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 .
Election/Restrictions
Applicant’s election of claims 1-8 in the reply filed on May 28, 2026 is acknowledged. Because applicant did not distinctly and specifically point out the supposed errors in the restriction requirement, the election has been treated as an election without traverse (MPEP § 818.01(a)).
Claim 9-11 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected method (Group II), there being no allowable generic or linking claim. Election was made without traverse in the reply filed on May 28, 2026.
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:
substrate holding unit, driving unit, deformation mechanism, mold measurement unit, and substrate measurement unit in claim 1
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.
Regarding the limitation “substrate holding unit”, the limitation will be interpreted in line with the instant specification in ¶ [0029] as “the substrate holding unit has a substrate mounting surface for holding the substrate by vacuum suction or electrostatic suction.”
Regarding the limitation “a driving unit”, the limitation will be interpreted in line with the instant specification in ¶ [0028] as “a driving mechanism for moving the mold in the Z direction by an actuator (driving unit).”
Regarding the limitation “a deformation mechanism”, the limitation will be interpreted in line with the instant specification in ¶ [0026] as “a deformation mechanism capable of deforming the pattern surface of the mold into a convex shape is configured by the mold holding unit, the mold having a cavity (concave portion), and the pressure adjustment unit that adjusts the pressure in the cavity” and in ¶ [0063] as “a pressure adjustment unit that adjusts the pressure in the cavity constitute a deformation mechanism that deforms the pattern surface of the mold and the substrate into convex shapes.”
Regarding the limitation “a mold measurement unit”, the limitation will be interpreted in line with the instant specification in ¶ [0030] as “the mold measurement unit is a distance measurement device capable of measuring the distance in the Z-axis direction between each position on the surface of the mold and the mold measurement unit.”
Regarding the limitation “a substrate measurement unit”, the limitation will be interpreted as in line with the instant specification in ¶ [0031] as “the substrate measuring unit is a distance measuring instrument capable of measuring a distance in the Z-axis direction between each position on the surface of the substrate and the substrate measuring unit.”
Claim Objections
Claim 1-3 and 6-7 are objected to because of the following informalities:
claim 1, line 3 – “a mold” should read “the mold” to recite to “mold” in the preamble
claim 2, line 3 – “a convex shape” should read “the convex shape” to recite to “convex shape” in claim 1, line 12
claim 2, line 4 – “a pressing force” should read “a pressing force of the pressing forces” to recite to “pressing forces” in claim 1, line 19
claim 3, line 3 – “a convex shape” should read “the convex shape” to recite to “convex shape” in claim 1, line 12
claim 3, line 4 – “a pressing force” should read “a pressing force of the pressing forces” to recite to “pressing forces” in claim 1, line 19
claim 6, line 4 – “a convex shape” should read “the convex shape” to recite to “the convex shape of the mold” in claim 6, line 2
claim 7, line 4 – “a convex shape” should read “the convex shape” to recite to “the convex shape of the substrate” in claim 7, line 2
claim 8, line 2 – “a pressing force” should read “a pressing force of the pressing forces” to recite to “pressing forces” in claim 1, line 19.
Appropriate correction is required.
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.
Claim 8 is 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.
Claim 8 recites "an apex of the convex shape of at least one of the mold and the substrate deformed by the deformation mechanism." Claim 8 depends on claim 2 which further depends on claim 1. Claim 2 recites “the deformation mechanism is configured to deform a surface of the mold on a side facing the substrate into a convex shape” in line 2-3. Claim 2 claims the deformation unit deforms a surface of the mold, but claim 8 in the control unit functional language claims the deformation unit deforms the mold, substrate, or both. Therefore, it is unclear whether the deformation mechanism is configured to deform the mold as claimed in claim 2, or configured to deform the mold, the substrate, or both as recited in the computer functional language in claim 8. Therefore, the limitation is indefinite.
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claim(s) 1-2, 4-6, and 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tanaka et al., henceforth Tanaka (US 2013/0037981 A1) in view of Shiode (US 2017/0305043 A1).
Regarding claim 1, Tanaka discloses an imprint apparatus (¶ [0025] – an imprint apparatus 1) that transfers a pattern (P) of a mold (3) to an imprint material on a substrate (2) (¶ [0025] – that molds an imprint material on a substrate 2 using a mold 3), comprising:
a mold holding unit (¶ [0029] – a mold holding unit 5) configured to hold a mold (3) (¶ [0029] – holds and fixes the mold 3) having a pattern region (P) in which the pattern is formed (¶ [0027] – mold 3 is provided with a concave and convex pattern area P, area where the concave and convex pattern is formed)
a substrate holding unit (¶ [0025] – a substrate holding unit 6) having a substrate mounting surface on which the substrate is mounted (¶ [0034] – 6 includes a substrate chuck 16 that holds the substrate 2)
a driving unit (14) (¶ [0030] – the mold stage 14) configured to press the mold (3) held by the mold the mold holding unit against the substrate (2) applied with an imprint material (¶ [0029] – 5 is used to imprint P of 3 onto 2; includes 14; ¶ [0030] – 14 is a driving system performs driving in the Z-axial direction)
a deformation mechanism (15) (¶ [0032] – a magnification correction mechanism; ¶ [0044] – a pressure control mechanism) configured to deform at least one of (i) a surface of the mold held by the mold holding unit on a side facing the substrate into a convex shape (¶ [0032]-[0033] – a magnification correction mechanism 15 deforms the shape of the mold by exerting forces or displacements to side surfaces of the mold; accordingly, a shape of the pattern area P is deformed; ¶ [0044] – the pattern is deflected in downward (convex) direction);
a mold measurement unit configured to measure positions in a Z direction, perpendicular to the substrate mounting surface (¶ [0039] – a distance measurement unit 9 which measures a spacing between 2 and 3, would measure different positions at different spacings), perpendicular to the substrate mounted surface (FIG. 1 depicts the spacing measured by 9 is perpendicular to 6)
a substrate measurement unit configured to measure a position in the Z direction (¶ [0039] – a distance measurement unit 9 which measures a spacing between 2 and 3)
a control unit (10) (¶ [0042], [0044] – a control unit 10) configured to control pressing forces (¶ [0042] – controls an operation and an adjustment of each constituent element of the imprint apparatus 1; for example the control unit 10 performs control of 14 and 15; ¶ [0044] – can control the pressure in the cavity 25 and can be varied as needed)
Tanaka discloses an alignment measurement unit 8 measures positional deviations in the X-axial direction and Y-axial direction between an alignment mark formed on the substrate 2 and an alignment mark formed on the mold 3 (¶ [0038]). More specifically, 8 obtains information concerning relative positions between a plurality of marks included in the pattern area and a plurality of marks included in the shot (¶ [0038]). The pressing operation may be performed while measuring positional deviation between the mold 3 and the substrate 2 by the alignment measurement unit 8 each time the mold 3 is pressed, and the pressing position may be determined so that the overlay accuracy becomes best (¶ [0055]). Based on the positional deviation between the mold 3 and the substrate 2 measured by the alignment measurement unit 8, a pressing position and inclination of the mold stage 14 are varied by a very small amount so that the overlay accuracy is improved repeated operation until the overlay accuracy becomes a desired value so the final pressing position and inclination can be determined (¶ [0055]).
Regarding the limitation “a driving unit configured to drive the mold ,,, at three or more positions based on a center of the pattern region in the mold,” Tanaka discloses the mold stage 14 is a driving system for driving in the Z-axial direction and further may be for determining an inclination of the mold 3, and may drive the mold in an ωx (rotation around the X-axis) direction, or in an ωy (rotation around the X-axis) direction (¶ [0030]). The mold 3 may be provided with positional adjustment function not only in the Z-axial direction, but also in the X-axial direction, Y-axial direction, or θ (rotating around the X-axis) direction (¶ [0031]). By including a plurality of actuators which performs driving in the Z-direction, the mold stage 14 can control a drive amount and an inclination in the Z-axial direction according to drive amounts of respective actuators (¶ [0031]).
Although Tanaka does not explicitly disclose the mold stage 14 is “configured to press, at three or more pressing positions,” it would be obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use a plurality of actuators, including three or more actuators, which performs driving in the Z-direction to the mold stage to achieve highly accurate positioning as required during pattern transfer (¶ [0030]) and to control a drive amount and an inclination in the Z-axial direction according to drive amounts of respective actuators (¶ [0031]).
Regarding the limitation “control pressing forces at the three or more pressing positions based on distances, in an XY plane parallel to the substrate mounting surface, between an apex position of the convex shape of at least one of the mold and the substrate and the three or more pressing positions”, Tanaka discloses a plurality of marks are included in the concave and convex pattern of the mold 3 (¶ [0038]). Tanaka discloses an apex position of the convex shape of at least one of the mold (Fig. 2A, 2C – a center portion of the convex shape of the pattern area P is defined by a center of 25 formed in the second surface of the mold).
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Fig. 2A of Tanaka
As the control unit 10 controls the magnification correction mechanism 15 and cavity 25 based on information concerning a difference in shape of the pattern acquired from positional deviations in the X-axial direction and Y-axial direction by alignment measurement unit 8 (¶ [0076]-[0077]), the control unit “controls pressing forces” of the mold stage 14 “based on a distance … between an apex position of the convex shape of at least one of the mold” and the mold stage 14.
Tanaka does not disclose a mold measurement unit configured to measure positions in a Z direction …, at a plurality of points in a region corresponding to the pattern region of the mold held by the mold holding unit; a substrate measurement unit configured to measure positions in the Z direction at a plurality of points on a surface of the substrate; and a control unit configured to control pressing forces at the three or more pressing positions based on distances, in an XY plane parallel to the substrate mounting surface, between an apex of the pattern region in the mold and the three or more pressing positions.
Analogous art Shiode discloses an imprint apparatus 100 which forms a pattern of an imprint material on a substrate 2 by using a mold 1 (¶ [0017], [0023]). A control unit 11 is configured to control a process of deforming the mold into a convex shape and bringing the mold and the imprint material into contact with each other (¶ [0023]). A imprint head 4 includes a mold holding unit 4a which holds the mold 1 and a mold driving unit 4b configured to change the position and the tilt of the mold holding unit 4a in the Z direction (¶ [0025]). The mold driving unit 4b may also be configured to adjust the position of the mold 1 in the X and Y directions (¶ [0025]). A deformation unit 5 deforms the pattern region 1a of the mold 1 into a convex shape protruding toward the substrate 2 by changing a pressure inside the cavity 1b of the mold 1 (¶ [0029]). The control unit 11 controls the deformation unit 5 so as to deform the pattern region 1a of the mold 1 into the convex shape protruding toward the substrate 2 (¶ [0037]).
Shiode further discloses a mold measurement unit configured to measure positions in a Z direction …, at a plurality of points in a region (¶ [0026] – displacement sensor 4b detects a displacement amount between both ends of each actuator Z1 to Z3) corresponding to the pattern region of the mold held by the mold holding unit (¶ [0048] – detection result provided so as to maintain relative tilt between the mold and substrate); a substrate measurement unit configured to measure positions in the Z direction at a plurality of points (¶ [0026] – displacement sensor 4b detects a displacement amount between both ends of each actuator Z1 to Z3) on a surface of the substrate (¶ [0048] – detection result provided so as to maintain relative tilt between the mold and substrate); and a control unit configured to control pressing forces at the three or more pressing positions (¶ [0026] - mold driving unit 4b includes actuators Z1 to Z3 and can change the relative position (Z direction) and relative tilt between the mold 1 and the substrate 2; a force sensor detects a force generated in each of the actuators Z1 to Z3) based on distances, in an XY plane parallel to the substrate mounting surface, between an apex position of the convex shape of at least one of the mold and the substrate and the three or more pressing positions (Fig. 2 depicts the actuators Z1 to Z3 comprise of three actuators or positions, which are spaced from a center/apex). Due to the arrangement of the actuators, they drive the mold driving unit based on the center/apex and in an XY plane.
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Fig. 1-2 of Shiode
Tanaka and Shiode disclose an apparatus with the same or similar components performing the same or similar function in regards to an imprint apparatus utilizing a deformation mechanism. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have applied the mold driving unit comprised of three actuators arranged from an apex and comprising displacement sensors and force sensors in Shiode to the mold holding unit comprising a mold stage in Tanaka to change the position and the tilt of the mold holding unit in the Z direction (¶ [0025]) and control the relative tilt between the mold 1 and the substrate 2 so as to obtain a target relative tilt and so as to make the pattern region and the surface of the substrate parallel to each other as the contact area between the mold and the imprint material is widened (¶ [0037]-[0038]; [0042]-[0043]).
Regarding claim 2, modified Tanaka discloses the imprint apparatus according to claim 1.
Modified Tanaka further discloses the deformation mechanism is configured to deform a surface of the mold on a side facing the substrate (Tanaka ¶ [0044] - cavity 25 deforms the mold 3 on a back surface and a pressure in 25 can be varied as needed and can be controlled by 10) into a convex shape (Tanaka ¶ [0044] - for example a cavity pressure is made higher than the outside and the pattern is deflected in downward (convex) direction), and
wherein the control unit controls a pressing force at the three or more pressing positions (Shiode ¶ [0026] - mold driving unit 4b includes actuators Z1 to Z3 and can change the relative position (Z direction) and relative tilt between the mold 1 and the substrate 2; a force sensor detects a force generated in each of the actuators Z1 to Z3) based on a distance in the XY plane between an apex of the convex shape of the mold deformed by the deformation mechanism and the three or more pressing positions (Shiode Fig. 2 depicts the actuators Z1 to Z3 comprise of three actuators or positions, which are spaced from a center/apex).
Regarding claim 4, modified Tanaka discloses the imprint apparatus according to claim 1.
Modified Tanaka discloses wherein the driving unit includes a plurality of actuators disposed at different positions from each other (Shiode Fig. 2 depicts the actuators Z1 to Z3 comprise of three actuators or positions, which are spaced from an apex),
and the control unit controls a pressing force of each of the plurality of actuators (Shiode ¶ [0026] - mold driving unit 4b includes actuators Z1 to Z3 and can change the relative position (Z direction) and relative tilt between the mold 1 and the substrate 2; a force sensor detects a force generated in each of the actuators Z1 to Z3) based on a distance in the XY plane between an apex of the convex shape of at least one of the mold (Shiode ¶ [0029] – deforms the pattern region of the mold into a convex shape; FIG. 1 depicts an apex) deformed by the deformation mechanism (Shiode ¶ [0029] – deformation unit) and each of the plurality of actuators (Shiode Fig. 2 depicts the actuators Z1 to Z3 comprise of three actuators or positions, which are spaced from a center/apex).
Regarding claim 5, modified Tanaka discloses the imprint apparatus according to claim 4.
Modified Tanaka further discloses the driving unit includes three actuators (¶ [0026] - mold driving unit includes a plurality of actuators Z1 to Z3; Fig. 2 depicts the actuators Z1 to Z3 comprise of three actuators).
Regarding claim 6, modified Tanaka discloses the imprint apparatus according to claim 2.
Tanaka discloses the distance measurement unit 9 which measures a spacing between the substrate 2 and the mold 3 (¶ [0039]) can measure the inclination of the mold 3 by measuring spacing at a plurality of positions (¶ [0041]). The spacing is measured by the measurement unit 9 to control the mold stage 14 to attain a spacing which allows an overlay accuracy to become best, based on results of overlay inspections and distortion information of the pattern performed beforehand (¶ [0053]). The variation of the mold stage 14 is determined with a correction amount of a magnification correction by the magnification correction mechanism 15, or the control unit 10 (or the cavity pressure control unit) such that the overlay accuracy is improved (¶ [0076]).
Therefore, by using the spacing at a plurality of positions measured by the measurement unit 9, the “apex of a convex shape” of the mold 3 can be obtained “based on positions in the Z direction measured by” the distance measurement unit 9 “at a plurality of positions in a region where the pattern is formed on the surface of” the mold 3 “deformed into the convex shape by” the magnification correction mechanism 15 and cavity 25.
Regarding claim 8, modified Tanaka discloses the imprint apparatus according to claim 2.
Shiode further discloses the control unit obtains, by using the coordinates of each of the actuators and equations, a moment which fluctuates the relative tilt between the mold and substrate and makes it possible to obtain moment information (¶ [0049], [0062]).
Although modified Tanaka does not disclose that the control unit that uses the positional deviations in a “reciprocal ratio,” it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use the positional deviations and/or detected forces in a equation or formula using a reciprocal ratio to base the pressing force of the mold stage 14 in the control unit so that the overlay accuracy is improved and the overlay accuracy becomes a desired value so the final pressing position and inclination can be determined (Tanaka ¶ [0055]) and makes it possible to obtain moment information (Shiode ¶ [0062]).
Claim(s) 3 and 7 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tanaka et al., henceforth Tanaka (US 2013/0037981 A1) in view of Shiode (US 2017/0305043 A1), as applied to claim 1 and 4, in further view of Wakabayashi (US 2016/0297136 A1).
Regarding claim 3, modified Tanaka discloses the imprint apparatus according to claim 1.
Modified Tanaka does not disclose the deformation mechanism is capable of deforming a surface of the substrate on a side facing the mold into a convex shape, and wherein the control unit controls a pressing force at three or more pressing positions based on a distance in the XY plane between an apex of the convex shape of the substrate held by the substrate holding unit and deformed by the deformation mechanism and the three or more pressing positions.
Analogous art Wakabayashi discloses an imprint apparatus 100 which forms a pattern in an imprint material on a substrate 2 using a mold 3 (¶ [0021]; Fig. 1). A detection unit 16 detects a mark 18 provided on the mold 3 and a mark 17 provided on the substrate (shot region 2a) in the state in which the mold 3 and the imprint material 5 on the substrate are in contact with each other (¶ [0029]). A control unit 15 uses a detection unit 16 to obtain relative positions (in the X and Y directions) of the mark 18 and the mark 17 based on a result of a detection by the detection unit 16 and performs alignment between the mold and the substrate such that the relative positions become target relative positions (¶ [0029]). The apparatus comprises a deformation unit configured to deform at least one of the mold and the substrate, and a control unit (¶ [0030]). In one embodiment, the apparatus includes a space 10 defined by the mold 3, the mold chuck 8a, and the mold driving unit 8b can be formed in a mold holding unit 8 (¶ [0031]). A first deformation unit 11 is connected to the space 10 and can deform, by adjusting a pressure of the space 10, the pattern region 3a of the mold 3 in the convex shape with its central portion protruding toward the substrate 2 (¶ [0031]; Fig. 2).
Wakabayashi further discloses the deformation mechanism is capable of deforming a surface of the substrate on a side facing the mold into a convex shape (¶ [0053] - second deformation unit 24 can deform, by adjusting a pressure of the space 23, each of some shot regions 2a arranged in the peripheral portion of the substrate 2 into the convex shape protruding toward the pattern region 3a of the mold 3).
Tanaka and Wakabayashi disclose an apparatus with the same or similar components performing the same or similar function in regards to an imprint apparatus utilizing a deformation mechanism. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have applied the second deformation unit to deform a space at the substrate and controlled by a control unit in Wakabayashi to the substrate holding unit in modified Tanaka to allow the imprint apparatus to start contact between the imprint material and the pattern region of the mold in a state in which the shot regions are deformed and to gradually bring the pattern region and the imprint material into contact with each other from a part of the pattern region; which as a result, makes it possible to suppress a gas from being trapped between the imprint material and the concave portion of the pattern of the mold, and to prevent a defect from occurring in the pattern formed by the imprint material (¶ [0053]).
As Tanaka discloses pressing operation may be performed while measuring positional deviation between the mold 3 and the substrate 2 by the alignment measurement unit 8, and the pressing position and inclination of the mold stage may be determined so that the overlay accuracy becomes best (¶ [0055]; [0076]), Shiode discloses the mold driving unit comprises three actuator spaced from an apex (¶ [0026], FIG. 2), and Wakabayashi discloses a control unit 15 uses a detection unit 16 to obtain relative positions (in the X and Y directions) and performs alignment between the mold and the substrate such that the relative positions become target relative positions (¶ [0029]), the functions of pressing while measuring positional deviation between the mold and substrate performed by the control unit using the alignment measurement unit can be applied to the second deformation mechanism in Tanaka in view of Shiode and Wakabayashi. Therefore, the control unit 10 “is further configured to control the pressing force of” the mold stage comprising three actuators “based on a distance in the XY plane between an apex of the convex shape of the substrate held by the substrate holding unit and deformed by” the second deformation mechanism and the three actuators.
Regarding claim 7, modified Tanaka discloses the imprint apparatus according to claim 4.
Tanaka does not disclose the apex of the convex shape of the substrate is obtained based on positions in the Z direction measured by a substrate measurement unit at a plurality of positions in a transfer region of the pattern on the surface of the substrate deformed into the convex shape by the deformation mechanism.
Wakabayashi further discloses the apex of the convex shape of the substrate is obtained (¶ [0029] - a detection unit 16 detects a mark 17 provided on the substrate (shot region 2a); ¶ [0053] - second deformation unit 24 can deform each of some shot regions 2a arranged in the peripheral portion of the substrate 2 into the convex shape protruding toward the pattern region 3a of the mold 3) based on positions measured by a substrate measurement unit at a plurality of positions in a transfer region of the pattern on the surface of the substrate deformed into the convex shape by the deformation mechanism (¶ [0029] - a control unit 15 uses a detection unit 16 to obtain relative positions (in the X and Y directions) of the mark 18 and the mark 17 based on a result of a detection by the detection unit 16 and performs alignment between the mold and the substrate such that the relative positions become target relative positions).
Tanaka and Wakabayashi disclose an apparatus with the same or similar components performing the same or similar function in regards to an imprint apparatus utilizing a deformation mechanism. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have applied the second deformation unit to deform a space at the substrate and controlled by a control unit in Wakabayashi to the substrate holding unit in Tanaka in view of Shiode to allow the imprint apparatus to start contact between the imprint material and the pattern region of the mold in a state in which the shot regions are deformed and to gradually bring the pattern region and the imprint material into contact with each other from a part of the pattern region; which as a result, makes it possible to suppress a gas from being trapped between the imprint material and the concave portion of the pattern of the mold, and to prevent a defect from occurring in the pattern formed by the imprint material (¶ [0053]).
As Tanaka discloses using the spacing between the substrate 2 and the mold 3 at a plurality of positions measured by the measurement unit 9 and Wakabayashi discloses a second deformation unit to deform a space at the substrate, the functionality of the measurement unit 9 with the magnification correction unit 15 and cavity 25 can be applied to the second deformation unit. Therefore, by using the spacing at a plurality of positions measured by the measurement unit 9, the “apex of a convex shape” of the substrate 2 can be obtained “based on positions in the Z direction measured by” the distance measurement unit 9 “at a plurality of positions in a transfer region of the pattern on the surface of” the substrate 2 “deformed into a convex shape by” the second deformation unit.
Double Patenting
The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b).
The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13.
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Claim 1-8 rejected on the ground of nonstatutory double patenting as being unpatentable over claim 1, 3-4, and 6-7 of U.S. Patent No. 12285904 (henceforth ‘904) in view of Tanaka (US 2013/0037981 A1) and Shiode (US 2017/0305043 A1).
Regarding claims 1-8, ‘904 claims the following which correspond to the claimed subject matter in the instant application:
Claim
Instant application (19/095402)
Claim
US Patent 12285904 (Parent)
1
An imprint apparatus that transfer a pattern of a mold to an imprint material on a substrate, comprising:
a mold holding unit configured to hold a mold having a pattern region in which the pattern is formed;
a substrate holding unit having a substrate mounting surface on which the substrate is mounted;
a driving unit configured to press, at three or more pressing positions, the mold held by the mold holding unit against the substrate applied with the imprint material;
a deformation mechanism configured to deform at least one of (i) a surface of the mold held by the mold holding unit on a side facing the substrate and (ii) a surface of the substrate on a side facing the mold into a convex shape;
a mold measurement unit configured to measure positions in the Z direction; and
a control unit configured to control pressing forces at the three or more pressing positions based on distances in an XY plane parallel to the substrate mounting surface, between an apex position of the convex shape of at least one of the mold and the substrate and the three or more pressing positions
1
An imprint apparatus that transfers a pattern of a mold to an imprint material on a substrate, comprising:
the mold having a first surface including a pattern region in which the pattern is formed and a second surface, opposite the first surface, in which a cavity is formed;
a substrate holding unit having a substrate mounting surface on which the substrate is mounted;
a driving unit configured to drive the mold and press the mold against the substrate coated with the imprint material at three or more positions based on a center of the pattern region in the mold;
a deformation mechanism configured to deform the first surface of the mold into a convex shape when the mold and the substrate are facing each other, wherein a top portion of the convex shape of the first surface of the mold is defined by a center of the cavity formed in the second surface of the mold;
a mold measurement unit configured to measure a position of the pattern region of the mold in a Z direction perpendicular to the substrate mounting surface; and
a control unit configured to control a pressing force of the driving unit based on a distance in an XY plane parallel
to the substrate mounting surface between the center of the pattern region in the mold and the top portion of the convex shape of the mold deformed by the deformation mechanism,
1
a substrate measurement unit configured to measure positions in the Z direction;
5
wherein the top portion of the convex shape of the substrate is obtained based on positions in the Z direction measured by a substrate measurement unit
2
wherein the deformation mechanism is configured to deform a surface of the mold on a side facing the substrate into a convex shape, and
wherein the control unit controls a pressing force at the three or more pressing positions based on a distance in the XY plane between an apex of the convex shape of the mold deformed by the deformation mechanism and the three or more pressing positions
1
a deformation mechanism configured to deform the first surface of the mold into a convex shape when the mold
a control unit configured to control a pressing force of the driving unit based on a distance in an XY plane parallel
to the substrate mounting surface between the center of the pattern region in the mold and the top portion of the convex shape of the mold deformed by the deformation mechanism,
3
wherein the deformation mechanism is configured to deform a surface of the substrate on a side facing the mold into a convex shape, and
wherein the control unit controls a pressing force at the three or more pressing positions based on a distance in the XY plane between an apex of the convex shape of the substrate deformed by the deformation mechanism and the three or more pressing positions
3
wherein the deformation mechanism is further configured to deform a surface of the substrate on a side facing the
mold into a convex shape,
and wherein the control unit is further configured to control the pressing force of the driving unit based on a distance in the XY plane between the driving unit and a top portion of the convex shape of the substrate held by the substrate holding unit and deformed by the deformation mechanism.
4
wherein the driving unit includes a plurality of actuators disposed at different positions from each other,
and the control unit controls a pressing force of each of the plurality of actuators based on a distance in the XY plane between an apex of the convex shape of at least one of the mold and the substrate deformed by the deformation mechanism and each of the plurality of actuators.
3
wherein the driving unit includes a plurality of actuators disposed at different positions from each other,
and wherein the control unit is further configured to control the pressing force of each of the plurality of actuators based on a corresponding reciprocal ratio of the distance in the XY plane between the top portion of the convex shape of the mold deformed by the deformation mechanism and each of the plurality of actuators.
5
wherein the driving unit includes three actuators
1
wherein the driving unit includes three actuators
6
wherein the apex of the convex shape of the mold is obtained based on positions in the Z direction measured by the mold measurement unit at a plurality of positions in a region where the pattern is formed on the surface of the mold deformed into a convex shape by the deformation mechanism
4
wherein the top potions of the convex shape of the mold is obtained based on positions in the Z direction measured by the mold measurement unit at a plurality of positions in a region where the pattern is formed on the surface of the mold deformed into the convex shape by the deformation mechanism
7
wherein the apex of the convex shape of the substrate is obtained based on positions in the Z direction measured by the substrate measurement unit at a plurality of positions in a transfer region of the pattern on the surface of the substrate deformed into a convex shape by the deformation mechanism
5
wherein the top portion of the convex shape of the substrate is obtained based on positions in the Z direction measured by a substrate measurement unit at a plurality of positions in a transfer region of the pattern on the surface of the substrate deformed into the convex shape by the deformation mechanism.
8
wherein the control unit controls a pressing force at the three or more pressing positions based on a reciprocal ratio of a distance in the XY plane between an apex of the convex shape of at least one of the mold and the substrate deformed by the deformation mechanism and the three or more pressing positions
1
wherein the control unit is further configured to control the pressing force of the driving unit based on a reciprocal ratio of a distance in the XY plane between the three actuators of the driving unit and the top portion of the convex shape of the mold deformed by
the deformation mechanism
‘904 does not claim a mold holding unit. However, Tanaka discloses a mold holding unit 5 holds and fixes the mold 3 (¶ [0029]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to apply the mold holding unit in Tanaka to the mold in ‘904 to imprint the concave and convex pattern of the mold onto the substrate (¶ [0029]).
‘904 does not claim a mold measurement unit configured to measure positions in a Z direction, at a plurality of points in a region corresponding to the pattern region of the mold held by the mold holding unit.
Shiode further discloses a substrate measurement unit configured to measure positions in the Z direction at a plurality of points (¶ [0026] – displacement sensor 4b detects a displacement amount between both ends of each actuator Z1 to Z3) on a surface of the substrate (¶ [0048] – detection result provided so as to maintain relative tilt between the mold and substrate). It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have applied the mold driving unit comprised of three actuators arranged from an apex and comprising displacement sensors and force sensors in Shiode to the mold in ‘904 to change the position and the tilt of the mold holding unit in the Z direction (¶ [0025]) and control the relative tilt between the mold 1 and the substrate 2 so as to obtain a target relative tilt and so as to make the pattern region and the surface of the substrate parallel to each other as the contact area between the mold and the imprint material is widened (¶ [0037]-[0038]; [0042]-[0043]).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to JONATHAN B WOO whose telephone number is (571)272-5191. The examiner can normally be reached M-F 8:30 am - 5:00 pm ET.
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/JONATHAN B WOO/Examiner, Art Unit 1754
/MATTHEW J DANIELS/Primary Examiner, Art Unit 1742
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