants’ amendment, specifically, “the calculator is configured to control power to the heater“ overcomes the 101 rejection. However, Applicants’ amendment also introduces 112(b) issues.
In regarding 35 USC 103 rejection, Applicants assert that
A) Tobasi ‘439 does not teach first measurement units under a heater, fewer substrate pyrometers than heater sensors, or calculation of an intermediate substrate temperature, see the 1st complete paragraph of page 5.
This argument is found persuasive.
This is attacking reference individually.
In response to applicant's arguments against the references individually, 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).
To clarify, Applicants’ pyrometers 172 are temperature sensors above the substrate (and heater) and the heater sensors 171 are temperature sensors below the heater.
Multiple measurement units under a heater and fewer substrate pyrometers than heater sensors are taught by ‘148 (Fig. 1). Interpolation of temperature is taught by ‘554, interpolation is a calculation of a temperature of intermediate location of the substrate that does not have a temperature sensor.
B) Zhu ‘148 does not teach fewer substrate pyrometers than heater-zone sensors, nor calculating an intermediate substrate temperature using measurement from adjacent zones, see the 2nd complete paragraph of P5.
This argument is found not persuasive.
The first part of this assertion is wrong and the second part of this assertion is attacking reference individually again.
‘148 teaches more temperature sensors 122, 130 below the heater than the number of temperature sensor 138 above the substrate (and above the heater).
‘148 further teaches that although FIG. 1 only illustrates one bottom outer optical pyrometer 130, more than one bottom outer optical pyrometer 130 may be used to simultaneously measure temperatures at multiple locations of the bottom surface 104S′ of the susceptor 104 ([0021], Fig. 3 shows four pyrometers 130).
It appears Applicants trying to argue that ‘148’s pyrometer is below the heater while instant Application the pyrometer is above the substrate. The examiner considers various temperature sensors (thermocouples, infrared radiation thermometers, thermocouples) are functionally the same and can be interchanged.
Interpolation of temperature is taught by ‘554, as discussed above.
C) ‘554 is directed to large-spot spectral reflectometry in a plasma chamber, see the bottom of page 4.
This argument is found persuasive.
It is not clear what is deficient in ‘554 in Applicants’ argument.
The OC has clearly set forth that:
‘554 is analogous art in the field of temperature sensors in the wafer supports which contact the wafer and measure its temperature, and non-contact sensors such as photodetectors to measure light output of the LEDs and a pyrometer configured to measure the temperature of different types of wafers ([0084]). … First, supplemental metrology values are collected from a series of points of a training wafer surface. These points may or may not correspond to points where the large beam spot data was collected. Even if they do not correspond, the spectral response of the standalone metrology values can be interpolated over the face of the wafer, optionally using a spatial model to facilitate this interpolation ([0211]).
The examiner considers that a temperature measurement in a plasma chamber can be applied to a non-plasma chamber.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US 20200411339 is cited for if the number of regions of the substrate support where temperatures can be independently controlled increases, the size of each region decreases, which makes it difficult to provide heaters and temperature sensors to all of the regions ([0003]) linear interpolation of the two obtained temperatures ([0077]).
US 20110139070 is cited for displaying the alarms regarding to temperature control ([0114] and elsewhere).
US 20220205105 is cited for sensor interpolation ([0182]) from multi-zone sensors 2406 (Fig. 24, [0160], see also Fig. 8). Applicants’ IDS, 20120227665, teaches more pyrometers 192 below the heater than pyrometers 193 within the showerhead (Figs. 1-2B).
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.
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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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/KEATH T CHEN/ Primary Examiner, Art Unit 1716
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