PATENT BASIS AND OVERVIEW
MARIA SWIATEK
APRIL 7, 2014
NIXON PEABODY LLP
TOPICS
— Introduction
— Patent Basics
— Why Patents?
— Patent Process Considerations
— Patent Process Timeline
2
INTRODUCTION
PATENT BASICS
PATENT BASICS
— What does a patent cover?
• “new and useful process, machine, manufacture, or
composition of matter, or any new and useful improvement
thereof…”
5
PATENT BASICS
— What is patentable?
• Process – an act, or a series of acts or steps.
• Machine – a concrete thing, consisting of parts, or of certain
devices and combination of devices.
• Manufacture – an article produced from raw or prepared
materials by giving to these materials new forms, qualities,
properties, or combinations, whether by handlabor or by
machinery.
• Composition of matter – all compositions of two or more
substances and all composite articles, whether they be the
results of chemical union, or of mechanical mixture, or
whether they be gases, fluids, powders or solids, for
example.
6
PATENT BASICS
— What is patentable?
• Complex technology to simple ideas
• Incremental improvements
— What is not patentable?
•
•
•
•
Abstract or impossible ideas
Laws of nature
A naturally occurring organism; human per se
Transitory forms of signal transmission, e.g., a propagating
electrical or electromagnetic signal per se
• A computer program per se
• Data structures
• Non-functional descriptive material
7
PATENT BASICS
— What are the criteria for obtaining a patent?
• The invention must be:
 USEFUL
• Invention has some utility.
 NEW
• Invention must be distinguishable over any existing idea, known as
the “prior art.”
• Considerations include whether invention has been previously
published, made, in public use, offered for sale or otherwise available
prior to date of filing / conception.
 NON-OBVIOUS
• Invention must be more than just an “obvious” combination of existing
ideas (based on a multifactor analysis).
8
PATENT BASICS
Patent prosecution is the process by which an invention is:
— Fully documented in an application
— Filed with the U.S. Patent and Trademark Office
(“USPTO”)
— Revised and/or argued in (typically) multiple iterations
with the USPTO
— Eventually leading to (hopefully) a notice of allowance
and an issued patent
9
PATENT BASICS
What are the types of patent applications?
— Provisional Patent Applications
• Preliminarily discloses an invention that is proper subject matter
for a possible utility patent filing (within one year).
• Establishes filing date, but does not provide “full” patent
protection.
— Utility (“Non-Provisional”) Patents
• Provides “full” patent protection for useful processes, machines,
manufactures, or composition of matter.
10
PATENT BASICS
— Design Patents
• Provides patent protection for ornamental design for an article of
manufacture, rather than functional/operational features.
FIG. 1
U.S. Design Pat. App. No. 29/402,542
Alexander Crib
11
TYPES OF PATENTS
Provisional Patent Application
—
preliminary disclosure of an
invention that is proper subject
matter for a utility patent
—
Holds your “place in line”
Utility Patents
—
Includes useful processes,
machines, manufactures, or
composition of matter
Design Patents
—
new, original and ornamental
design for an article of
manufacture (“look and feel”)
Plant Patents
12
KEY ELEMENTS OF A PATENT
Specification
— The specification is a narrative that clearly describes the
existing technology and the improvement(s) made by
the invention.
— The specification establishes that the inventor had
possession of the invention.
— The specification must provide sufficient detail to allow a
person having ordinary skill in the art to make and use
the invention.
— Examiner may raise objections or rejections for
inadequate or unclear specification.
13
KEY ELEMENTS OF A PATENT
Drawings
— Drawings must be included to illustrate each aspect of
the invention as detailed in the specification and claims.
— Drawings must be formatted per requirements.
• Numbered to correspond to description in specification
14
KEY ELEMENTS OF A PATENT
Claims
— Claims are detailed statements of exactly what your
invention covers.
• Claims must follow strict requirements for wording and format.
• Claims are key to defining the scope of your patent rights.
• Patent Claims are like a deed to property, they define the
meets and bounds of what your invention is, and what you can
exclude others from doing.
15
KEY ELEMENTS OF A PATENT
Claims
— Claims are detailed statements of exactly what your
invention covers
• Must follow strict requirements for wording and format
• Claims are key to defining the scope of your patent rights!
— Example claim language:
• 1. A plastic reclosable fastener with slider particularly suited
for thermoplastic bags and the like comprising a pair of
flexible plastic strips having separable fastener means
extending along the length thereof comprising reclosable
interlocking male and female profile elements …
• What is this?? See next slide for the answer …
16
17
WHAT PROTECTION DOES A PATENT PROVIDE?
— Grants owner right to exclude others from practicing the
claimed invention
• Prevents competitors from making, using, selling, offering to
sell and/or importing without license.
— For a limited time
• Typically, 20 years from the filing date.
— Patent is NOT permission to practice the invention free
and clear
• If device is covered by patents (a) + (b), ownership of
patent (b) is not enough to build and sell the device.
18
FOREIGN PATENT PROTECTION
— Patent application under the Patent Cooperation Treaty
(“PCT”)
• Streamlines the process of filing in numerous countries
• Able to file one application now, and make decisions on
specific countries to pursue down the road
— Patent application filed directly in foreign jurisdictions,
e.g., non-PCT countries
— Patent application filed before European Patent Office
19
WHY PATENTS?
WHY PATENTS?
Patents can be a key component of a
companies’ IP strategy
— Offensive use:
• Provides strong rights in invention for limited
time period
 Force others to pay royalties / take license
— Defensive use:
• Can use your patent portfolio to defend
against infringement claims by competitors
• May lead to cross-licensing arrangements in
the case of blocking patents
• Provides defensive publications
21
PRACTICAL POINTS
The U.S. process has changed
— Recently passed America Invents Act
(“AIA”)
— U.S. has moved from “first to invent” to
“first to file” standard
• Consistent with other foreign jurisdictions.
• Important to win the race to the patent office,
the first to file now is entitled to the patent
22
PROTECT YOUR IDEAS
— Think about IP protection for an idea as early as
possible.
— Proper documentation in the early stage can help to
avoid later issues.
• When was the idea first conceived?
• Who are the inventors?
• Who owns it?
• When was it reduced to practice?
23
PROTECT YOUR IDEAS
— Develop and adopt best practices for documenting
R&D.
• Documentation may include:
 Engineering notebooks
 Information disclosure forms
 Weekly status reports may show progress of a project
 Meeting minutes
 Emails
 Electronic documents IF sufficient information to
determine date and version information
24
PROTECT YOUR IDEAS
— Avoid “starting the clock”
• Submit an invention disclosure before public disclosure.
• Be aware of the on sale and public use restrictions.
• Timing is very important - missing a critical date can be a
complete bar to patentability.
25
PROTECT YOUR IDEAS
— Consider:
• What are the inventions?
• What are different embodiments?
• How might the industry landscape change and affect how
the application is prosecuted?
• How should the invention be protected (utility, design, etc.)?
• How are the inventions patent eligible, new, non-obvious?
26
ANALYZING THE INVENTION
— Review “state of the art”
• Consider all known publications, papers and products.
• Perform a “prior art” search to determine if invention is
patentable or blocked by a prior disclosure.
• Consider possible adjustment to direction of your
idea/business.
• Avoid wasted R&D effort and allow for tweaks to the idea to
better leverage IP.
27
THE PATENT PROSECUTION
PROCESS
TIMELINE
— Pre-filing
• Prior art search (optional)
• Submission of disclosure documents
• Collaboration between NP and inventors to prepare
application
— Filing Date (establishes priority)
• Complete application must be filed with specification and
claims
• All required supporting documents
29
TIMELINE
— Patent Office Administration
• Preliminary review to insure application meets formalities
• Assignment of patent to Examining group based on
technology
— First Office Action (typically issued 1-2 years after filing)
30
TIMELINE
— Office Actions
• Examiner provides opinion on whether the claims are
patentable
• Each claim may be subject to:
 Objection
 Rejection
 Allowance
• Examiner may reject a claim based on:
 Prior art that discloses all the claim elements
(anticipating the claim)
 Combination of prior art has that discloses all the claim
elements (rendering the claim obvious)
31
TIMELINE
— Response to Office Action (due 3 months after mailing date)
• Input from inventors
• Claims can be amended
• Submission of written arguments as to patentability
• Possible interview with Examiner
— Subsequent Office Actions (typically 4-6 months after
previous response)
32
TIMELINE
— Final Office Action
• Examiner still rejects claims.
— Response to Final Office Action
• File an Appeal to the Patent Trial and Appeal Board (12-18
month process)
• File a Request for Continuing Examination (RCE)
 Resets prosecution for another office action and
corresponding opportunities to argue
 May delay the patent because of new rules
33
TIMELINE
— Foreign Applications (12 months after filing)
— Publication of Application (18 months after filing)
• Application becomes a public record, unless secrecy is
requested
— Divisional, continuation, continuation-in-part applications
(due by issue date)
34
TIMELINE
— Allowance
• Examiner agrees that patent should be issued
• Issue fee must be paid
— Payment of Issue fee (2 months after notice of
allowance)
— Issue Notice (1-2 months after payment of issue fee
— Mailing of Patent Certificate
35
REAL WORLD EXAMPLE
United States Patent
(to) Patent No.:
(45) Date of Patent:
Mayer et al.
(54) METHOD AND SYSTEM FOR IN -SITU
CLEANING OF SEMICONDUCTOR
MANUFACTURING EQUIPMENT USING
COMBINATION CHEMISTRIES
(75) Inventors: Bruce E. Mayer, Soquel; Robert H. Chatham,
III, Scotts Valley; Nitin K. Ingle,
Campbell; Zheng Yuan,
Fremont, all of CA (US)
(73) Assignee: Asml US, Inc., Scotts Valley, CA (US)
( * ) Notice:
Subject to any disclaimer, the term of this
patent is extended or adjusted under 35
U.S.C. 154(b) by 172 days.
(21)
Appl. No.: 09/615,035
(22)
Filed:
Jul. 12, 2000
Related U.S. Application Data
(60) Provisional application No. 60/143,285, filed on Jul. 12,
1999.
(51)
(52)
0697467
2/1996 ............. C23C/16/44
OTHER PUBLICATIONS
Xia, et al. "High Aspect Ratio Trench Filling Using Two–Step
Subatmospheric
Chemical
Vapor
Deposition
Borophosphosilicate Glass <0.1S um Device Application",
Journal of the Electrochemical Society, vol. 146, 1999, pp.
1884-1888.
Xia, et al. "High Temperature Subatmospheric Chemical Vapor
Deposited Undoped Silicate Glass; A Solution for Next
Generation Shallow Trench Isolation", Journal of the
Electrochemical Society, vol. 146, pp. 1181-1185.
Mendicino, et al., "Motorola Evaluation of the Applied
Science and Technology, Inc. (ASTeX) ASTRON Technology for Perfluorocompound (PFC) Emissions Reductions
on the Applied Materials DxL Chemical Vapor Deposition
(CVD) Chamber", International SEMATECH Technology
Tranfer # 99033697A–TR Apr. 16, 1999, 33 pgs.
Primary Examiner _ Alexander Markoff
(74) Attorney, Agent, or Firm—Dorsey & Whitney LLP
7
BO8B 7/04
134/28;
134/1.2;
134/26;
134/30; 134/22.1; 134/22.18; 438/905
(58) Field of Search .......................................... 134/1, 1.1, 1.2,
134/1.3, 2, 3, 22.1, 22.18, 26, 28, 30; 438/905
Int. C1.
U.S. Cl.
(56)
References Cited
U.S. PATENT DOCUMENTS
4,976,996 A
5,091,219 A
5,620,526 A
5,658,417 A
5,679,215 A
5,716,495 A
5,756,400 A
5,788,778 A
5,843,239 A
DE
EP
US 6,544,345 B1
Apr. 8, 2003
12/1990 Monkowski et al.
427/255.5
2/1992 Monkowski et al.
427/255.5
4/1997 Watatani et al. ............. 134/1.1
8/1997 Watanabe et al. ........... 156/345
10/1997 Barnes et al. .............. 156/646.1
2/1998 Butterbaugh et al.
156/643.1
5/1998 Ye et al.
8/1998 Shang et al. ..................... 134/1
12/1998 Shrotriya ....................... 134/1.1
FOREIGN PATENT DOCUMENTS
4132559.1
4/1993 ............... C23F/4/00
(57)
ABSTRACT
An in-situ, two step or combination, method and system for
cleaning of semiconductor manufacturing equipment is provided. The present invention utilizes two separate fluorine
based chemistries in each step which selectively target the
removal of different types of deposits that build up on the
equipment surfaces. In particular, powdery and dense filmlike solid deposits, as well as a combination of both, build
up on the chamber surfaces and associated equipment components. These two types of deposits are removed selectively by the present invention. Such selective targeting of
combined cleaning steps, yields an improved cleaning technique. In another embodiment, the method and system of the
present invention provides for cleaning of the chamber and
associated equipment using separate steps with different
chemicals, and then performing these steps in a variety of
desired sequences.
21 Claims, 8 Drawing Sheets
U.S. Patent Apr. 8, 2003 Sheet 1 of 8 US 6,544,345 B1
Area for Deposition &
Cleaning Gas-Controls
7-10
FIG. 1
(12
) United States Patent
Mayer et al.
Patent No.:US 6,544,345 B1
Date of Patent: Apr. 8, 2003
We claim:
1.
A method of cleaning deposits in
semiconductor manufacturing equipment
wherein there are different types of
deposits including powdery and dense filmlike deposits, characterized in that the
equipment is cleaned using two separate
steps, each of said steps using different
fluorine containing chemicals to selectively
clean the different deposits.