www.uspto.gov
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address; COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`16/993,466
`
`08/14/2020
`
`Akihiro ITOU
`
`ISHII-63085
`
`AT11
`
`PEARNE & GORDON LLP
`1801 EAST 9TH STREET
`SUITE 1200
`
`CLEVELAND, OH 44114-3108
`
`AHMED, SHAMIM
`
`1713
`
`05/28/2021
`
`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.com
`
`PTOL-90A (Rev. 04/07)
`
`

`

`
`
`Disposition of Claims*
`1-4 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) ___ is/are withdrawn from consideration.
`C} Claim(s)
`is/are allowed.
`Claim(s) 1-4 is/are rejected.
`S)
`) © Claim(s)____is/are objected to.
`Cj) Claim(s
`are subjectto restriction and/or election requirement
`)
`S)
`* If any claims have been determined allowable, you maybeeligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`http://www.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`) )
`
`Application Papers
`10)(] The specification is objected to by the Examiner.
`11) The drawing(s) filed on 8/14/2020 is/are: a)(¥) accepted or b)() 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) Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d)or (f).
`Certified copies:
`_—_c)L) None ofthe:
`b)L) Some**
`a)¥) All
`1.4) Certified copies of the priority documents have been received.
`2.2) Certified copies of the priority documents have been received in Application No.
`3.2.) Copies of the certified copies of the priority documents have been receivedin 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)
`
`1)
`
`Notice of References Cited (PTO-892)
`
`Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`2)
`Paper No(s)/Mail Date
`U.S. Patent and Trademark Office
`
`3) (J Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`(Qj Other:
`
`4)
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20210503
`
`Application No.
`Applicant(s)
`16/993,466
`ITOU etal.
`
`Office Action Summary Art Unit|AIA (FITF) StatusExaminer
`SHAMIM AHMED
`1713
`Yes
`
`
`
`-- The MAILING DATEofthis communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensions of time may be available underthe provisions of 37 CFR 1.136(a). In no event, however, may a reply betimely filed after SIX (6) MONTHSfrom 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) MONTHSfrom 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, evenif timely filed, may reduce any earned patent term
`adjustment. See 37 CFR 1.704(b).
`
`Status
`
`1) Responsive to communication(s) filed on 8/14/2020.
`C} A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`
`2a)L) This action is FINAL. 2b)¥)This action is non-final.
`3)02 An election was madeby the applicant in responseto a restriction requirement set forth during the interview
`on
`; the restriction requirement and election have been incorporated into this action.
`4\0) Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Exparte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`

`

`Application/Control Number: 16/993,466
`Art Unit: 1713
`
`Page 2
`
`DETAILED ACTION
`
`Notice of Pre-AlA or AIA Status
`
`1.
`
`The present application, filed on or after March 16, 2013,
`
`is being examined
`
`under the first inventor to file provisions of the AIA.
`
`Claim Rejections - 35 USC § 103
`
`2.
`
`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 for the rejection will not be considered a new groundof
`
`rejection if the prior art relied upon, and the rationale supporting the rejection, would be
`
`the same under either status.
`
`3.
`
`The following is a quotation of 35 U.S.C. 103 which forms the basis forall
`
`obviousness rejections set forth in this Office action:
`
`A patent for a claimed invention maynotbe obtained, notwithstanding thatthe claimed
`invention is not identicallydisclosed as set forth insection 102, if the differences between the
`claimed invention and the prior artare such thatthe claimed invention as a whole would have
`been obvious before the effective filing date of the claimed invention to a person having
`ordinaryskill inthe art to which the claimed invention pertains. Patentabilityshall notbe
`negated by the mannerin whichthe invention was made.
`
`4.
`
`This application currently namesjoint inventors.
`
`In considering patentability of the
`
`claims the examiner presumesthat the subject matter of the various claims was
`
`commonly ownedasof the effective filing date of the claimed invention(s) absent any
`
`evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to
`
`point out the inventor and effective filing dates of each claim that was not commonly
`
`ownedasof the effective filing date of the later invention in order for the examiner to
`
`consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2)
`
`prior art against the later invention.
`
`

`

`Application/Control Number: 16/993,466
`Art Unit: 1713
`
`Page 3
`
`5.
`
`Claims 1-4 is/are rejected under 35 U.S.C. 103 as being unpatentable over
`
`Applicant’s admitted prior art (AAPA, herein after) in view of Rattner et al (US
`
`2003/0211752) and Hori et al (US 2010/0093179) and further in view of Yu et al (US
`
`9,159,574).
`
`AAPA discloses a Bosch process to perform dicing method for producing
`
`element chips form a substrate, wherein a plasma dicing step of repeating a cycle
`
`including an etching and deposition on a dicing region to form a groove along the
`
`region; and such technique provide the groove with sidewalls of scallops, which appears
`
`a series of peaks and valleys (see [0005] at instant specification).
`
`AAPAfails to disclose the instant process steps of sidewall cleaning, oxidation
`
`and etching the sidewall after the oxidation for achieving a smoother sidewall of the
`
`grooves.
`
`However, Rattner et al disclose a process for smoothing a trench sidewall after a
`
`deep trench silicon etch process which reduces scalloping present after a silicon trench
`
`etch [0010]; wherein the process comprises:
`
`The step of cleaning residue using an oxygen plasma (resemble as the claimed
`
`first plasma) [0037]; Following the oxygen plasma clean-up step, a plasma generated
`
`from a fluorine-containing gas is introduced into the processing chamber at a very low
`
`pressure and at a low substrate bias. This very mild isotropic etch selectively smooths
`
`out silicon peaks along the sidewalls of the etched trench [0038]; minimization in
`
`scalloping 302 shown in FIG. 3A compared to the heavily scalloped trench sidewall 208
`
`of FIG. 2. Exposureof the silicon sidewall 300 to the SF.sub.6 plasma can resultin
`
`

`

`Application/Control Number: 16/993,466
`Art Unit: 1713
`
`Page 4
`
`sidewall porosity 304, as shown in FIG. 3A. This porosity can be removed by oxidizing
`
`the sidewall 300, then removing the resulting silicon oxide using an HF dip or by
`
`exposure of the sidewall 300 to vaporous HF. The porosity actually aids in the oxidation
`
`of the sidewall, because the oxygen can penetrate deeper into the sidewall in a short
`
`period of time due to the presence of pores 304 [0042]; As shownin FIG. 3C, after
`
`removal of oxide layer 306, the silicon trench sidewall 310 is actually smoother than the
`
`silicon trench sidewall 300 prior to the performanceof the oxidation step (shownin FIG.
`
`3A), because removal of the oxide layer smoothes any scalloping which may remain
`
`after performance of the mild SF.sub.6 etch [0045].
`
`Rattner et al disclose that a patterned photoresist layer is provided over a bare
`
`silicon wafer prior to performing the trench formation steps [0014] and [0037].
`
`Therefore, it would have been obvious to one of ordinary skill
`
`in the art before the
`
`effectivefiling date of the claimed invention to employ Rattner et al’s teaching of
`
`smoothening process into AAPA’s teaching for achieving grooves or trench having
`
`smoother sidewalls as required in the industries as taught by Rattner etal.
`
`Unlike the instant invention, modified AAPA fails to disclose the oxidation is
`
`performed by plasma (resemble as the claimed second plasma); and the removalof the
`
`resulted silicon oxide layer by a plasma (resemble as the claimed third plasma).
`
`However, Hori etal disclose a semiconductor processing including the silicon
`
`patterning process, wherein the silicon pattern is oxidized by performing a plasma
`
`oxidation process on the silicon surface inside a process chamber of a plasma
`
`processing apparatus and thereby formingasilicon oxide film on a surface ofthe initial
`
`pattern; and removing thesilicon oxide film, wherein the pattern forming method is
`
`

`

`Application/Control Number: 16/993,466
`Art Unit: 1713
`
`Page 5
`
`arranged to repeatedly perform formation of the silicon oxide film and removal of the
`
`silicon oxide film so as to form an objective pattern [0007].
`
`Hori et al also disclose that the silicon oxide film may be performed by a wet
`
`etching process using diluted hydrofluoric acid, a vapor etching process within a
`
`hydrofluoric acid vapor atmosphere, or an atmospheric pressure plasma etching
`
`process [0008].
`
`Therefore, it would have been obvious to one of ordinary skill
`
`in the art before the
`
`effective filing date of the claimed invention to employ Hori et al’s teaching of plasma
`
`etching along with plasma oxidation of silicon into modified AAPA’s teaching because
`
`both the vapor etching and the plasma etching to remove oxide layer are functionally
`
`equivalent as taught by Horietal.
`
`In the above modified teaching, modified AAPA may notexplicitly disclose that
`
`the photoresist mask layer (resemble as the claimed resin film) exist during the sidewall
`
`etching step.
`
`However, Yu etal disclose sidewall smoothing process of a trench, wherein
`
`during the formation of a protective film on the trench sidewall, such could be an oxide
`
`film as the second gasincludes an oxygen and the mask layer is not removedprior to
`
`scallop removal step from the sidewall (see Figure 2; col.4, lines 55-col.5,
`
`line 20).
`
`Therefore, it would have been obvious to one of ordinary skill
`
`in the art before the
`
`effective filing date of the claimed invention to employ Yu et al’s teaching of keeping the
`
`mask layer on top of the substrate into modified AAPA’s teaching because such
`
`depends on the use of the type of (different) chemistry being used has effect on the
`
`etching as taught by Yu etal.
`
`

`

`Application/Control Number: 16/993,466
`Art Unit: 1713
`
`Page 6
`
`Additionally,
`
`it would have been obvious to keep the mask layer on top of the
`
`substrate to protect the top surface of the substrate from etching, while the etching the
`
`trench sidewall.
`
`With regards to claims 2 and 4, Hori et al disclose above that formation of the
`
`silicon oxide layer and removing the oxide layer repeated for desired or objective line
`
`pattern [0007].
`
`Conclusion
`
`6.
`
`The prior art made of record,listed in the PTO-892 and notrelied upon is
`
`considered pertinent to applicant's disclosure. Eaton et al (US 2014/0017881) disclose
`
`coating a photoresist mask (resin film) over a silicon substrate; patterning the mask 202
`
`with the laser scribing process includes forming trenches 210 partially into the regions of
`
`the semiconductor wafer between the integrated circuits [0026]; plasma etching the
`
`wafer then isotropically etch the trench to smooth the sidewalls of the trench (see
`
`[0038],[0039], Figures 1 and 2A-2D).
`
`7.
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to SHAMIM AHMED whose telephone numberis (571)272-
`
`1457. The examiner can normally be reached on M-TH (8-5:30pm).
`
`Examiner interviews are available via telephone, in-person, and video
`
`conferencing using a USPTO supplied web-based collaboration tool. To schedule an
`
`interview, applicant is encouraged to use the USPTO Automated Interview Request
`
`(AIR) at http:/Awww.uspto.gov/interviewpractice.
`
`

`

`Application/Control Number: 16/993,466
`Art Unit: 1713
`
`Page 7
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
`
`supervisor, Nadine G Norton can be reached on 571-272-1465. The fax phone number
`
`for the organization wherethis application or proceeding is assignedis 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 https://ppair-
`
`my.uspto.gov/pair/PrivatePair. Should you have questions on access to the Private
`
`PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free).
`
`If you would like assistance from a USPTO Customer Service Representative or access
`
`to the automated information system, call 800-786-9199 (IN USA OR CANADA) or 571-
`
`272-1000.
`
`SHAMIM AHMED
`Primary Examiner
`Art Unit 1713
`
`/SHAMIM AHMED/
`Primary Examiner, Art Unit 1713
`
`