DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Response to Arguments
Applicant’s arguments filed on 04/06/2026 with respect to claims 1 and 6 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
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.
Claims 1-5 and 7-14 are rejected under 35 U.S.C. 103 as being unpatentable over Ye et al (US Publication No. 20170162417) in view of Imafuku (US Publication No. 20010013504) and further in view of Ziemba et (US Publication No. 20190393791).
Regarding claim 1, Ye discloses a substrate processing apparatus (i.e., 200; see for example fig. 2 as shown below, para. [0046]- [0091]) including an electrostatic chuck (220), comprising: a lower electrode (202) formed of a dielectric material (i.e., such as the dielectric body 202 may be formed from a ceramic material or other suitable insulating material. For example, the dielectric body 202 may be formed from aluminum nitride (AIN); see para. [0056]); an upper electrode (240) provided to face the lower electrode (202); a first AC power supply (268) electrically connected to the upper electrode (240) and supplying an AC power (i.e., such as the RF generator 268 supplies RF voltage and current; see para. [0054]) with a first frequency (i.e., such as the RF generator 268 supplies RF voltage and current at about 27 MHz to the top electrode 240; see para. [0054]); a heater (204) provided in the lower electrode (202) and configured to heat (i.e., such as the heaters 204 of the ESC 220 are configured to provide an operating temperature of about 650 degrees Celsius; see para. [0103]) the lower electrode (202); an isolation transformer (206) connected to the heater (204); a second AC power supply (i.e., AC lines Ll; see for example fig. SB, para. [0103]) connected to the isolation transformer (206); an internal electrode (106) provided in the lower electrode (202); a second filter circuit (i.e., 310; a DC filter circuit 310; see for example fig. 4, para. [0060]) connected to the internal electrode (106); and a DC power supply (i.e., 312; a DC source 312; see for example fig. 4, para. [0060]) connected to the internal electrode (106) through the second filter circuit (i.e., 310; a DC filter circuit 310; see for example fig. 4, para. [0060]) and provided for the electrostatic chuck (220), wherein the DC power supply (i.e., 312; a DC source 312; see for example fig. 4, para. [0060]) is driven under constant current control (i.e., such as the RF drive system circuitry 300 may include, a first RF drive 362, and one or more voltage and current sensors (VI sensors) 304, 360; see for example fig. 4, para. [0060]) to provide constant current (Note: of course any DC source provides a constant/direct current and any AC source provides an alternating current) to the internal electrode (106), and a secondary coil (Sec) of the isolation transformer (206) is electrically floating (i.e., transformer 206 has no direct electrical connection to earth ground; such as the transformer provides a method of isolation and is designed to withstand the maximum ESC voltage without breaking down, but allowing for no DC current across its primary and secondary transformer coil windings; see for example fig. SB, para. [0105]).
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Ye does not explicitly disclose a first filter circuit connected to the heater and the heater is connected to the isolation transformer through the first filter circuit.
Imafuku discloses a plasma treatment method and apparatus (i.e., 100; see for example fig. 6 as shown below, para. [0096]- [0110]); wherein a first filter circuit (145) connected to the heater (105) and the heater (105) is connected to the isolation transformer (142) through the first filter circuit (145).
It would have been obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention to have optionally included the filter device in Ye, as taught by Imafuku, as it provides the advantage of optimizing the circuit design towards improving signal quality, blocking interference, and matching impedances.
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Neither Ye nor Imafuku explicitly discloses wherein the isolation transformer is grounded in a DC-insulated state.
Ziemba discloses a high voltage power system (i.e., such as system 300; see for example fig. 3, para. [0058]- [0099]); wherein the isolation transformer (i.e., such as isolation transformer T2; see for example fig. 3, para. [0058]- [0099]) is grounded in a DC-insulated state (i.e., such as DC-insulated state/galvanic isolation as the ground of the primary side of T2 is separated from the another ground of the secondary side of T2; for instance, the isolation may be galvanic, such that no conductor on the primary side of the isolation transformer passes through or makes contact with any conductor on the secondary side of the isolation transformer; see for example fig. 3, para. [0058]- [0099]).
Therefore, it would have been obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention to have optionally included the ground DC isolation scheme in Ye, as taught by Ziemba, as it provides the advantage of optimizing the circuit design towards providing safety, eliminating ground loops, and reducing electrical noise.
Regarding claim 2, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye further discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); wherein the first AC power supply (268) supplies the AC power (i.e., such as the RF generator 268 supplies RF voltage and current; see para. [0054]) with a frequency in a range of 1 MHz to 30 MHz (i.e., about 27 MHz; such as the RF generator 268 supplies RF voltage and current at about 27 MHz to the top electrode 240; see para. [0054]) to the upper electrode (240).
Regarding claim 3, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye further discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); wherein an AC power (258) with a frequency in a range of 100 kHz to 1000 kHz (i.e., about 400 KHz; see para. [0054]) is further supplied (i.e., such as the RF generator 258 supplies RF voltage and current at about 400 KHz to the top electrode 240; see para. [0054]) to the upper electrode (240).
Regarding claim 4, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye further discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); wherein the second AC power supply (i.e., AC lines L1; see for example fig. SB, para. [0103]) supplies an AC power of 50 Hz or 60 Hz (i.e., such as the heaters 204 are powered by AC lines of 50 Hz or 60 Hz, through the isolation transformer 206 inserted in between the heater 204 and the AC lines L1; see para. [0103]) to the heater (204).
Regarding claim 5, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye further discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); wherein the internal electrode (i.e., 106; chucking electrode 106; see for example fig. SB, para. [0102]) is connected to a ground (i.e., GND; on the ground path; see for example fig. SB, para. [0102]) through a capacitor (i.e., 622; such as the ESC may have a bipolar power supply 620 along with a capacitor 622 on the ground path of the chucking electrode 106; see for example fig. SB, para. [0102]).
Regarding claim 7, is rejected for the same reasons that have already been stated/discussed above in rejected claim 2. {See rejection of claim 2}
Regarding claim 8, is rejected for the same reasons that have already been stated/discussed above in rejected claim 3. {See rejection of claim 3}
Regarding claim 9, is rejected for the same reasons that have already been stated/discussed above in rejected claim 4. {See rejection of claim 4}
Regarding claim 10, is rejected for the same reasons that have already been stated/discussed above in rejected claim 5. {See rejection of claim 5}
Regarding claim 11, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye further discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); further comprising a matching unit (260) electrically coupled between the upper electrode (240) and the first AC power supply (268).
Regarding claim 12, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye further discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); wherein the matching unit (260) comprises a variable capacitor (264) that is coupled to ground (265).
Regarding claim 13, is rejected for the same reasons that have already been stated/discussed above in rejected claim 11. {See rejection of claim 11}
Regarding claim 14, is rejected for the same reasons that have already been stated/discussed above in rejected claim 12. {See rejection of claim 12}
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Ye et al (US Publication No. 20170162417) in view of Imafuku (US Publication No. 20010013504) and in view of Ziemba et (US Publication No. 20190393791) and further in view of Xu et al (US Patent No. 6514390).
Regarding claim 6, Ye in view of Imafuku and further in view of Ziemba and the teachings of Ye as modified by Imafuku have been discussed above. Also, the teachings of Ye as modified by Ziemba have been discussed above as well.
Ye discloses the substrate processing apparatus (i.e., 200; see for example fig. 2 as shown above, para. [0046]- [0091]); including an electrostatic chuck (220), comprising: a lower electrode (202) formed of a dielectric (i.e., such as the dielectric body 202 may be formed from a ceramic material or other suitable insulating material. For example, the dielectric body 202 may be formed from aluminum nitride (AIN); see para. [0056]); an upper electrode (240) provided to face the lower electrode (202); a first AC power supply (268) connected to the upper electrode (240) and supplying an AC power (i.e., such as the RF generator 268 supplies RF voltage and current; see para. [0054]) with a first frequency (i.e., such as the RF generator 268 supplies RF voltage and current at about 27 MHz to the top electrode 240; see para. [0054]); a heater (204) provided in the lower electrode (202) and heating (i.e., such as the heaters 204 of the ESC 220 are configured to provide an operating temperature of about 650 degrees Celsius; see para. [0103]) the lower electrode (202); an isolation transformer (206) connected to the heater (204); a second AC power supply (i.e., AC lines Ll; see for example fig. SB, para. [0103]) connected to the isolation transformer (206); an internal electrode (106) provided in the lower electrode (202); a second filter circuit (i.e., 310; a DC filter circuit 310; see for example fig. 4, para. [0060]) connected to the internal electrode (106); and a DC power supply (i.e., 312; a DC source 312; see for example fig. 4, para. [0060]) connected to the internal electrode (106) through the second filter circuit (i.e., 310; a DC filter circuit 310; see for example fig. 4, para. [0060]) and provided for the electrostatic chuck (220), wherein the DC power supply (i.e., 312; a DC source 312; see for example fig. 4, para. [0060]) is driven under constant voltage control (i.e., such as the RF drive system circuitry 300 may include, a first RF drive 362, and one or more voltage and current sensors (VI sensors) 304, 360; see for example fig. 4, para. [0060]).
Imafuku further discloses the plasma treatment method and apparatus (i.e., 100; see for example fig. 6 as shown above, para. [0096]- [0110]); a first filter circuit (145) connected to the heater (105) and the heater (105) is connected to the isolation transformer (142) through the first filter circuit (145).
Ziemba furthermore discloses the high voltage power system (i.e., such as system 300; see for example fig. 3, para. [0058]- [0099]); wherein the first filter circuit (i.e., such as first filter circuit 102-106; see for example fig. 3, para. [0058]- [0099]) is grounded in a DC-insulated state (i.e., such as DC-insulated state/galvanic isolation as the ground of the filter L3/R3 for the primary side of T2 is separated from the another ground of the filter 102-106 for the secondary side of T2; for instance, the isolation may be galvanic, such that no conductor on the primary side of the isolation transformer passes through or makes contact with any conductor on the secondary side of the isolation transformer; see for example fig. 3, para. [0058]- [0099]).
Neither Ye nor Imafuku nor Ziemba explicitly discloses wherein a secondary coil of the isolation transformer is connected to a ground through a variable resistor.
Xu discloses a magnetic shield to reduce sputtering of an RF coil for a plasma chamber in a semiconductor fabrication system (i.e., see for example fig. 4 as shown below, Col. 3 lines 56+); wherein a secondary coil (1010) of the isolation transformer (XFMR) is connected to a ground (GND) through a variable resistor (5060).
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It would have been obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention to have optionally included the adjustable resistor device in Ye, as taught by Xu, as it provides the advantage of optimizing the circuit design towards efficient tuning/calibration and reducing common-mode noise/transients.
Conclusion
Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to MUAAMAR Q AL-TAWEEL whose telephone number is (571)270-0339. The examiner can normally be reached 0730-1700.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thienvu V Tran can be reached at (571) 270- 1276. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/MUAAMAR QAHTAN AL-TAWEEL/ Examiner, Art Unit 2838
/THIENVU V TRAN/ Supervisory Patent Examiner, Art Unit 2838
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