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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`17/937,512
`
`10/03/2022
`
`Atsushi HARIKAT
`
`ISHII-66859
`
`9236
`
`PEARNE & GORDON LLP
`1801 EAST 9TH STREET
`SUITE 1200
`
`CLEVELAND,OH 44114-3108
`
`SATHIRAJU, SRINIVAS
`
`2844
`
`07/03/2024
`
`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)
`
`

`

`Application No.
`Applicant(s)
`17/937,512
`HARIKAI etal.
`
`Office Action Summary Art Unit|AIA (FITF)StatusExaminer
`SRINIVAS SATHIRAJU
`2844
`Yes
`
`
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORYPERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensionsof 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 10/03/2022.
`C} A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`
`2a)() This action is FINAL. 2b)¥)This action is non-final.
`3) 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)(2) 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.
`
`
`
`Disposition of Claims*
`1-17 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) _ is/are withdrawn from consideration.
`Claim(s) 9-17 is/are allowed.
`Claim(s)
`1and4-6is/are rejected.
`)
`Claim(s) 2-3 and 7-8 is/are objected to.
`C) Claim(s
`are subjectto restriction and/or election requirement
`)
`* 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:/Awww.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`Application Papers
`10)C) The specification is objected to by the Examiner.
`11)) The drawing(s) filed on 10/03/2022 is/are: a)[¥) accepted or b)C) 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)LJ None ofthe:
`b)LJ Some**
`a)¥) All
`1.{¥) Certified copies of the priority documents have been received.
`2.1) 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 10/03/2022.
`U.S. Patent and Trademark Office
`
`3)
`
`4)
`
`(LJ Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`(Qj Other:
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20240628
`
`

`

`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 2
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`DETAILED ACTION
`
`Notice of Pre-AlA or AIA Status
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`1.
`
`The presentapplication, filed on or after March 16, 2013, is being examined under
`
`the first inventor to file provisions of the AIA.
`
`Claim Rejections - 35 USC § 102
`
`2.
`
`The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that
`
`form the basis for the rejections under this section madein this Office action:
`
`A person shall be entitled to a patent unless —
`
`(a)(1) the claimed invention was patented, described in a printed publication, or in public use,
`on sale, or otherwise available to the public before the effectivefiling date of the claimed
`invention.
`
`3.
`
`Claims1, 4-6 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by
`
`US2018/0174908 A1 by Karasakiet al (Karasaki).
`
`4.
`
`Referring to claim 1, Karasaki teaches a plasma processing apparatus (Fig 5
`
`item 200 and paragraph [0047]) for performing a plasma processing on a substrate (item
`
`10 substrate [0048]) is the substrate held on a conveying carrier (item 20) having a frame
`
`(item 21) and a holding sheet (item 22 supporting member), the plasma processing
`
`apparatus (item 200 paragraphs [0047] —[0064]) comprising:
`
`a chamber (item 203 [0049]);
`
`

`

`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 3
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`a plasma generation unit (item 210 A paragraph [0049]) configured to generate a
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`plasma in the chamber (RF power supply 210A ionizes the processing gas 212 in the
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`reaction chamber to create plasma);
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`a stage (item 211) for placing the conveying carrier (item 20), the stage provided
`
`in the chamber (See chamber 203 substrate holder 211 on conveying carrier 20
`
`paragraph 0048);
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`a cover (item 224 ) for covering at least part of the conveying carrier (item 20)
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`placed on the stage (See paragraph [0049]):;
`
`a relative position change unit
`
`(item 223A,223B) capable of changing a relative
`
`distance betweenthe cover(item 224) and the stage (item 2110) to a first distance and
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`to a second distance smaller than the first distance (See paragraph [0054] and distances
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`are relative and first distance is fixed between them and adjustment portion or second
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`distanceis relative distance in between them);
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`a determination unit configured to determine a placed state of the conveying carrier
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`(item 224W window determinesthe a portion of substrate and conveying carrier 20 as per
`
`the observation — inherent
`
`from paragraph [0046]); and
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`a control unit (item 228) configured to control the plasma generation unit (item
`
`210A and 210B) and the relative position change unit (item 223A,223B), wherein the
`
`determination unit determines the placed state of the conveying carrier while the distance
`
`between the cover and the stage is the first distance (See paragraphs [0046], [0048],
`
`

`

`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 4
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`[(0054]= [0055] [0064]), and the plasma processing is performed while the distance
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`between the cover and the stage is the second distance (see paragraphs .[0054], [0055)).
`
`
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`5.
`
`Referring to the claim 4 Karasaki teaches the plasma processing apparatus
`
`according to claim 1, wherein when the placed state is determined as beingafirst state
`
`by the determination unit, the control unit controls the relative position change unit so as
`
`to change the distance between the cover and the stage to the second distance, and then
`
`

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`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 5
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`controls the plasma generation unit so as to generate the plasma (see Fig 1 and
`
`paragraphs [0046], [0054] are inherently teachestheselimitations).
`
`6.
`
`Referring to the claim 5 Karasaki teaches the plasma processing apparatus
`
`according to claim 1, wherein when the placed state is determined as being a second
`
`state by the determination unit, the control unit controls to place the conveying carrier on
`
`the stage again while the distance between the cover and the stage is greater than the
`
`second distance (See Fig 5 and paragraphs [0054] and [0055] inherently teachesthis
`
`step).
`
`7.
`
`Referring to the claim 6 Karasaki teaches a plasma processing method *See
`
`Fig 5 and paragraph [0047]), comprising:
`
`a placement step of placing a substrate (item 10) held on a conveying carrier (item
`
`20) having a frame (item 201) and a holding sheet (item 22), on a stage (item 211)
`
`provided in a plasma processing apparatus (item 200), the plasma processing apparatus
`
`(200) including a chamber (item 203), a plasma generation unit (item 210A or 210B)
`
`configured to generate a plasma in the chamber(item 203), the stage (item 224) for
`
`placing the conveying carrier (item 20), and a cover(item 224) for covering at least part
`
`of the conveying carrier placed on the stage (See paragraphs [0047] -[0050]); and a
`
`determination step of determining a placed state of the conveying carrier while a distance
`
`between the cover and the stage is a first distance, wherein when the placed state is
`
`determinedasbeingafirst state in the determination step, the distance between the cover
`
`and the stage is changed to a second distance smaller than thefirst distance(item 224W
`
`

`

`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 6
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`window determines the a portion of substrate and conveying carrier 20 as per the
`
`observation — inherent
`
`from paragraph [0046]);, and then, a plasma is generated in the
`
`chamber, to perform a plasma processing byirradiating the generated plasma to the
`
`substrate. (See paragraph [0059], [0060]).
`
`Allowable Subject Matter
`
`8.
`
`Claims 2, 7 are objected to as being dependent upona rejected baseclaim, but
`
`would beallowable if rewritten in independent form including all of the limitations of the
`
`base claim and any intervening claims. Since claim 3 id depending on claim 2, and claim
`
`8 is depending on claim 7, claim 3, 8 are also objected.
`
`9.
`
`Claims 9-17 are allowed.
`
`10.
`
`Referring to the claim 9 , the closest prior art of record fails to teach or
`
`reasonably suggest that a plasma processing apparatus for performing a plasma
`
`processing on a substrate held on a conveying carrier having a frame and a holding
`
`sheet, the plasma processing apparatus comprising:
`
`an imaging unit provided
`
`outside the chamber and _confiqured to image an imaging region from a first
`
`direction intersecting with the placement surface, through a window provided in a
`
`side surface of the chamber, the imaging region including a facing region facing
`
`the window and corresponding to an inner peripheral sidewall of the frame of the
`
`conveying carrier placed on the stage; a control unit configured to control the
`
`

`

`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 7
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`plasma generation unit and the imaging unit; and a determination unit configured
`
`to determine a placed state of the conveying carrier, based on an image data
`
`acquired by the imaging unit. Hence, claim _9 and depending claims 10-14 are
`
`allowed.
`
`771.
`
`Referring to the claim 15 , the closest prior art of record fails to teach or
`
`reasonably suggest that plasma processing method, comprising:
`
`_wherein the
`
`determination step includes an imaging step of imaging the conveying carrier
`
`placed on the stage, the imaging step is a step of imaging an imaging region from
`
`a_first direction intersecting with the placement surface,
`
`through a window
`
`provided in a side surface of the chamber, by an imaging unit provided outside the
`
`chamber, the imaging region including a facing region facing the window and
`
`corresponding to an inner peripheral sidewall of the frame of the conveying carrier
`
`placed_on the stage, and _in_
`
`the determination step,
`
`the placed state of the
`
`conveying carrier is determined based on an image data acquired in the imaging
`
`step. Hence, claim 15 and depending claims 16, 17 are also allowed.
`
`Conclusion
`
`12.
`
`Claims 9-17 are allowed.
`
`13.
`
`Claims 1, 4-6 are rejected.
`
`

`

`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`14.
`
`Claims 2-3, 7,8 are objected.
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`Page 8
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`15.=Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to SRINIVAS SATHIRAJU whose telephone numberis
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`Application/Control Number: 17/937,512
`Art Unit: 2844
`
`Page 9
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`from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR
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`
`/SRINIVAS SATHIRAJU/
`Examiner, Art Unit 2844
`6/28/2024
`
`