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`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVHSSIONER FOR PATENTS
`PO. Box 1450
`Alexandria1 Virginia 22313-1450
`www.uspto.gov
`
`
`
`
`
`14/919,325
`
`10/21/2015
`
`Tetsuhiro IWAI
`
`PIPMM-55246
`
`5145
`
`04”“2018 —PEARNE&GORDON LLP m
`7590
`52054
`1801 EAST 9TH STREET
`KENDALL, BENJAMIN R
`SUITE 1200
`CLEVELAND, OH 441 14-3 108
`
`PAPER NUMBER
`
`ART UNIT
`1718
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`04/ 1 1/2018
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above—indicated "Notification Date" to the
`following e—mail address(es):
`
`patdocket @ pearne.c0m
`
`PTOL—90A (Rev. 04/07)
`
`

`

`
`
`Applicant(s)
`Application No.
` 14/919,325 IWAI ET AL.
`
`Examiner
`Art Unit
`AIA (First Inventor to File)
`Office Action Summary
`
`1718BENJAMIN KENDALL $2215
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE g MONTHS FROM THE MAILING DATE OF
`THIS COMMUNICATION.
`Extensions of time may be available under the provisions of 37 CFR1. 136( a).
`after SIX () MONTHS from the mailing date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1 .704(b).
`
`In no event, however, may a reply be timely filed
`
`Status
`
`1)IZI Responsive to communication(s) filed on 03/20/2018.
`El A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
`
`2b)|ZI This action is non-final.
`2a)|:l This action is FINAL.
`3)I:I An election was made by the applicant in response to a restriction requirement set forth during the interview on
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`; the restriction requirement and election have been incorporated into this action.
`
`4)|:| Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
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`closed in accordance with the practice under Exparte Quay/e, 1935 CD. 11, 453 O.G. 213.
`
`Disposition of Claims*
`
`5)IZI Claim(s) 18-1719 and 20 is/are pending in the application.
`5a) Of the above claim(s) 12,15-17and 19-20 is/are withdrawn from consideration.
`
`is/are allowed.
`6)I:I Claim(s)
`
`7)|Z| Claim(s) 18- 11 13 and 14 is/are rejected.
`
`8)|Z| Claim(s)_15 and 19 is/are objected to.
`
`
`are subject to restriction and/or election requirement.
`9)I:I Claim((s)
`* If any claims have been determined allowable, you may be eligible to benefit from the Patent Prosecution Highway program at a
`
`participating intellectual property office for the corresponding application. For more information, please see
`
`
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`:/'I’\WIIW.usnto. ovI’ atentS/init events/
`hI/index.‘s orsend an inquiryto PPI-iieedback{®usgtc.00v.
`
`hit
`
`Application Papers
`
`10)I:l The specification is objected to by the Examiner.
`11)|Xl The drawing(s) filed on 10/21/2015 is/are: a)IXI accepted or b)|:l objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`
`Priority under 35 U.S.C. § 119
`
`12)IXI Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
`
`a)IZl All
`
`b)|:l Some” c)I:l None of the:
`
`1.IXI Certified copies of the priority documents have been received.
`2.|:l Certified copies of the priority documents have been received in Application No.
`3.|:| Copies of the certified copies of the priority documents have been received in this National Stage
`
`application from the International Bureau (PCT Rule 17.2(a)).
`** See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`
`
`
`3) D Interview Summary (PTO-413)
`1) D Notice of References Cited (PTO-892)
`Paper No(s)/Mai| Date.
`.
`.
`4) I:I Other'
`2) I] InformatIon DIsclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`Paper No(s)/Mai| Date
`US. Patent and Trademark Office
`PTOL—326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mai| Date 20180405
`
`

`

`Application/Control Number: 14/919,325
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`Page 2
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`Art Unit: 1718
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`1.
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`The present application, filed on or after March 16, 2013, is being examined
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`under the first inventor to file provisions of the AIA.
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`2.
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`In the event the determination of the status of the application as subject to AIA 35
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`U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any
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`correction of the statutory basis for the rejection will not be considered a new ground of
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`rejection if the prior art relied upon, and the rationale supporting the rejection, would be
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`the same under either status.
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`DETAILED ACTION
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`Status of Claims
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`3.
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`4.
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`3.
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`5.
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`6.
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`This action is in response to Applicant’s RCE dated 03/20/2018.
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`Claims 1, 8-17, and 19-20 are currently pending.
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`Claims 12, 15-17, and 19-20 have been withdrawn.
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`Claims 1, 8, 15-17, and 19 have been amended.
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`Claims 2-7 and 18 have been cancelled.
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`Continued Examination Under 37 CFR 1. 1 14
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`7.
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`A request for continued examination under 37 CFR 1.114, including the fee set
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`forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this
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`application is eligible for continued examination under 37 CFR 1.114, and the fee set
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`forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action
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`

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`Application/Control Number: 14/919,325
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`Page 3
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`Art Unit: 1718
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`has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on
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`03/20/2018 has been entered.
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`Claim Objections
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`8.
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`Claims 15 and 19 are objected to because of the following informalities: Claims
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`15 and 19 were previously withdrawn (see action dated 12/20/2017). As such claims 15
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`and 19 have been provided with an improper status identifier. Appropriate correction is
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`required.
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`Claim Rejections - 35 USC § 1 12
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`9.
`
`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.
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`10.
`
`Claims 1, 8-11, and 13-14 are rejected under 35 U.S.C. 112(b) or 35 U.S.C.112
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`(pre-AIA), second paragraph, as being indefinite for failing to particularly point out and
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`distinctly claim the subject matter which the inventor or a joint inventor, or for pre-AIA
`
`the applicant regards as the invention.
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`Regarding claim 1:
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`Claim 1 recites the limitations "the electric heater" and “the plate electrode” [lines
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`19 and 20, respectively]. There is insufficient antecedent basis for this limitation in the
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`

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`Application/Control Number: 14/919,325
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`Page 4
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`Art Unit: 1718
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`claim. For purposes of prosecution on the merits, examiner is interpreting these
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`limitations to mean “an electric heater” and “a plate electrode”, respectively.
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`Regarding claims 8-11 and 13-14:
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`Claims 8-11 and 13-14 are rejected at least based on their dependency from
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`claim 1.
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`Claim Rejections - 35 USC § 103
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`11.
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`This application currently names joint inventors. In considering patentability of the
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`claims the examiner presumes that the subject matter of the various claims was
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`commonly owned as of the effective filing date of the claimed invention(s) absent any
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`evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to
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`point out the inventor and effective filing dates of each claim that was not commonly
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`owned as of the effective filing date of the later invention in order for the examiner to
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`consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2)
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`prior art against the later invention.
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`12.
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`The following is a quotation of 35 U.S.C. 103 which forms the basis for all
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`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.
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`13.
`
`Claims 1 and 8-9 is/are rejected under 35 U.S.C. 103 as being unpatentable
`
`over Yoshida (US 5,735,993) in view of Ohkuni (US 2007/0004208) and Hama (US
`
`6,149,760).
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`

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`Application/Control Number: 14/919,325
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`Page 5
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`Art Unit: 1718
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`Regarding claim 1:
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`Yoshida’993 teaches a plasma processing apparatus (plasma processing
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`apparatus) [fig 7 & col 5-6, lines 59-4] comprising: a vessel (vacuum reaction vessel,
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`10) which comprises a reaction chamber (space within 10), wherein atmosphere within
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`the reaction chamber (space within 10) is capable of being depressurized (vacuum) [fig
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`7 & col 6, lines 5-14]; a lower electrode (lower electrode, 11) which supports an object
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`to be processed (sample, 27) within the reaction chamber (space within 10) [fig 7 & col
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`4, lines 3-11]; a dielectric member (portion of dielectric 2 above 1a) which comprises a
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`first surface (top of 2) and a second surface (bottom surface of 2 contacting 1a)
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`opposite to the first surface (top of 2), and which closes an opening of the vessel (top of
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`10) such that the first surface (top of 2) opposes an outside of the reaction chamber
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`(outside of space within 10) and the second surface (bottom surface of 2 contacting 1a)
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`opposes the object to be processed (sample, 27) [fig 7 & col 5-6, lines 59-4]; and a coil
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`(flat spiral coil, 1) which opposes the first surface of the dielectric member (top of 2),
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`and which generates plasma within the reaction chamber (space within 10) [fig 7 & col3-
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`4, lines 52-2], wherein an electrode pattern (1a/1 b) and an insulation film (portion of
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`dielectric 2 below 1a) which covers the electrode pattern (1 a/1 b) are formed on the
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`second surface of the dielectric member (bottom surface of 2 contacting 1a) [fig 7 & col
`
`5-6, lines 59-4], wherein the electrode pattern (1a/1 b) and the insulating film (portion of
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`dielectric 2 below 1a) comprise a first electrode pattern (metallic plate, 1a) and a first
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`insulation film (portion of 2 between 1a and 1b) which covers the first electrode pattern
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`(1a) and are formed on the second surface of the dielectric member (bottom surface of
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`

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`Application/Control Number: 14/919,325
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`Page 6
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`Art Unit: 1718
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`2 contacting 1a), and a second electrode pattern (1 b) and a second insulation film
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`(portion of 2 below 1b) which covers the second electrode pattern (heater, 1b) and are
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`formed on a surface of the first insulation film (bottom of portion of 2 between 1a and
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`1b) [fig 7 & col 5-6, lines 59-4], and wherein the first electrode pattern (1 a) comprises a
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`plate electrode (metallic plate), and the second electrode pattern (1 b) comprises an
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`electric heater (heater) [fig 7 & col 5-6, lines 59-4].
`
`Yoshida’993 does not specifically disclose the first electrode pattern comprises
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`an electric heater, and the second electrode pattern comprises a plate electrode which
`
`is capacitively coupled to the plasma in the reaction chamber when radio frequency
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`power is supplied from a power supply which is electrically connected to the plate
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`electrode.
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`Ohkuni teaches a first electrode pattern comprises a heater (lamps, 51), and a
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`second electrode pattern comprises a plate electrode (Faraday shield electrode, 13)
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`which is capacitively coupled to the plasma in the reaction chamber (chamber, 1) when
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`radio frequency power is supplied from a power supply (15) which is electrically
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`connected to the plate electrode (13) [fig 9 & 0072].
`
`Yoshida’993 and Ohkuni are analogous inventions in the field of inductively
`
`coupled plasma processing apparatuses. It would have been obvious to one skilled in
`
`the art before the effective date to modify the first electrode pattern and the second
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`electrode pattern of Yoshida’993 to comprise the electric heater and the plate electrode,
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`respectively, (i.e. reversal of parts) as in Ohkuni, to allow for a small high-frequency
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`power to be applied since the high-frequency power loss by the dielectric is reduced in
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`

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`Application/Control Number: 14/919,325
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`Page 7
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`Art Unit: 1718
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`order to suppress the adhesion of the reaction products on the chamber inner surface
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`side of the dielectric. In addition, with this configuration, since the heat generated by the
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`heater accumulates in the plate electrode, it is possible to maintain the temperature of
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`the dielectric wall at a high temperature [Ohkuni — 0072].
`
`Yoshida’993 modified by Ohkuni does not specifically disclose the second
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`surface of the dielectric member being an outermost surface of the dielectric member.
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`Hama teaches the second surface of a dielectric member (bottom of 108) being
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`an outermost surface of the dielectric member (outermost surface of 108) [fig 1-2 & col
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`3, lines 16-27].
`
`Modified Yoshida’993 and Hama are analogous inventions in the field of
`
`inductively coupled plasma processing apparatuses. It would have been obvious to one
`
`skilled in the art before the effective date to make the dielectric member and the
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`insulation film of modified Yoshida’993 separable structures, as in Hama, since such
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`would allow the structure to be formed by simply stacking the structures, thereby
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`lowering fabrication cost [Hama’760 — col 9, lines 4-10].
`
`Regarding claim 8:
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`Yoshida’993 teaches the electric heater as a whole is disposed within the plate
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`electrode (heater 1b is of the same geometry as the metal plate 1a) as viewed from a
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`direction perpendicular to the second surface of the dielectric member (top-down view)
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`[fig 7 & col 6, lines 5-14].
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`Regarding claim 9:
`
`

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`Application/Control Number: 14/919,325
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`Page 8
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`Art Unit: 1718
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`Yoshida’993 teaches the second surface of the dielectric member (bottom
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`surface of 2 contacting 1a) comprises a flat portion (see horizontal depiction), and
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`wherein the electrode pattern (1a/1 b) is formed in the flat portion (see horizontal
`
`depiction) [fig 7 & col 5-6, lines 59-4].
`
`14.
`
`Claims 10-11 and 13 is/are rejected under 35 U.S.C. 103 as being
`
`unpatentable over Yoshida (US 5,735,993) in view of Ohkuni (US 2007/0004208)
`
`and Hama (US 6,149,760) as applied to claims 1 and 8-9 above, and further in view
`
`of Yoshida (US 5,690,781).
`
`The limitations of claims 1 and 8-9 have been set forth above.
`
`Regarding claims 10-1 1:
`
`Modified Yoshida’993 does not teach a groove is formed on the first surface of
`
`the dielectric member, and wherein at least a part of the coil is disposed in the groove;
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`and wherein the groove has an annular shape having a center which substantially
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`overlaps with a center of the coil as viewed from a direction perpendicular to the first
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`surface of the dielectric member.
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`Yoshida’781 teaches a groove (surface around upwardly convex shape) is
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`formed on the first surface of the dielectric member (top surface of 4), and wherein at
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`least a part of the coil (spiral coil, 2) is disposed in the groove (provided to conform
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`along the surface around convex shape) [fig 5B & col 4-5, lines 56-6]; and wherein the
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`groove (surface around upwardly convex shape) has an annular shape having a center
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`(center of the reaction chamber) which substantially overlaps with a center of the coil
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`(coil to be axially symmetrical about the center of the reaction chamber) as viewed from
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`

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`Application/Control Number: 14/919,325
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`Page 9
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`Art Unit: 1718
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`a direction perpendicular to the first surface of the dielectric member (direction depicted
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`in fig SB) [fig SB & col 2, lines 6-38 and col 4-S, lines 56-6].
`
`Modified Yoshida’993 and Yoshida’781 are analogous inventions in the field of
`
`inductively coupled plasma processing apparatuses. It would have been obvious to one
`
`skilled in the art before the effective date to modify the dielectric member of modified
`
`Yoshida’993 with a groove in the top surface thereof, as in Yoshida’781, to achieve a
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`uniform processing rate across the diameter of the substrate [Yoshida’781 — col 2, lines
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`6-38].
`
`Regarding claim 13:
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`Modified Yoshida’993 does not teach the coil comprises a conductor having a
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`length L and extending from a first end on a center side to a second end on an outer
`
`peripheral side, wherein the conductor comprises a center side portion having a length
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`0.5 L from a center of the coil and a remaining outer peripheral side portion, and
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`wherein a ratio of the remaining outer peripheral side portion disposed within the groove
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`is larger than a ratio of the center side portion disposed within the groove.
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`Yoshida’781 teaches a coil (spiral coil, 2) comprises a conductor having a length
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`L (length of coil from center to outer peripheral side — radius of 2) and extending from a
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`first end on a center side (center of reaction chamber) to a second end on an outer
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`peripheral side (outer right side of 2) [fig SB & col 2, lines 6-38 and col 4-S, lines 56-6],
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`wherein the conductor comprises a center side portion having a length 0.5 L from a
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`center of the coil (length of coil from center to 0.5 the distance to the outer peripheral
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`

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`Application/Control Number: 14/919,325
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`Page 10
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`Art Unit: 1718
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`side of 2) and a remaining outer peripheral side portion (halfway between center and
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`outer right side of 2) [fig 5B & col 2, lines 6-38 and col 4-5, lines 56-6].
`
`Yoshida’781 does not specifically disclose “a ratio of the remaining outer
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`peripheral side portion disposed within the groove is larger than a ratio of the center
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`side portion disposed within the groove” but teaches a ratio of the outer peripheral side
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`portion to the center side portion (D/d) is a result-effective variable [fig 3A-3D & col 4,
`
`lines 22-41]. It would have been obvious to a person of ordinary skill in the art before
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`the effective filing date to discover the optimum range for the ratio of the outer
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`peripheral side portion to the center side portion through routine experimentation in
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`order to discover the optimum ratio for reducing the induction field at the center to
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`achieve a uniform ion current density [fig 3A-3D & col 4, lines 22-41]. It has been held
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`that discovering an optimum value of a result-effective variable involves only routine skill
`
`in the art [MPEP 2144.05].
`
`Modified Yoshida’993 and Yoshida’781 are analogous inventions in the field of
`
`inductively coupled plasma processing apparatuses. It would have been obvious to one
`
`skilled in the art before the effective date to modify the dielectric member of modified
`
`Yoshida’993 with the groove of Yoshida’781 to achieve a uniform processing rate
`
`across the diameter of the substrate [Yoshida’781 — col 2, lines 6-38].
`
`15.
`
`Claim 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over
`
`Yoshida (US 5,735,993) in view of Ohkuni (US 2007/0004208), Hama (US
`
`6,149,760), and Yoshida (US 5,690,781) as applied to claims 10-11 and 13 above,
`
`and further in view of Ghanbari (US 5,982,100).
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`

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`Application/Control Number: 14/919,325
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`Page 11
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`Art Unit: 1718
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`The limitations of claims 10-11 and 13 have been set forth above.
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`Regarding claim 14:
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`Modified Yoshida’993 does not specifically disclose a winding density of the coil
`
`in the outer peripheral side portion is larger than a winding density of the coil in the
`
`center side portion.
`
`Ghanbari does not specifically disclose “a winding density of the coil in the outer
`
`peripheral side portion is larger than a winding density of the coil in the center side
`
`portion” but teaches the winding density is a result-effective variable [fig 2 & col 3, lines
`
`51 -65]. It would have been obvious to one skilled in the art before the effective filing
`
`date to discover the optimum configuration for the winding density through routine
`
`experimentation in order to modify the field configuration within the plasma chamber [fig
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`2 & col 3, lines 51-65]. It has been held that discovering an optimum value of a result-
`
`effective variable involves only routine skill in the art [MPEP 2144.05].
`
`Modified Yoshida’993 and Ghanbari are analogous inventions in the field of
`
`inductively coupled plasma processing apparatuses. It would have been obvious to one
`
`skilled in the art before the coil of modified Yoshida’993 with the winding density of
`
`Ghanbari to adjust the coil to produce a more uniform plasma [Ghanbari — col 3, lines
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`51 -65].
`
`Response to Arguments
`
`16.
`
`Applicant’s arguments, see Remarks, filed 03/20/2018, with respect to the
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`objection of claim(s) 15-17 have been fully considered and are persuasive. The
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`

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`Application/Control Number: 14/919,325
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`Page 12
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`Art Unit: 1718
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`objection of claim(s) 15-17 has been withdrawn in view of the amendments to claims
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`15-17. However, it is noted that a new objection of claims 15 and 19 have been set forth
`
`above.
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`17.
`
`Applicant’s arguments, see Remarks, filed 03/20/2018, with respect to the
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`rejection of claim(s) 1-3, 5, 6, 8-11, 13, and 14 under 35 USC 103 have been fully
`
`considered but are moot because the arguments do not apply to the combination of
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`references being used in the current rejection.
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`The teachings of Ohkuni (US 2007/0004208) remedy anything lacking in the
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`combination of references as applied above to the amended claims.
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`Conclusion
`
`18.
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`The prior art made of record and not relied upon is considered pertinent to
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`applicant's disclosure. Paterson et al (US 2008/0236490) teaches a gas injection port
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`which is formed in a portion overlapping with at least a part of the slit portion when
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`viewed in a plane view [fig 8]. Sakka et al (US 2013/0299091) teaches a gas injection
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`port which is formed in a portion overlapping with at least a part of the window portion
`
`when viewed in a plane view [fig 9].
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to BENJAMIN KENDALL whose telephone number is
`
`(571 )272-5081. The examiner can normally be reached on Mon-Thur: 9-5 EST.
`
`Examiner interviews are available via telephone, in-person, and video
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`conferencing using a USPTO supplied web-based collaboration tool. To schedule an
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`

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`Application/Control Number: 14/919,325
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`Page 13
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`Art Unit: 1718
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`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, Gordon Baldwin can be reached on (571)272-5166. The fax phone number
`
`for the organization where this application or proceeding is assigned is 571 -273-8300.
`
`Information regarding the status of an application may be obtained from the
`
`Patent Application Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpublished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
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`Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a
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`USPTO Customer Service Representative or access to the automated information
`
`system, call 800-786-9199 (IN USA OR CANADA) or 571-272—1000.
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`/BENJAMIN KENDALL/
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`Primary Examiner, Art Unit 1718
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`