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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 March 9, 2026 has been entered.
Response to Arguments
Applicant’s arguments with respect to claims 1, 3-5, 7, and 8 have been considered but are moot because of the new ground of rejection necessitated by the amendments. Namely Claims 1 and 5 were amended to recite that the projecting portion and the engaging surface of the retainer member are disposed up to an end of the retainer member with respect to the bolt located at the farther end. See Fig. 11 of Kobayashi et al where the retainer member and the retainer guide are fixed with one another by a plurality of bolts and [0093] of Kobayashi et al. Note that a plurality of bolts is recited in [0093] and thus a plurality of bolt holes is insinuated as each bolt of the plurality of bolts would have a corresponding hole. See in Fig. 11 below that the retainer member includes a projecting portion in a direction toward an inner side surface of the retainer guide. See Fig. 11 of Kobayashi et al illustrates an engaging surface. Note that the engaging surface of the retainer member is disposed up to an end of the retainer member with respect to the bolt located at the farther end.
The prior art of Kobayashi et al fails to teach that the engaging surface extends in a direction perpendicular to the substrate support surface.
The prior art of Numoto (US 2002/0081955) teaches the projecting portion and the engaging surface of the retainer member are disposed up to an end of the retainer member with respect to the bolt located at the farther end. See Fig. 2 of Numoto where the engaging surface extends in a direction perpendicular to the substrate support surface.
New claims 9 and 10 are introduced and included in the rejections of claims 1, 3-5, 7, and 8.
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 1, 3, 5, and 8-10 are rejected under 35 U.S.C. 103 as being unpatentable over Kobayashi et al (US 2020/0039024) in view of JP 2005-11999 held to Numoto (US 2002/0081955).
Regarding claims 1, 9, and 10: Kobayashi et al teaches a head (top ring 302) for holding a polygonal substrate, comprising: a substrate support surface having a shape corresponding to a shape of the polygonal/quadrangular substrate (see [0051] and Figs. 6 and 7) ; a retainer member 3 disposed outside each side of the substrate support surface; and a retainer guide 416 configured to support the retainer member, see [0093] and Fig. 11 of Kobayashi et al below where the retainer member and the retainer guide are fixed with one another by a plurality of bolts. Note that a plurality of bolts is recited in [0093] and thus a plurality of bolt holes is insinuated as each bolt of the plurality of bolts would have a corresponding hole. See in Fig. 11 below that the retainer member includes a projecting portion in a direction toward an inner side surface of the retainer guide. See Fig. 11 of Kobayashi et al illustrates an engaging surface. Note that the engaging surface of the retainer member is disposed up to an end of the retainer member with respect to the bolt located at the farther end.
The prior art of Kobayashi et al fails to teach that the engaging surface extends in a direction perpendicular to the substrate support surface.
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Fig. 11 of Kobayashi et al (US 2020/0039024)
The prior art of Numuto teaches a CMP apparatus with a wafer holding head 14 that includes a retainer member 30A and a retainer guide 30B. Numoto also teaches that a retainer member (retainer ring body 30A) and a retainer guide (retainer ring holder 30B) are attached by screwing or adhering plural sections of the retainer member. The prior art of Numoto teaches a) that the projecting portion in a direction toward an inner side surface of the retainer guide, the projecting portion defining the engaging surface and b) that the retainer member 30A includes the projecting portion and the engaging surface of the retainer member 30A are disposed up to an end of the retainer member with respect to the bolt located at the farther end. See Fig. 2 of Numoto.
It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the apparatus of Kobayashi et al with the head with the retainer member mated with the retainer guide so the mating includes a projecting portion and engaging surface as designed by the prior art of Numoto to enhance the support and mating arrangement of the retainer member to the retainer guide especially in the harsh CMP environment.
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Fig. 2 of Numoto
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Enlarged Fig. 2 Numoto showing the projecting portion and engaging surface (perpendicular located in the vertical direction)
Regarding claim 3: The head according to claim 1 or 2, wherein the engaging surface of the retainer member engages with an inner side surface of the retainer guide viewed from a center of the head. See Figure 10 of Kobayashi et al which features a surfaces that engages the retainer member 3 with the retainer guide 416. Recall the projecting portion and engaging surface of Kobayashi et al are modified by the teachings of Numoto. See the marked up copy of Fig. 2 of Numoto. It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the apparatus of Kobayashi et al with the head with the retainer member mated with the retainer guide so the mating includes a projecting portion and engaging surface as designed by the prior art of Numoto to enhance the support of the retainer member to the retainer guide especially in the harsh CMP environment.
Regarding claim 5: Recall the prior art of Kobayashi et al as illustrated in Fig. 11 shows a retainer member 3 to be used in a head for holding a polygonal substrate, comprising: a plate-shaped member [0064]. Kobayashi et al further teaches a retainer guide 416 configured to support the retainer member when the retainer member is mounted to the head. See Fig. 11 of Kobayashi et al. See [0093] where Kobayashi et al teaches a plurality of bolts and thus a plurality of bolt holes is insinuated as each bolt of the plurality of bolts would have a corresponding hole.
See in Fig. 11 below that the retainer member includes a projecting portion in a direction toward an inner side surface of the retainer guide. See Fig. 11 of Kobayashi et al illustrates an engaging surface. Note that the engaging surface of the retainer member is disposed up to an end of the retainer member with respect to the bolt located at the farther end.
The prior art of Kobayashi et al fails to teach that the engaging surface extends in a direction perpendicular to the substrate support surface.
The prior art of Numuto teaches a CMP apparatus with a wafer holding head 14 that includes a retainer member 30A and a retainer guide 30B. Numoto also teaches that a retainer member (retainer ring body 30A) and a retainer guide (retainer ring holder 30B) are attached by screwing or adhering plural sections of the retainer member. The prior art of Numoto teaches a) that the projecting portion in a direction toward an inner side surface of the retainer guide, the projecting portion defining the engaging surface and b) that the retainer member 30A includes the projecting portion and the engaging surface of the retainer member 30A are disposed up to an end of the retainer member with respect to the bolt located at the farther end. See Fig. 2 of Numoto. It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the apparatus of Kobayashi et al with the head with the retainer member mated with the retainer guide as designed by the prior art of Numoto to enhance the support and mating arrangement of the retainer member to the retainer guide especially in the harsh CMP environment.
Regarding claim 8: A substrate processing apparatus that processes a polygonal substrate WF, comprising: the head (top ring 302) according to claim 1; and a polishing table 350 for supporting a polishing pad 352. See Fig. 4 of Kobayashi et al below.
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Fig. 4 of Kobayashi et al (US 2020/0039024)
Claims 4 and 7 are rejected under 35 U.S.C. 103 as being unpatentable over in view of Kobayashi et al (US 2020/0039024) held to Numoto (US 2002/0081955) as applied to claims 1, 3, 5, and 8-10, and in further view of Zuniga et al (US 6,251,215).
The combined teachings of Kobayashi et al and Numoto were recited below. The combined teachings of Kobayashi et al and Numoto fail to teach:
Regarding claim 4: The head according to claim 1any one of claims 1 to 3, wherein the retainer member includes a first layer and a second layer, and the first layer and the second layer are formed of different materials with one another.
Regarding claim 7: The retainer member according to claim 5, wherein the plate-shaped member includes a first layer and a second layer, and the first layer and the second layer are formed of different materials with one another.
The prior art of Zuniga et al teaches a carrier head with a multilayer retaining ring 110(retainer member). According to the abstract the lower portion 180 is made of a flexible material while the upper portion 184 is made of a rigid material. See Fig. 3 of Zuniga et al below and col. 5 line 33 – col. 6 line 63. According to Zuniga et al the difference in materials of construction of the retaining ring allows for a reduction in the edge effect and the resulting flatness and finish of the substrate is improved. Thus it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have further modified the apparatus of resulting from the combined teachings of Kobayashi et al and Numoto to design the retainer member of two layers formed of different construction materials as suggested by Zuniga et al.
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Fig. 3 of Zuniga et al (US 6,251,215)
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
KR 10-2007-0034790 teaches a retainer member (lower ring 174), a retaining guide (upper ring 172), and bolt ( fixing member 176).
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/SYLVIA MACARTHUR/Primary Examiner, Art Unit 1716