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 .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 12/22/2025 has been entered.
Claim Objections
Claim 1 is objected to because of the following informalities: the recitation of “prior to exposure of the underlying layer” should read --prior to exposure of an underlying layer-- for proper antecedent basis. Appropriate correction is required.
Claim Rejections - 35 USC § 102
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 the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in 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 effective filing date of the claimed invention.
Claims 1, 4-6, 13, and 16-18 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Tang et al. (US20160256978), hereinafter Tang.
Regarding claim 1, Tang discloses a chemical mechanical polishing apparatus (Fig. 1 element 100), comprising:
a platen (Fig. 1 element 120);
a polishing pad (Fig. 1 element 110) supported on the platen (Fig. 1);
a carrier head (Fig. 1 element 140) to hold a surface of a substrate (Fig. 1 element 10) against the polishing pad (0035);
a motor (Fig. 1 element 121) to generate relative motion between the platen and the carrier head so as to polish an overlying layer on the substrate (0033 and 0039);
an in-situ acoustic monitoring system (Fig. 1 element 160) comprising an acoustic sensor (Fig. 1 element 162) that receives acoustic signals from the surface of the substrate (0040); and
a controller (Fig. 1 element 190) which configured to detect, prior to exposure of the underlying layer (0006, where “underlying layer” corresponds to underlying layer), removal of topography from the overlying layer on the substrate using a signal from the in-situ acoustic monitoring system (0006 and 0061-0062, where “the signal from the sensor” corresponds to a signal from the sensor), and, in response to detecting removal of the topography generate a signal representing removal of the topography (0062, where the controller is capable of generating a signal representing removal of the topography since the signal which is sent to trigger the endpoint functions in the same way (i.e. both signals represent transitions between distinctly different portions of the substrate; the endpoint portions are an overlying layer and an underlying layer and the removal of topography portions are the topography of a layer and the remainder of the layer)).
Regarding claim 4, Tang discloses the limitations of claim 1, as described above, and further discloses the controller is configured to perform a Fourier transform on the signal and sums a spectral power density over a frequency range to generate a power signal (0061-0062, Fast Fourier Transform (FFT) corresponds to a Fourier transform, a frequency spectrum corresponds to a spectral power density, a frequency band corresponds to a frequency range, and the signals which are generated by the FFT correspond to a power signal).
Regarding claim 5, Tang discloses the limitations of claim 4, as described above, and further discloses the controller is configured to detect a change in a slope of the power signal to detect removal of the topography (0061-0062, where when the power signal goes from a value which is within the threshold to a value which is outside the threshold, this corresponds to detecting a change in slope of the power signal to detect removal of the topography).
Regarding claim 6, Tang discloses the limitations of claim 4, as described above, and further discloses the controller is configured to detect a decrease in a magnitude of the slope of the power signal to detect removal of the topography (0062, where when the power signal goes from a local minima value which is within the threshold to a local minima value which is outside the threshold, this corresponds to a decrease in the magnitude of the slope of the power signal to detect removal of the topography).
Regarding claim 13, Tang discloses a non-transitory computer readable medium encoded with a computer program comprising instructions to cause one or more computers (0017) to:
receive signals from a sensor (Fig. 1 element 162) of an in-situ acoustic monitoring system (Fig. 1 element 160) during polishing of an overlying layer (0030, where “overlying layer” corresponds to overlying layer) of a substrate (0040); and
detect, prior to exposure of an underlying layer (0006, where “underlying layer” corresponds to underlying layer), removal of topography from the overlying layer on the substrate using a signal from the in-situ acoustic monitoring system (0006 and 0061-0062, where “the signal from the sensor” corresponds to a signal from the sensor), and, in response to detecting removal of the topography generate a signal representing removal of the topography (0062, where the controller is capable of generating a signal representing removal of the topography since the signal which is sent to trigger the endpoint functions in the same way (i.e. both signals represent transitions between distinctly different portions of the substrate; the endpoint portions are an overlying layer and an underlying layer and the removal of topography portions are the topography of a layer and the remainder of the layer)).
Regarding claim 16, Tang discloses the limitations of claim 13, as described above, and further discloses instructions to perform a Fourier transform on the signal and to sum a spectral power density over a frequency range to generate a power signal (0061-0062, Fast Fourier Transform (FFT) corresponds to a Fourier transform, a frequency spectrum corresponds to a spectral power density, a frequency band corresponds to a frequency range, and the signals which are generated by the FFT correspond to a power signal).
Regarding claim 17, Tang discloses the limitations of claim 16, as described above, and further discloses instructions to detect a change in a slope of the power signal to detect the removal of the topography (0061-0062, where when the power signal goes from a value which is within the threshold to a value which is outside the threshold, this corresponds to detecting a change in a slope of the power signal to detect the removal of topography).
Regarding claim 18, Tang discloses the limitations of claim 16, as described above, and further discloses instructions to detect a decrease in a magnitude of the slope of the power signal to detect the removal of topography (0062, where when the power signal goes from a local minima value which is within the threshold to a local minima value which is outside the threshold, this corresponds to a decrease in a magnitude of the slope of the power signal to detect the removal of topography).
Claim Rejections - 35 USC § 103
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.
Claims 2-3, 14-15, and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Tang et al. (US20160256978), hereinafter Tang, in view of Yu et al. (US5240552), hereinafter Yu.
Regarding claim 2, Tang discloses the limitations of claim 1, as described above, but fails to disclose the controller is configured to cause a dispenser to switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography.
Yu is also concerned with a chemical mechanical polishing apparatus and teaches the controller is configured to cause a dispenser to switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography (4:13-33, where control means corresponds to a controller and controlling a polishing slurry composition corresponds to changing from a first polishing liquid to a second polishing liquid in response to detecting removal of the topography). It 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 to modify the chemical mechanical polishing apparatus of Tang to have the controller be capable of causing a dispenser to switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography, as taught by Yu, because Yu teaches that controlling operational parameters (e.g. a polishing slurry composition) based on detecting removal of the topography (e.g. received signals during polishing) increases the uniformity of the CMP process (4:13-33).
Regarding claim 3, Tang discloses the limitations of claim 1, as described above, but fails to disclose the controller is configured to cause a carrier head to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography.
Yu is also concerned with a chemical mechanical polishing apparatus and teaches the controller is configured to cause a carrier head to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography (4:13-33, where control means corresponds to a controller and controlling a wafer backside pressure downforce corresponds to switching from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography). It 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 to modify the chemical mechanical polishing apparatus of Tang to have the controller be capable of causing a carrier head to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography, as taught by Yu, because Yu teaches that controlling operational parameters (e.g. a wafer backside pressure downforce) based on detecting removal of the topography (e.g. received signals during polishing) increases the uniformity of the CMP process (4:13-33).
Regarding claim 14, Tang discloses the limitations of claim 13, as described above, but fails to disclose instructions to switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography.
Yu is also concerned with a non-transitory computer readable medium and teaches instructions to switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography (4:13-33, where controlling a polishing slurry composition corresponds to instructions to switch from a first polishing liquid to a second polishing liquid in response to detecting removal of the topography). It 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 to modify the non-transitory computer readable medium of Tang to have instructions to switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography, as taught by Yu, because Yu teaches that controlling operational parameters (e.g. a polishing slurry composition) based on detecting removal of the topography (e.g. received signals during polishing) increases the uniformity of the CMP process (4:13-33).
Regarding claim 15, Tang discloses the limitations of claim 13, as described above, but fails to disclose instructions to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography.
Yu is also concerned with a non-transitory computer readable medium and teaches instructions to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography (4:13-33, where controlling a wafer backside pressure downforce corresponds to instructions to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography). It 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 to modify the non-transitory computer readable medium of Tang to have instructions to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography, as taught by Yu, because Yu teaches that controlling operational parameters (e.g. a wafer backside pressure downforce) based on detecting removal of the topography (e.g. received signals during polishing) increases the uniformity of the CMP process (4:13-33).
Regarding claim 19, Tang discloses a chemical mechanical polishing apparatus (Fig. 1 element 100), comprising:
a platen (Fig. 1 element 120);
a polishing pad (Fig. 1 element 110) supported on the platen (Fig. 1);
a dispenser (Fig. 1 element 130) arranged to dispense a fluid (Fig. 1 element 132) onto the polishing pad (0034);
a carrier head (Fig. 1 element 140) to hold a surface of a substrate (Fig. 1 element 10) against the polishing pad (0035);
a motor (Fig. 1 element 121) to generate relative motion between the platen and the carrier head so as to polish the substrate (0033 and 0039);
an in-situ acoustic monitoring system (Fig. 1 element 160) comprising an acoustic sensor (Fig. 1 element 162) that receives acoustic signals from the surface of the substrate (0040); and
a controller (Fig. 1 element 190) configured to:
detect, a transition of a surface of the substrate from a non-planar surface having topography in the form of higher and lower portions of the surface to a planar surface in which the topography is removed from the surface of the substrate such that the surface is smooth using a signal from the in-situ acoustic monitoring system (0006 and 0061-0062, where “the signal from the sensor” corresponds to a signal from the in-situ acoustic monitoring system and where the controller being able to compare the “intensity in the frequency band”, which is obtained from “the signal” discussed in 0062, means that the controller is also capable of detecting a transition as claimed)
in response to detecting removal of the topography, generate a signal representing removal of the topography (0062, where the controller is capable of generating a signal representing removal of the topography since the signal which is sent to trigger the endpoint functions in the same way (i.e. both signals represent transitions between distinctly different portions of the substrate; the endpoint portions are an overlying layer and an underlying layer and the removal of topography portions are the topography of a layer and the remainder of the layer)).
Tang fails to disclose the controller is configured to, in response to the signal, modify a polishing control parameter to modify operation of the chemical mechanical polishing apparatus.
Yu is also concerned with a chemical mechanical polishing apparatus and teaches the controller is configured to, in response to the signal, modify a polishing control parameter to modify operation of the chemical mechanical polishing apparatus (4:13-33, where control means corresponds to a controller, “operational parameters” corresponds to a polishing control parameter and “controlling the operational parameters of the (CMP) apparatus 18 in response to this data” corresponds to in response to the signal, modifying a polishing control parameter to modify operation of the chemical mechanical polishing apparatus). It 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 to modify the chemical mechanical polishing apparatus of Tang to have the controller be capable of, in response to the signal, modifying a polishing control parameter to modify operation of the chemical mechanical polishing apparatus, as taught by Yu, because Yu teaches that controlling operational parameters (i.e. a polishing control parameter) based on signals received during polishing (i.e. the signal) increases the uniformity of the CMP process (4:13-33).
Claims 7 and 10-12 are rejected under 35 U.S.C. 103 as being unpatentable over Tang et al. (US20160256978), hereinafter Tang, in view of Kistler (US20070218806).
Regarding claim 7, Tang discloses a method of chemical mechanical polishing, comprising:
bringing a substrate (Fig. 1 element 10) into contact with a polishing pad (Fig. 1 element 110) and generating relative motion between the substrate and polishing pad so as to polish an overlying layer on the substrate (0033 and 0039);
acoustically monitoring the substrate during polishing with a sensor (Fig. 1 element 162) of an in-situ acoustic monitoring system (Fig. 1 element 160, 0040); and
detecting, removal of topography (i.e. the act of removing topography, which can be considered detecting any amount of removal of the topography) from the overlying layer on the substrate using a signal from the sensor (0006 and 0061-0062, where “the signal from the sensor” corresponds to a signal from the sensor and the signal from the sensor would be functioning during removal of topography and therefore would detect removal of topography); and an underlying layer (0006, where “underlying layer” corresponds to underlying layer).
Tang fails to disclose prior to exposure of an underlying layer and in response to detecting removal of the topography generating a signal representing removal of the topography.
Kistler is also concerned with a method of chemical mechanical polishing and teaches detecting removal of topography on the substrate using a signal from the sensor (0050-0051, where “the signals generated with the vibrational or acoustic emissions” corresponds to a signal from the sensor), and, prior to exposure of an underlying layer (0050-0051, where 0050 discusses detecting transition between an overlying layer and an underlying layer as well as changes in topography and 0051 discusses the change in surface topography, which is the topography of the current layer being polished and when the overlying layer is being polished the detection of removal of the topography is detected prior to exposure of the underlying layer) and in response to detecting removal of the topography (0051, where “a change in surface topography” corresponds to detecting removal of the topography), generating a signal representing removal of the topography (0052, where the signal which is sent which causes “A set response such as altering the speed or other parameter of the planarizing operation” corresponds to generating a signal representing removal of the topography). It 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 to modify the chemical mechanical polishing method of Tang to, prior to exposure of an underlying layer, generate a signal representing removal of topography in response to detecting removal of the topography, as taught by Kistler, because Kistler teaches that detecting removal of topography prior to exposure of an underlying layer and generating a signal representing removal of topography, specifically the removal of unevenness of an individual layer, allows for automated changes to the process parameters as needed (0018 and 0052).
Regarding claim 10, Tang, as modified, discloses the limitations of claim 7, as described above, and further discloses performing a Fourier transform on the signal and to sum a spectral power density over a frequency range to generate a power signal (Tang, 0061-0062, Fast Fourier Transform (FFT) corresponds to a Fourier transform, a frequency spectrum corresponds to a spectral power density, a frequency band corresponds to a frequency range, and the signals which are generated by the FFT correspond to a power signal).
Regarding claim 11, Tang, as modified, discloses the limitations of claim 10, as described above, and further discloses detecting a change in slope of the power signal to detect the removal of the topography (Tang, 0061-0062, where monitoring the change in slope of the power signal which is generated during removal of the topography but before crossing the threshold which indicates exposure of an underlying layer corresponds to detecting a change in slope of the power signal to detect the removal of topography).
Regarding claim 12, Tang, as modified, discloses the limitations of claim 10, as described above, and further discloses detecting a decrease in the magnitude of the slope of the power signal to detect the removal of the topography (Kistler, 0049, where “The strength of acoustic emission signals is high at the beginning of a planarizing process and decreases as planarization progresses” means that the signal from the sensor decreases in magnitude as removal of the topography takes place and Tang, 0062, where the signal from the sensor is directly correlated to the change in slope of the power signal and therefore, monitoring the decrease in the magnitude of the slope of the power signal which is generated during removal of the topography but before crossing the threshold which indicates exposure of an underlying layer corresponds to detecting a decrease in the magnitude of the slope of the power signal to detect the removal of topography).
Claims 8-9 are rejected under 35 U.S.C. 103 as being unpatentable over Tang et al. (US20160256978), hereinafter Tang, in view of Kistler (US20070218806), and in further view of Yu et al. (US5240552), hereinafter Yu.
Regarding claim 8, Tang, as modified, discloses the limitations of claim 7, as described above, but fails to disclose switching from dispensing a first polishing liquid to dispensing a second polishing liquid upon detection of the planarization.
Yu is also concerned with a method of chemical mechanical polishing apparatus and teaches the switching from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography (4:13-33, where controlling a polishing slurry composition corresponds to changing from a first polishing liquid to a second polishing liquid in response to detecting removal of the topography). It 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 to modify the method of chemical mechanical polishing apparatus of Tang, as modified, to have switch from dispensing a first polishing liquid to dispensing a second polishing liquid in response to detecting removal of the topography, as taught by Yu, because Yu teaches that controlling operational parameters (e.g. a polishing slurry composition) based on detecting removal of the topography (e.g. received signals during polishing) increases the uniformity of the CMP process (4:13-33).
Regarding claim 9, Tang, as modified, discloses the limitations of claim 7, as described above, but fails to disclose switching from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography.
Yu is also concerned with a method of chemical mechanical polishing apparatus and teaches switching from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography (4:13-33, where controlling a wafer backside pressure downforce corresponds to switching from applying a first pressure to applying a second pressure to the substrate upon detection of the planarization). It 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 to modify the method of chemical mechanical polishing apparatus of Tang, as modified, to switch from applying a first pressure to applying a second pressure to the substrate in response to detecting removal of the topography, as taught by Yu, because Yu teaches that controlling operational parameters (e.g. a wafer backside pressure downforce) based on detecting removal of the topography (e.g. received signals during polishing) increases the uniformity of the CMP process (4:13-33).
Response to Arguments
Applicant's arguments filed 11/25/2025 have been fully considered but they are not persuasive.
Regarding claims 1 and 13, Applicant argues that the controller of Tang simply being “capable” of performing the claimed functions is not enough and that the controller must has a “configuration” to perform the claimed functions. Examiner finds that based on 0062 of Tang, the controller has the configuration to (i.e. is designed or structured to) acoustically monitor at least an overlying layer (i.e. monitoring the frequency spectrum, which is derived from a signal from the in-situ acoustic monitoring system) prior to exposure of an underlying layer and the controller also has the configuration to generate a signal (i.e. triggering endpoint) based on the data acquired from the signal from the in-situ acoustic monitoring system, and therefore examiner finds that the controller is also "configured to detect, prior to exposure of an underlying layer, removal of topography from the overlying layer…using a signal from the in-situ acoustic monitoring system, and, in response to detecting removal of the topography, generate a signal representing removal of the topography".
Examiner notes that examiner's stance is that while the signal being monitored is not explicitly disclosed as being used to monitor when the topography of an overlying layer, prior to exposure of an underlying layer, is removed, the controller of Tang does monitor the overlying layer to detect a change in the signal based on the acoustics changing and that the acoustics when the overlying layer has topography and the acoustics when the topography is removed will be different. Examiner finds that the controller of Tang being configured to detect the change in acoustics on a surface of a substrate and generate a signal based on the change in acoustics is the same concept that Applicant is claiming and therefore the controller of Tang has both the capability and configuration to perform the claimed functions.
Regarding claims 1 and 13, Applicant argues that Tang fails to disclose that the controller is configured to detect the removal of topography “prior to exposure of an underlying layer” because the controller is disclosed as being able to “detect removal of a filler layer and exposure of an underlying layer” which means that the detection of the removal of topography cannot be prior to exposure of an underlying layer because the controller only detects the transition between the layers, not a transition within a single layer. Examiner respectfully disagrees. Examiner points to examiner’s response to the previous argument above, where examiner finds that Tang does not need to disclose a controller which performs the claimed functions, but Tang only needs to disclose a controller which is configured to or has the configuration to perform the claimed functions, and based on examiner’s response to the previous argument above, examiner finds that Tang is configured to perform the claimed functions.
Regarding claims 7 and 19, Applicant has not provided any argument as to why the current prior art fails to disclose the limitations of claims 7 and 19, and therefore examiner is maintaining the rejection of claim 7 and finds that claim 19 is rejected under 35 U.S.C. 103 as being unpatentable over Tang et al. (US20160256978) in view of Yu et al. (US5240552).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to CALEB A HOLIZNA whose telephone number is (571)272-5659. The examiner can normally be reached Monday - Friday 8:00-4:30.
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://www.uspto.gov/interviewpractice.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Monica Carter can be reached on 571-272-4475. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
/C.A.H./Examiner, Art Unit 3723
/MONICA S CARTER/Supervisory Patent Examiner, Art Unit 3723