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 .
Priority
Benefit of earlier filing date of 02/18/2022 of provisional application No. 63/311,831 is acknowledged as required by 35 U.S.C. 119.
Response to Amendment
Applicant’s amendments to the claims have overcome each and every objection previously set forth in the Non-Final Office Action mailed on 10/14/2025.
Claim Objections
Claim 18 is objected to because of the following informalities:
Claim 18, line 15, “formed on formed on” should read --formed on--.Appropriate correction is required.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claim 1 recites the limitation “one or more corresponding base alignment features” in lines 25-26. There is insufficient antecedent basis for this limitation in the claim. Because “one or more base alignment features” is earlier introduced in the claim. Therefore this limitation should read --the one or more corresponding base alignment features--.
Claim 2 recites limitations “the one or more base alignment features are the protrusions extending outward from the upper base surface” which is indefinite. Claim 1 recites “the one or more base alignment features comprising … at least one protrusion extending outward from the upper base surface”. Therefore examiner suggests amending claim 2 as below to overcome this rejection:--wherein the the at least one protrusion are the protrusions extending outward from the upper base surface--.
Claim 3 recites limitations “wherein the one or more base alignment features are the openings extending inward from the upper base surface” which is indefinite. Claim 1 recites “the one or more base alignment features comprising at least one opening extending inward from the upper base surface”. Therefore examiner suggests amending claim 3 as below to overcome this rejection:--wherein the the at least one opening are the openings extending inward from the upper base surface--.
Claim 11 recites the limitation “one or more corresponding base alignment features” in lines 29-30. There is insufficient antecedent basis for this limitation in the claim. Because “one or more base alignment features” is earlier introduced in the claim. Therefore this limitation should read --the one or more corresponding base alignment features--.
Claims 2-10 are rejected due to dependency on rejected claim 1.
Claims 12-17 are rejected due to dependency on rejected claim 11.
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, 3-5, 11 and 15-16 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by Sato (JP 4990636 B2).
Regarding claim 1, Sato teaches (reproduced and annotated Figs. below) a carrier (Fig. 1 shows 6 carriers on transport tray 1) for holding a substrate (substrate S), suitable for use in semiconductor manufacturing (CVD or etching inside processing chamber),
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comprising: a carrier base, the carrier base comprising: an outer base surface; a lower base surface disposed radially inward of the outer base surface; an upper base surface disposed radially inward of the outer base surface and opposite the lower base surface; a substrate pocket (recess 11) disposed from the upper base surface and towards the lower base surface; a plurality of gas channels (gas passages 12a, 12b) formed between the lower base surface and the substrate pocket;
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and one or more base alignment features (holes to which the bolts B of the clamp ring (B, 3) are inserted into) formed on the upper base surface; the one or more base alignment features comprising at least one opening (opening for bolt B of the clamp ring (B, 3)) extending inward from the upper base surface (clamp ring comprises ring shaped pressing means 3 and bolt B) disposed on the upper base surface, comprising: an outer clamp surface; a lower clamp surface disposed radially inward of the outer clamp surface; an upper clamp surface disposed radially inward of the outer clamp surface and opposite the lower clamp surface; and an inner clamp surface radially inward of the outer clamp surface and connecting the lower clamp surface and the upper clamp surface, the inner clamp surface extending radially inward over the substrate pocket (note that in both the invention (see item 308 in Fig. 3A of the instant invention) and the prior art the inner clamp surface is the inner circular edge of the clamp ring); one or more clamp ring alignment features (projection of B shown above) comprising protrusions or
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Regarding claim 3, Sato teaches (reproduced and annotated Figs. above) the one or more base alignment features are the openings (opening for bolt B of the clamp ring (B, 3)) extending inward from the upper base surface.
Regarding claim 4, Sato teaches (reproduced and annotated Figs. above) the one or more clamp ring alignment features comprise the protrusions and the protrusions extend from the lower clamp surface (threading the protrusion of the clamp ring into the opening of the carrier base locks the two pieces together).
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Regarding claim 5, Sato teaches (reproduced and annotated Figs. above) one or more substrate support features comprising an annular substrate support ring (annular sealing means 2) extending upward from a bottom surface of the substrate pocket toward the upper base surface, the substrate support ring configured to support the substrate and form a backside gas plenum (gas passages 12a, 12b create a gas plenum under the substrate S inside 11b).
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Regarding claim 11, Sato teaches (reproduced and annotated Figs. above) a carrier (Fig. 1 shows 6 carriers on transport tray 1) for holding a substrate (substrate S), suitable for use in semiconductor manufacturing (CVD or etching inside processing chamber),
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comprising: a carrier base, the carrier base comprising: an outer base surface; a lower base surface; an upper base surface opposite the lower base surface; a substrate pocket (recess 11) disposed from the upper base surface and towards the lower base surface; one or more substrate support features (annular sealing means 2) comprising an annular substrate support ring (annular sealing means 2) extending upward from a bottom surface of the substrate pocket toward the upper base surface; a plurality of gas channels (gas passages 12a, 12b) formed between the lower base surface and the substrate pocket;
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and one or more base alignment features (holes to which the bolts B are inserted into) formed on the upper base surface, the one or more base alignment features comprising at least one opening (opening for bolt B of the clamp ring (B, 3)) extending inward from the upper base surface (ring shaped pressing means 3) disposed on the upper base surface, comprising: an outer clamp surface extending in line with or radially outward from the outer base surface; a lower clamp surface; an upper clamp surface opposite the lower clamp surface; an inner clamp surface radially inward of the outer clamp surface and extending radially inward over the substrate pocket (note that in both the invention (see item 308 in Fig. 3A of the instant invention) and the prior art the inner clamp surface is the inner circular edge of the clamp ring); and one or more clamp ring alignment features (projection of B shown above) on the lower clamp surface, the one or more clamp ring alignment features comprising protrusions extending from the lower clamp surface
Regarding claim 15, Sato teaches (reproduced and annotated Figs. above) the one or more substrate support features are formed radially outward of the plurality of gas channels.
Regarding claim 16, Sato teaches (reproduced and annotated Figs. above) the one or more substrate support features is a substrate support ring (annular sealing means 2) configured centered about a central axis (axis A) of the carrier.
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.
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Sato in view of Lee (US 20250054803 A1).
Regarding claim 6, Sato does not teach the mass of the clamp ring.
Lee in par. 0128-0129 teaches “As the load of the clamp ring becomes higher, the stickiness phenomenon between the substrate and the support chuck may become severer”.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to change the weight of the clamp ring depending on required friction between the clamp ring and the substrate.
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Sato in view of Stevens (US 5810931 A).
Regarding claim 6, Sato does not teach the mass of the clamp ring.
Stevens in par. 7 teaches “weight of the clamp ring reduces warping of the substrate and holds the substrate in a fixed position for processing”.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to change the weight of the clamp ring based on substrate warpage.
Claim 2 is rejected under 35 U.S.C. 103 as being unpatentable over Sato in view of JP H0345634 U.
Regarding claim 2, in device of Sato alignment extends openings (and not projections) extending inward (and not outward) from the upper base surface.
JP H0345634 U teaches a carrier base 22 and a clamping ring 14; one or more base alignment features (11) which are protrusions extending outward from the upper base surface of the carrier base 22.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to reverse the protrusion and the opening of the carrier base and the clamp ring, since it has been held that a mere reversal of the essential working parts of a device involves only routine skill in the art.
Claims 7-8, 12-14, 18 and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Sato.
Regarding claims 7-8 and 12-13, Sato does not teach the number of gas channels being over 100 and diameter of each gas channel being about 10-75 mils.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to choose number and size of the gas channels based on gas needed to be introduced under the wafer.
Regarding claims 7-8, Sato is silent regarding size of the substrate pocket.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to choose substrate pocket size based on the substrate to be processed.
Regarding claim 14, Sato is silent regarding size of the base and the clamp ring.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to choose the size of the base and the clamp ring based on the wafer size.
Regarding claims 18 and 20, Sato teaches (reproduced and annotated Figs. above) a carrier (Fig. 1 shows 6 carriers on transport tray 1) for holding a substrate (substrate S), suitable for use in semiconductor manufacturing (CVD or etching inside processing chamber),
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comprising: a carrier base, the carrier base comprising: an outer base surface; a lower base surface and radially inward of the outer base surface; an upper base surface opposite the lower base surface and radially inward of the outer base surface; a substrate pocket (recess 11) disposed from the upper base surface and towards the lower base surface; a substrate support ring (annular sealing means 2) extending from the substrate pocket; a plurality of gas channels (gas passages 12a, 12b) formed between the lower base surface and the substrate pocket and disposed radially inward of the substrate support ring;
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and one or more base alignment features (holes to which the bolts B are inserted into) formed on the upper base surface; one or more base alignment features (holes to which the bolts B are inserted into) formed on the upper base surface, the one or more base alignment features comprising at least one opening (opening for bolt B of the clamp ring (B, 3)) extending inward from the upper base surface However Sato does not teach the number of gas channels being over 100 and diameter of each gas channel being about 10-75 mils and does not teach width of the substrate support ring to be about 1-3mm and diameter of the outer base to be about 300-325mm.
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to choose number and size of the gas channels based on gas needed to be introduced under the wafer. It would have also been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to choose the size of the base and the support ring based on the wafer size.
Claims 17 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Sato in view of Zeng (US 20210287996 A1).
Regarding claims 17 and 19, device of Sato does not have the claimed base alignment notch.
Zeng teaches a wafer holder with a V-shaped notch formed on the outer base surface for improving alignment of the base (see par. 0005).
It would have been obvious to one having ordinary skill in the art before effective filing date of the claimed invention to add alignment feature to the carrier base. Doing so would improve alignment of the carrier base inside the chamber.
Response to Arguments
Although the arguments regarding the alignment features of the carrier base and the alignment features of the clamp ring are fully considered, but are not found persuasive. The difference between the protruded clamp ring alignment feature of the instant invention and the prior art is that in the instant invention the clamp ring and the protrusion are single piece and not separate pieces like the prior art. However this feature is not claimed.
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 MAHDI H NEJAD whose telephone number is (571)270-0464. The examiner can normally be reached Monday-Friday 7:30am-4pm EST.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, David Posigian can be reached at (313) 446-6546. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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MAHDI H. NEJAD
Examiner
Art Unit 3723
/MAHDI H NEJAD/Primary Examiner, Art Unit 3723