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 .
DETAILED ACTION
This Office Action is in response to Applicant’s Response to Election/Restriction Requirement received on August 20, 2026, regarding the application filed March 29, 2024.
Election/Restrictions
Applicant’s election without traverse of Invention I, corresponding to claims 1-17, in the reply filed on August 20, 2026 is acknowledged. Claims 18 and 19 have been withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected invention, there being no allowable generic or linking claim. This restriction requirement has been finalized.
Claims 1-19 are pending, with claims 18 and 19 currently withdrawn from consideration.
Priority
Acknowledgment is made of Applicant's claim for foreign priority based on an Japanese Patent Application No. 2023-090226, filed on May 31, 2023. Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The information disclosure statements (IDS) submitted on March 29, 2024, August 24, 2026, and September 16, 2026 have been placed in the application file and are being considered by the examiner.
Drawings
The drawings filed with the application on March 29, 2024 are accepted.
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(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.
Claims 1-3 and 13-17 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Suzuki et al., US 2013/0000546 A1 (hereinafter Suzuki).
Regarding claim 1, Suzuki discloses: A method of processing a substrate, comprising:
(a) mounting the substrate on a mounting stage in which at least a part of a surface is constituted by a first member (Suzuki, FIG. 1 shows wafer w [the substrate] mounted on upper surface of left side of susceptor 15 [the first member] of ring 16 [the mounting stage], [0022]);
(b) forming films by supplying a first gas (Suzuki, FIG. 1, process gas [the first gas], including a source gas and a carrier gas, provided via gas supply inlet 12a [0020]; “the process gas [the first gas] is supplied onto the wafer w [the substrate] at the predetermined concentration and the predetermined flow rate, and the Si epitaxial film with the predetermined film thickness is formed on the wafer w,” [0039]; additional films described at [0056]), the films including a first film formed on a surface of the substrate (Suzuki, FIGs. 3, 5A and 5B show the first film as the portion of deposits 24 formed on upper surface of wafer w [the surface of the substrate], [0031]) and a second film having a portion continuous with the first film and formed on a surface of the first member (Suzuki, FIGs. 3, 5A and 5B show the second film as the portion of deposits 24 formed outside of peripheral edge section [the edge] of wafer w [the substrate], including adhered portion 24a of film deposits 24 [the portion of the second film] , shown continuous with upper surface of wafer w [the substrate] and formed on a surface of left side of susceptor 15 [the first member], [0031]; note that this interpretation of first film and second film aligns with Applicant’s description and drawings, see Applicant’s disclosure, FIG. 4B, [0076]); and
(c) generating stress attributable to a difference in thermal deformation amount between the first member and the substrate, inside the second film, and making at least a part of the second film discontinuous (Suzuki, FIG. 2, Step 6, “the wafer w [the substrate] is cooled … and the adhered state [the portion of the second film] with the susceptor 15 [the first member] is released [made discontinuous] by a contracture difference [a stress] caused by a difference in coefficients of thermal expansion [a difference in thermal deformation] between the wafer w [the substrate] formed of Si and the susceptor 15 [the first member] formed of SiC,” [0032]).
Regarding claim 2, Suzuki discloses: The method according to claim 1, wherein the first member is in contact with the substrate (Suzuki, FIG. 5A shows left side of susceptor 15 [the first member] in contact with lower surface of wafer w [the substrate]).
Regarding claim 3, Suzuki discloses: The method according to claim 2, wherein the first member is in contact with an edge of the substrate(Suzuki, FIG. 5A shows left side of susceptor 15 [the first member] in contact with lower peripheral edge section [the edge] of wafer w [the substrate]).
Regarding claim 13, Suzuki discloses: The method according to claim 1, wherein the surface of the mounting stage is constituted by a plurality of the first members (Suzuki, FIG. 1 shows upper surface of ring 16 [the mounting stage] is constituted by a left and a right instance of susceptors 15 [the first members], i.e., a plurality of the first members, [0022]).
Regarding claim 14, Suzuki discloses: The method according to claim 13, wherein the plurality of the first members is thermally deformed independently of each other (Suzuki, FIG. 1 shows each of left and a right instances of susceptors 15 [the plurality of the first members] separated and made independent of each other by wafer w [the substrate] interposed between the left instance of susceptors 15 [the certain first member] and right instance of susceptors 15 [the another first member], i.e., as separate components, they are thermally deformed independently of each other).
Regarding claim 15, Suzuki discloses: The method according to claim 13, wherein the plurality of the first members includes a pair of the first members (Suzuki, FIG. 1 shows left and a right instance, i.e., a pair, of susceptors 15 [the first members]) configured such that a certain one of the first members (Suzuki, FIG. 1, left instance of susceptors 15) is located at a position facing another one of the first members (Suzuki, FIG. 1, right instance of susceptors 15) with the substrate interposed between the certain first member and the another first member (Suzuki, FIG. 1, shows wafer w [the substrate] interposed between the left instance of susceptors 15 [the certain first member] and right instance of susceptors 15 [the another first member]).
Regarding claim 17, Suzuki discloses: A method of manufacturing a semiconductor device, comprising the method of Claim 1 (Suzuki, “improving a yield of a semiconductor device [the semiconductor device] to be formed through an element forming step and an element separating step [the method of claim 1] … a power semiconductor device such as a power MOSFET, IGBT, and the like,” [0055]).
Claim Rejections - 35 USC § 103
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
Claims 4, 5 and 7-12 are rejected under 35 U.S.C. 103 as being unpatentable over Suzuki in view of Hayashi, US 2021/0305077 A1 (hereinafter Hayashi).
Regarding claim 4, Suzuki discloses: The method according to claim 1. However, although Suzuki teaches that “cooling is performed” (Suzuki, [0041]), Suzuki is silent regarding: wherein (c), a temperature of at least one of the substrate and the first member is made lower than a temperature in the forming films, by supplying a second gas.
However, Hayashi, in the same field of endeavor, teaches: supplying a heat transfer gas [the second gas] to the lower surface of wafer w [the substrate] for reducing the temperature of the wafer to a predetermined temperature (Hayashi, [0023]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Suzuki with the teachings of Hayashi, arriving at Applicant’s claimed invention with predictable results and without undue experimentation. The motivation for doing so would be, as expressly recognized by Hayashi, to provide a heat transfer gas for reducing the temperature of the wafer to a predetermined temperature (Hayashi, [0023]), thereby improving the manufacturing process.
Regarding claim 5, Suzuki in view of Hayashi teaches: The method according to claim 4, wherein the second gas includes an inert gas (Hayashi, heat transfer gas [the second gas] comprises helium, i.e., an inert gas, [0023]).
Regarding claim 7, Suzuki discloses: The method according to claim 1. Suzuki is silent regarding: wherein the mounting stage further includes a flow path configured to allow a refrigerant to flow, and in (c), a temperature of at least one of the substrate and the first member is made lower than a temperature in the forming films, by supplying the refrigerant.
However, Hayashi, in the same field of endeavor, teaches: wherein the mounting stage further includes a flow path configured to allow a refrigerant to flow (Hayashi, FIG. 1 shows flow path 20 [the flow path] for refrigerant inside base 2a [the mounting stage], [0023]), and in (c), a temperature of at least one of the substrate and the first member is made lower than a temperature in the forming films, by supplying the refrigerant (Hayashi, FIG. 1, “The flow path 20 is located below the wafer W [the substrate] and functions to absorb the heat of the wafer W,” i.e., the temperature of the substrate is made lower, [0023]).
When a claim requires selection of an element from a list of alternatives, the prior art teaches the element if one of the alternatives is taught by the prior art. See, e.g., Fresenius USA, Inc. v. Baxter Int’l, Inc., 582 F.3d 1288, 1298, 92 USPQ2d 1163, 1171 (Fed. Cir. 2009). The alternative elements taught by Hayashi include one or more of Applicant’s claimed alternative elements, for example: a temperature of the substrate is made lower than a temperature in the forming films by supplying the refrigerant.
Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Suzuki with the teachings of Hayashi, arriving at Applicant’s claimed invention with predictable results and without undue experimentation. The motivation for doing so would be, as expressly recognized by Hayashi, to provide a circulating refrigerant for reducing the temperature of the wafer to a predetermined temperature (Hayashi, [0023]), thereby improving the manufacturing process.
Regarding claim 8, Suzuki in view of Hayashi teaches: The method according to claim 7, wherein the mounting stage (Suzuki, FIG. 1, ring 16; Hayashi, FIGs. 1, 5, base 2a) further includes a heater that heats the substrate (Suzuki, FIG. 1, inner heater 18, [0026]; Hayashi, FIG. 1, heater 6c, “the heat generated by the heater 6c is controlled, and the temperature of the wafer W arranged on the electrostatic chuck 6 is adjusted ,” [0022]), and the flow path is provided on a lateral side of the heater (Hayashi, FIG. 1 shows flow path 20 [the flow path] extending beyond the outer perimeter, i.e., on a lateral side of, heater 6c [the heater]).
Regarding claim 9, Suzuki in view of Hayashi teaches: The method according to claim 8, wherein the first member is arranged above the flow path (Hayashi, FIG. 1 shows left side of edge ring 5 [the first member] is arranged above flow path 20 [the flow path]).
Regarding claim 10, Suzuki in view of Hayashi teaches: The method according to claim 1, wherein the first member (Suzuki, FIG. 1, left side of susceptor 15; Hayashi, FIGs. 1 and 5A, left side of edge ring 5) is arranged such that a direction of thermal deformation of the first member has a component orientated opposite to a direction of thermal deformation of the substrate at a portion where the substrate and the first member are in contact (Hayashi, FIGs. 1 and 5A show left side of edge ring 5 [the first member] arranged coplanar with wafer w [the substrate] at the portion where wafer w [the substrate] and left side of edge ring 5 [the first member] are in contact, such that adhered portion 24a of film deposits 24 [the portion of the second film] is made discontinuous by means of “a contracture difference caused by a difference in coefficients of thermal expansion between the wafer w [the substrate] formed of Si and the susceptor 15 [the first member],” [0032]).
Regarding claim 11, Suzuki in view of Hayashi teaches: The method according to claim 10. Suzuki in view of Hayashi is silent regarding: wherein in (c), the substrate is thermally deformed toward a center of the substrate, and the first member is thermally deformed in an orientation opposite to a direction toward the center of the substrate.
However, Suzuki teaches that the thermal deformation of the wafer w [the substrate] and the left side of susceptor 15 [the first member] can be predictably controlled by selecting appropriate materials for each of the left side of susceptor 15 [the first member] and the wafer w [the substrate], “any combination is allowable so long as a difference in coefficients of thermal expansion resides between the wafer w [the substrate] and the susceptor 15 [the first member], (Suzuki, [0052]). Therefore, it would have been obvious to a person having ordinary skill in the art to select appropriate materials for each of the wafer w [the substrate] and the left side of susceptor 15 [the first member], each material having known properties of thermal deformation, arriving at Applicant’s claimed invention with predictable results and without undue experimentation.
Regarding claim 12, Suzuki in view of Hayashi teaches: The method according to claim 10. Suzuki in view of Hayashi is silent regarding: wherein in (c), the substrate is thermally deformed in an orientation opposite to a direction toward a center of the substrate, and the first member is thermally deformed toward the center of the substrate. However, as discussed above regarding claim 11, Suzuki teaches that the thermal deformation of the wafer w [the substrate] and the left side of susceptor 15 [the first member] can be predictably controlled by selecting appropriate materials for each of the left side of susceptor 15 [the first member] and the wafer w [the substrate], “any combination is allowable so long as a difference in coefficients of thermal expansion resides between the wafer w [the substrate] and the susceptor 15 [the first member], (Suzuki, [0052]). Therefore, it would have been obvious to a person having ordinary skill in the art to select appropriate materials for each of the wafer w [the substrate] and the left side of susceptor 15 [the first member], each material having known properties of thermal deformation, arriving at Applicant’s claimed invention with predictable results and without undue experimentation.
Claim 16 is rejected under 35 U.S.C. 103 as being unpatentable over Suzuki.
Regarding claim 16, Suzuki discloses: The method according to claim 1. Suzuki is silent regarding: wherein the mounting stage is configured such that a plurality of the substrates is allowed to be mounted.
However, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to arrive at Applicant’s claimed wherein the mounting stage is configured such that a plurality of the substrates is allowed to be mounted with predictable results and without undue experimentation, because, absent a showing of new or unexpected results, mere duplication of parts, as with Applicant’s claimed plurality of substrates is a common practice requiring only ordinary skill in the art and has no patentable significance absent a showing of new and unexpected results, see MPEP 2144. The motivation for configuring the mounting stage to allow for a plurality of the substrates to be mounted would be to increase processing speed and efficiency, thereby reducing manufacturing costs.
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Suzuki in view of Hayashi and further in view of Mitrovic et al., US 2004/0043639 A1 (hereinafter Mitrovic).
Regarding claim 6, Suzuki in view of Hayashi teaches: The method according to claim 4. Suzuki in view of Hayashi is silent regarding: wherein the second gas has a higher thermal conductivity than the first gas. However, Mitrovic, in the same field of endeavor, teaches that “helium gas is used to effectuate the heat transfer because it is inert and has a high thermal conductivity (only hydrogen has a higher thermal conductivity),” (Mitrovic, [0007]; note that the process gas [the first gas] taught by Suzuki is a silicon-containing gas, i.e., not helium or hydrogen, therefore a gas with lower thermal conductivity). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Suzuki in view of Hayashi with the teachings of Mitrovic, arriving at Applicant’s claimed invention with predictable results and without undue experimentation. The motivation for doing so would be, as expressly recognized by Mitrovic, to efficiently allow heat transfer away from the substrate (Mitrovic, [0007]), improving process efficiency, thereby reducing manufacturing costs.
Conclusion
The prior art made of record and not relied upon is considered pertinent to Applicant’s disclosure. The cited prior art discloses similar materials, devices, and methods.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to DEREK NIELSEN whose telephone number is (703)756-1266. The examiner can normally be reached Monday - Friday, 8:30 A.M. - 5:30 P.M..
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, BRENT A FAIRBANKS can be reached at (408)918-7532. 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.
/D.L.N./Examiner, Art Unit 2899
/Brent A. Fairbanks/Supervisory Patent Examiner, Art Unit 2899
Prosecution Insights