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 .
Response to Amendment
Claims 1, 5, 7, 13 are currently pending. Claims 1 is currently amended. Claim 17 is canceled.
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.
Claim(s) 1, 5, 7, and 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sakuari (US 6358128 B1) in view of Yang (US 6443826 B1), Schutte (US 20110143540 A1), and Rangarajan (US 20200234995 A1)
With respect to claim 1, Sakuari discloses:
A substrate polishing system comprising:
a substrate transfer unit to support a bottom surface of a substrate and transfer the substrate while forming a transfer orbit in a circle by rotating (rotary transporter 27, fig. 31, col 12 line 21-44; also shown in fig. 1 in the general overall layout of the machine; the workpieces are transferred in a circle as the rotary transporter rotates);
at least one carrier to perform polishing on the substrate received from the substrate transfer unit (32/33, fig. 1 and fig. 32; col 12 line 45-51); and
a loader to load the substrate which is seated on the substrate transfer unit to the carrier or unload a substrate placed on the carrier to the substrate transfer unit, (pusher 30, fig. 31 and 33; col 12, lines 37-48)
wherein the loader comprises:
a loading plate to support the bottom surface of the substrate (143, fig. 31, 33; col 29 lines 43-52)
wherein the substrate transfer unit comprises:
a shaft to rotate on an axis perpendicular to the ground (shaft extending from servomotor 205, as shown in fig. 32;col 28 line 51-60);
wherein the substrate polishing system further comprises a stage portion to support the substrate, wherein the stage portion is placed on a first point on the transfer orbit (lifter, at 29, 29’, fig. 31; col 28 line 66- col 29 line 19, which is on a [first] point on the transfer orbit; the lifter comprises a stage 260, figs. 30, 32 that moves up/down using air cylinder 261 as in col 26 lines 40-48).
wherein the substrate transfer unit is configured to receive an unpolished substrate at a first point on the transfer orbit and to transfer the unpolished substrate to the carrier by moving to each of a plurality of second points on the transfer orbit, and configured to receive a polished substrate from the carrier at each of the plurality of second points and to transfer the polished substrate to the first point for a next process (col 28. line 21-40 describe the structure of the rotary transporter/substrate transfer unit and how it handles a wafer to be polished and a polished wafer, including a plurality of points for receiving a wafer to be polished 210/211, fig. 31, and for receiving a wafer already polished 212/213, fig. 31).
however, does not explicitly disclose:
a plurality of first nozzles nozzle to spray a fluid,
a rotator to rotate on an axis perpendicular to a ground,
the loading plate being rotatable by the rotator;
a protrusion connected to an outside of the loading plate and protruding upwardly,
wherein the plurality of first nozzles comprises a first inner nozzle and a second inner nozzle arranged on an inner surface of the protrusion,
wherein, during a process of loading or unloading the substrate by moving the loader upward, an upper surface of the protrusion is placed higher than a bottom surface of the carrier, the first inner nozzle is located above the bottom surface of the carrier, and the second inner nozzle is located below the bottom surface of the carrier
three transfer arms to support the bottom surface of the substrate and to transfer the substrate while forming the transfer orbit in the circle by rotation of the shaft
wherein the three transfer arms are each disposed at an equiangular interval with the shaft as a center,
wherein when one of the three transfer arms is placed on the first point, each of the other two transfer arms is placed on one of the plurality of second points,
wherein the stage portion comprises a second nozzle which sprays a fluid to an upper surface of the substrate located on the stage portion while the substrate is located on the stage portion and while the stage portion and the second nozzle are moving upward and downward to keep the substrate moist.
wherein the plurality of first nozzles is configured to clean the carrier while the carrier is not gripping the substrate and to clean the carrier while the carrier is gripping the substrate and wherein the first inner nozzle and/or the second inner nozzle spray a fluid on the carrier while the substrate transfer unit is transferring the substrate from one of the plurality of second points to another of the plurality of second points.
Sakuari, however discloses a system for cleaning the polishing carrier, using a system of spray nozzles (1506, fig. 32; col 47 lines 1-21) and of protrusions attached to the loading plate (148, fig. 33; col 30 lines 4-18), also providing that it is important to keep the wafer wet during transfer (col 37 lines 39-47), and that the stage portion can include a nozzle for cleaning it (1505, fig. 32, col 46 line 60-end).
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Yang (Ann. Fig. 12)
Yang, in the same filed of endeavor, related to chemical mechanical polishing, teaches of a loader (700, fig. 12; col 8 lines 11-32) with a plurality of first nozzles nozzle to spray a fluid (nozzles 731, 732, 733, fig. 12; col 8 line 23-32),
a protrusion connected to an outside of the loading plate and protruding upwardly (nozzles 731 and 732 are shown as a protrusion in fig. 11; and overall arrangement of protrusion is shown in fig. 12)
wherein the plurality of first nozzles comprises a first inner nozzle (733, fig. 12) and a second inner nozzle (731, and 732; fig. 12) arranged on an inner surface of the protrusion (the nozzles are arranged on an inner surface in that the inner surface faces a carrier/polishing head 610; col 8 line 23-33),
wherein, during a process of loading or unloading the substrate by moving the loader upward, an upper surface of the protrusion is placed higher than a bottom surface of the carrier, the first inner nozzle is located above the bottom surface of the carrier, and the second inner nozzle is located below the bottom surface of the carrier (one nozzle 732 is located below surface of loading plate 710 as shown in fig. 12; col 8 lines 17-20; see ann. fig. 12 above).
Yang further teaches of additional nozzles on the loading plate (711, col 8 line 55-61) configured to wash a membrane (611, fig. 12; analogous to a bottom surface of a carrier of Sakuari, annotated as 32a/33a in fig.32 and described in col 47 lines 6-16) of containments (col 8 line 55-61) and of wafer aligners (740, fig. 11; col 8 lines 43-45; placed adjacent/attached to the nozzles)
Yang teaches this arrangement provides for washing away of containments from the polishing head (col 8 lines 17-20) and that those containments cause scratches on the workpiece (col 4 lines 12-17).
It would have been obvious for one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified Sakuari and have incorporated the nozzle arrangement of Yang for the purpose of reducing containments that could cause scratches in the workpiece.
Alternatively, would have been obvious for one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified Sakuari and have substituted the spray nozzles for the ones disclosed by Yang for as equivalents for the same purpose, the substitution being done with a reasonable expectation of success and with predictability (see MPEP 2143 I B, Simple substitution of one known element for another to obtain predictable results).
As for the limitation of wherein the plurality of first nozzles is configured to clean the carrier while the carrier is not gripping the substrate and to clean the carrier while the carrier is gripping the substrate, the nozzles of Yang, as incorporated into Sakuari would have been capable of this functional limitation, as the presence/absence of the wafer in carrier 610 of Yang would not have changed the nozzle’s ability to clean (at least portions of) the carrier. Furthermore, the examiner notes that Sakuari also discloses that it is possible to clean the carrier with or without the wafer being held (col 47 lines 1-21 – “Further, before the semiconductor wafer which has been polished is removed from the top ring 32 or 33 and transferred to the pusher 30 or 30′, the pattern surface of the semiconductor wafer may be cleaned by the cleaning liquid supplied from the nozzle 1506.”), and that Yang also teaches that the nozzles rinse a surface on which the wafer is held (col 8 lines 19-33 – “The first nozzle 731 is oriented so as to spray deionized water toward the top surface of the pedestal 710 on which a wafer is situated, and the Second nozzle 732 is oriented So as to Spray deionized water toward a membrane 611 located at the bottom of the polishing head 610.”). Nevertheless, the examiner submits that the nozzles of Yang as incorporated into Sakuari, would meet this functional limitation as previously explained, as the presence/absence of the wafer in carrier 610 of Yang would not have affected the nozzle’s ability to clean, at least portions of, the carrier.
Schutte, in the same field of endeavor, related to chemical mechanical polishing, teaches of a loader (entirety of fig. 3; [0017] describes the constituent components) that pushes a wafer to a transfer mechanism for further CMP processing (pushes a wafer 20, fig. 2b using nitrogen to a wafer transfer device 70, fig. 2b, analogous to a carrier; [0016]). Schutte further teaches of a ring (70, fig. 2b, supported by spokes 90, fig. 2b and fig. 3, which supports a wafer as shown in fig. 2b), wherein a set of spokes and hub cause the ring to rotate ([0016-0017]; hub 80 is a rotator; the spokes 90 together analogous to a loading plate as it has nozzles/orifices 110 that are disposed on the spokes as shown in fig. 3, [0018]).
Schutte teaches that cleaning the wafer while it is released for further transport helps “remove particles that may have been introduced unto the surface 20 [of the wafer] during handling and processing.” and that this arrangement reduces the number of particles attached to the wafer compared to the prior art ([0016]).
It would have been obvious for one of ordinary skill in the art, before the effective filing date of the claimed invention, to have further modified Sakuari and have incorporated a rotator to rotate on an axis perpendicular to a ground, the loading plate being rotatable by the rotator; as taught by Schutte for the purpose of reducing particles adhered to the wafer during handling.
Sakuari, as modified, teaches of the use of pins to support a substrate as it moves along the transfer orbit (col 28 lines 5-20)
Rangarajan, in the same field of endeavor, as related to chemical mechanical polishing, teaches of the use of arms to support a bottom surface substrate along a transfer orbit (240, fig. 2; [0024-0025], arranged to support blades in a manner analogous to the instant disclosure, including supporting a bottom surface of wafer 208, fig. 2; [0026]). Rangarajan teaches that this arrangement can be made to have any number of arms/blades ([0024]).
It would have been obvious for one of ordinary skill in the art, before the effective filing date of the claimed invention, to have substituted the pin arrangement of Sakuari, as modified, for the arm arrangement of Rangarajan, as equivalents for the same purpose. The modification would have resulted in:
three transfer arms to support the bottom surface of the substrate and to transfer the substrate while forming the transfer orbit in the circle by rotation of the shaft (there would be four arms, when the modification is made to Sakuari),
wherein the three transfer arms are configured to receive an unpolished substrate at a first point on the transfer orbit and to transfer the unpolished substrate to the carrier by moving to each of a plurality of second points on the transfer orbit, and configured to receive a polished substrate from the carrier at each of the plurality of second points and to transfer the polished substrate to the first point for a next process (retaining the functionality of Sakuari, as modified with the substitution),
wherein the three transfer arms are each disposed at an equiangular interval with the shaft as a center (the arms would have been spaced at equal intervals)
wherein when one of the three transfer arms is placed on the first point, each of the other two transfer arms is placed on one of the plurality of second points (the arms would have been located over each transfer point, and further evidence is provided in fig. 1 of Rangarajan, including arms located over transfer points of 124, 172 as described in [0023,0025]).
Rangarajan further teaches of a stage portion that comprises a second nozzle which sprays a fluid to an upper surface of the substrate located on the stage portion (rinse station 670A/B, fig. 6, also placed on transfer orbit analogous to that previously described with respect to fig. 1 of Rangarajan in this rejection above; [0048]). Rangarajan teaches that this arrangement can be the same as that of a polishing head cleaner ([0048], with respect to the nozzle arrangement 358A described in fig. 3 with a loader/load cup that lifts a wafer, and further described in [0027-0031]). Rangarajan teaches that this arrangement helps keep the substrate wet after polishing ([0048], also teaching that this can also facilitate cleaning; also noting that the arrangement keeps the substrate moist while it is on the stage portion), and that this type of arrangement provides for low maintenance ([0030]) while also not being obstructed by the wafer transfer mechanism ([0030,0046]).
It would have been obvious for one of ordinary skill in the art, before the effective filing date of the claimed invention, to have incorporated the rinsing arrangement of Rangarajan into the stage portion of Sakuari, as modified, for the purpose of keeping the nozzles wet, while facilitating additional cleaning, in a manner that is compatible with wafer transfer mechanisms (including wafer transfer along a transfer orbit), and being low maintenance. The arrangement would have resulted in a stage portion with nozzles on it that can move up/down (therefore meeting the limitation “while the substrate is located on the stage portion and the stage portion and while the second nozzle are moving vertically upward or downward to keep the substrate moist” ). As noted above, in Sakuari, the stage portion moves up/down (Sakuari, the lifter comprises a stage 260, figs. 30, 32 that moves up/down using air cylinder 261 as in col 26 lines 40-48), and Sakuari also provides that it is important to keep the wafer wet during transfer (col 37 lines 39-47), and that the stage portion can include a nozzle for cleaning it (1505, fig. 32, col 46 line 60-end).
Regarding the limitation of wherein the first inner nozzle and/or the second inner nozzle spray a fluid on the carrier while the substrate transfer unit is transferring the substrate from one of the plurality of second points to another of the plurality of second points, the second inner nozzle (732, fig. 12 of Yang), is angled upward, can spray the carrier while the while the substrate transfer unit is transferring the substrate from one of the plurality of second points to another of the plurality of second points, which is angled upward; and that the structure of Sakuari, as modified, by Yang, also allows for this arrangement with the angled nozzles.
With respect to claim 5, Sakuari, as modified, teaches of the limitations of claim 1 above and further teaches: wherein at least one of the plurality of first nozzles nozzle is further placed on an upper surface of the loading plate (Yang, 711, col 8 line 55-61)
With respect to claim 7, Sakuari as modified, teaches of the citations of claim 1 above and further teaches wherein the loader vertically moves upwards or downwards from the substrate transfer unit (Sakuari, air cylinder 145 lifts and lowers loading plate 143 shown in fig. 33; col 29 line 43-52; further protrusion 148, fig. 33 is connected to guide stage 141, fig. 33 as in col 30 lines 4-7; and the guide stage 141 is capable of being raised and lowered by an air cylinder 146, fig. 33; col 30 lines 62-67)
With respect to claim 13, Sakuari as modified, teaches of the citations of claim 1 above and further teaches wherein the loader is placed on one of the plurality of second point points (the second point can be considered the location of the loaders 30, 30’ at 210/211, fig. 31 of Sakuari)
Response to Arguments
Applicant's arguments filed 11/18/2025 have been fully considered but they are not persuasive.
The applicant argues (response page 5-6) that Yang does not teach the amended feature of claim 1, particularly with respect to “wherein the first inner nozzle and/or the second inner nozzle spray a fluid on the carrier while the substrate transfer unit is transferring the substrate from one of the plurality of second points to another of the plurality of second points”, which was taken from canceled claim 17. While the examiner understands the applicant’s position that Yang does not explicitly teach that feature, the examiner notes that it is a functional limitation, for which MPEP 2114 provides for some examination guidelines. It is particularly noted that the manner of which the device is operated does not differentiate apparatus claims from the prior art (“[A]pparatus claims cover what a device is, not what a device does.”). The examiner finds that Yang provides the necessary structure to perform the claimed functions, in particular, providing for nozzles in a load cup, along the bottom and sides of the load cup, and, thus providing for the necessary structure to perform the claimed function. Examiner further notes that the instant claims recite “substrate polishing system” and not a “substrate polishing method”.
Regarding the applicant’s position that [0048,0056-0058], from the pre-grant publication, provides support for the limitation, the examiner notes that the previous rejection did not state that the functional limitation lacked support in a manner to cause a 35 USC 112(a) rejection, instead the examiner pointed out that support was not explicit in the disclosure (explicit support is not necessarily required for new limitations, the examiner merely commented on the lack of support in the rejection, that comment was not the basis for rejection). Nevertheless, the examiner still considers that there is a lack of explicit support in that those paragraphs might imply that the load cup cleans the polishing head, it does not necessarily imply that it is “the first inner nozzle and/or the second inner nozzle” (that are on the protrusion of the load cup) that does that given that it appears that there are also nozzles not on protrusion 122 (on the bottom of the load cup) and the cited paragraphs are not specific on which ones do that. However, the examiner considers that the structure to do that is present and the limitation implicitly finds support in the disclosure.
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Steven Huang whose telephone number is (571)272-6750. The examiner can normally be reached Monday to Thursday 6:30 am to 2:30 pm, Friday 6:30 am to 11:00 am (Eastern Time).
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/Steven Huang/Examiner, Art Unit 3723
/MAKENA S MARKMAN/Primary Examiner, Art Unit 3723