Detailed Correspondence
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
Applicants’ amendment of the claim, filed on 03/30/2026, in response to the rejection of claims 1-20 from the non-final office action (12/30/2025), by amending claims 1-2, 4, 6-10, 12, 15, and 17-19 is entered and will be addressed below.
Claim Rejections - 35 USC § 103
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1-3 and 9 are rejected under 35 U.S.C. 102(a)(1) as anticipated by or, in the alternative, under 35 U.S.C. 103 as obvious over Lee et al. (US 20190080955 , hereafter ‘955).
‘955 teaches all limitations of:
Claim 1: Referring to FIGS. 1 to 3, a substrate processing apparatus 10 may include a chamber 20 … a substrate support unit 100 within the chamber 20 … at least one lift pin assembly 200 having a lift pin 210 which is installed movable upwardly and downward within the substrate plate to support the substrate ([0033]), Threads may be formed on an outer surface of the lower end portion 212 of the lift pin 210 and an inner surface of the fastening hole 221 respectively, and thus, the lift pin 210 may be connected threadedly with the pin connection block 220 ([0053], 2nd sentence, includes the claimed “An apparatus, comprising: a lift pin comprising a first end and a second end opposite the first end, wherein the first end and the second end span along an axis, and wherein the second end is threaded”, see also Fig. 5);
Referring to FIGS. 3 to 10, the lift pin assembly 200 may include a lift pin 210, a pin connection block 220 and a lift pin holder 230. In addition, the lift pin assembly 200 may further include a lift pin guide 240, bellows 250 and lift pin driving plate 260 ([0048]), A pin guide hole 242 may be formed to penetrate through the lift pin guide 240 and may be connected to the lift pin hole 111 ([0049], 4th sentence, any of the 240, 220, 160, and 230 or in combination, reads into the claimed “a holder disposed at a first end of the assembly and comprising a hole configured to engage the second end of the lift pin”, note Applicants clarify the holder is multi-piece holder in various dependent claims, in claim 1 it can be a single piece holder);
a lower end portion of the bellows 250 may be connected to the lift pin driving plate 260 ([0051], last sentence), A driving mechanism including a lift pin driving plate 260 for moving the lift pin 210 upward and downward may be disposed in the space of the lower cover 130 ([0039], last sentence, includes the claimed “a second mechanism disposed at the second end of the assembly and coupled to the holder, wherein the second mechanism is configured to move the holder along the axis”);
Fig. 14 shows an unlabeled part below the lift pin driving plate 260 (reads into the claimed “a platform positioned adjacent to the second mechanism”, see also illustration 1 below);
The small rod between the lift pin driving plate 260 and the lift pin holder 230 (reads into the claimed “and a rod extending through the platform and the second mechanism, and connected to the holder”, see also illustration 1 below. If applicants argue that it is not clear how that rod is connected to the bellow, it is an obvious choice to have a connection to drive the bellow through the yellow-orange area).
Claim 2: A pin receiving recess 236 may be formed in the upper end portion of the lift pin holder 230 ([0066], includes the claimed “wherein the holder comprises a first piece comprising a recessed area”).
Claim 9: bellow 250 is the claimed “wherein the second mechanism comprises a bellows”.
Claim 3: Fig. 4 or 5 shows the lift pin holder 230 has a cylindrical shape, includes the claimed “wherein the first piece further comprises cylindrical section opposite the recessed area”, illustration 1 below shows the 1st piece has a bore (the blue area plus the yellow-orange area being the claimed “first piece which includes the claimed “wherein the cylindrical section comprises a bore opposite the recessed area”, If applicants argue that it is not clear how that rod is connected to the bellow, it is an obvious to have a connection to drive the bellow through the yellow-orange area).
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Claims 4-6 are rejected under 35 U.S.C. 103 as obvious over ‘955, as being applied to claim 2 rejection above, in view of Na et. al. (US 20030136341, hereafter ‘341). Claims 10, 13-15 and 18-20 are rejected under 35 U.S.C. 103 as obvious over ‘955 in view of ‘341.
‘955 also teaches some limitations of:
Claim 10: FIG. 3 is a cross-sectional view illustrating a lift pin assembly installed in the substrate plate in FIG. 1 ([0018], includes the claimed “A holder for a lift pin comprising”):
Referring to FIGS. 3 to 10, the lift pin assembly 200 may include a lift pin 210, a pin connection block 220 and a lift pin holder 230. In addition, the lift pin assembly 200 may further include a lift pin guide 240, bellows 250 and lift pin driving plate 260 ([0048]), A pin guide hole 242 may be formed to penetrate through the lift pin guide 240 and may be connected to the lift pin hole 111 ([0049], 4th sentence), A pin receiving recess 236 may be formed in the upper end portion of the lift pin holder 230 ([0066]), Threads may be formed on an outer surface of the lower end portion 212 of the lift pin 210 and an inner surface of the fastening hole 221 respectively, and thus, the lift pin 210 may be connected threadedly with the pin connection block 220 ([0053], 2nd sentence, includes the claimed “a first piece comprising a recessed area; a second piece is sized to nest with the recessed area and comprising a threaded hole adapted to engage with the lift pin; and a third piece positioned adjacent the first piece and the second piece, and comprising a through-hole aligned with the threaded hole” and as shown in illustrations 1 and 2 above).
Claim 15: Claim 1: Referring to FIGS. 1 to 3, a substrate processing apparatus 10 may include a chamber 20 … a substrate support unit 100 within the chamber 20 … at least one lift pin assembly 200 having a lift pin 210 which is installed movable upwardly and downward within the substrate plate to support the substrate ([0033], includes the claimed “A system, comprising: a reaction chamber comprising an interior space”);
the lift pin 210 may receive the wafer W transferred into the processing space within the chamber 20 by a transfer mechanism and move to the substrate plate 110 ... a plurality of the lift pins 210 may be provided. The lift pin 210 may be installed to be movable upwardly and downwardly within a lift pin hole 111 which penetrates through the substrate plate 110 ([0046], includes the claimed “a susceptor disposed in the interior space and comprising a plurality of through-holes”);
A driving mechanism including a lift pin driving plate 260 for moving the lift pin 210 upward and downward may be disposed in the space of the lower cover 130 ([0039], includes the claimed “and a sub-system comprising a plurality of lift pin assemblies connected to an actuator, wherein each lift pin assembly comprises: a lift pin extending through one through-hole of the susceptor, the lift pin comprising a first end and a threaded, second end opposite the first end”);
Referring to FIGS. 3 to 10, the lift pin assembly 200 may include a lift pin 210, a pin connection block 220 and a lift pin holder 230. In addition, the lift pin assembly 200 may further include a lift pin guide 240, bellows 250 and lift pin driving plate 260 ([0048]), A pin guide hole 242 may be formed to penetrate through the lift pin guide 240 and may be connected to the lift pin hole 111 ([0049], 4th sentence), A pin receiving recess 236 may be formed in the upper end portion of the lift pin holder 230 ([0066]), Threads may be formed on an outer surface of the lower end portion 212 of the lift pin 210 and an inner surface of the fastening hole 221 respectively, and thus, the lift pin 210 may be connected threadedly with the pin connection block 220 ([0053], 2nd sentence, includes the claimed “a holder comprising: a first piece comprising a recessed area and a bore opposite the recessed area; a second piece, the second piece comprising a threaded hole configured to engage the threaded, second end of the lift pin; and a third piece adjacent the second piece and comprising a through-hole aligned with the threaded hole of the second piece” and as shown in illustrations 1 and 2 above);
a lower end portion of the bellows 250 may be connected to the lift pin driving plate 260 ([0051], last sentence), A driving mechanism including a lift pin driving plate 260 for moving the lift pin 210 upward and downward may be disposed in the space of the lower cover 130 ([0039], last sentence, includes the claimed “a second mechanism coupled to the holder, wherein the second mechanism is configured to expand and contract in response to the actuator”);
The small rod between the lift pin driving plate 260 and the lift pin holder 230 (reads into the claimed “a rod extending through the second mechanism and connected to the bore and the actuator”).
Fig. 3 of ‘955 shows the lift pin holder 230 is nested within the recess of the pin connection block 220 instead of the other way around. ‘955 does not teach the other limitation of:
Claim 10: (a second piece is sized) to nest within the recessed area.
Claim 15: (a second piece) disposed within the recessed area.
Claim 4: wherein the holder further comprises a second piece nested within the recessed area.
It is note that claim 4 are merely inversed the protrusion and recess relationship. It has been held that rearranging parts of an invention only involves routine skill in the art. MPEP 2144.04 VI C.
Furthermore, ‘341 is analogous art in the field of Wafer Lift Pin For Manufacturing A Semiconductor Device (title). Figs. 6 and 7 of ‘341 show the bottom protrusion of upper lift pin guide 145a nested within the recess of the lower lift pin guide 145b.
Before the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have changed the protrusion and recess relationship of ‘955 as taught by ‘341, for obvious re-arrangement of parts. It has been held that rearranging parts of an invention only involves routine skill in the art. MPEP 2144.04 VI C.
The combination of ‘955 and ‘341 further teaches the limitations of:
Claims 14 and 20: the lift pin 210 may be prevented from tilting, and therefore, when the lift pin 210 is moved upwardly and downwardly, the lift pin 210 may be prevented from contacting the inner surface of the lift pin hole 111 so that particles are generated or the lift pin 210 is broken (‘955, [0071], Fig. 12 shows there is still room for a small degree of tilting, after inverse the protrusion and recess relationship, reads into the claimed “wherein the second piece is sized to rotate laterally within the recessed area”).
‘955 further teaches the limitations of:
Claims 5-6: a fastening hole 221 may be formed in the pin connection block 220 to receive the lower end portion 212 of the lift pin 210. Threads may be formed on an outer surface of the lower end portion 212 of the lift pin 210 and an inner surface of the fastening hole 221 respectively, and thus, the lift pin 210 may be connected threadedly with the pin connection block 220 ([0053], includes the claimed “wherein the second piece comprises a first through-hole having a diameter that is larger than a diameter of the lift pin, wherein the first through-hole is threaded to mate with the threaded, second end of the lift pin”, see also illustration 2 above, the lift pin guide reads into the claimed “wherein the holder further comprises a third piece positioned adjacent the first piece and the second piece, wherein the third piece comprises a second through-hole that aligns with the first through-hole” of claim 6).
Claim 13: Fig. 4 or 5 shows the lift pin holder 230 has a cylindrical shape, includes the claimed “wherein the first piece further comprises cylindrical section opposite the recessed area”, illustration 1 below shows the 1st piece has a bore (the blue area plus the yellow-orange area being the claimed “first piece which includes the claimed “wherein the cylindrical section comprises a bore opposite the recessed area”, If applicants argue that it is not clear how that rod is connected to the bellow, it is an obvious to have a connection to drive the bellow through the yellow-orange area).
Claim 18: a lower end portion of the bellows 250 may be connected to the lift pin driving plate 260 ([0051], last sentence), A driving mechanism including a lift pin driving plate 260 for moving the lift pin 210 upward and downward may be disposed in the space of the lower cover 130 ([0039], last sentence includes the claimed “wherein the actuator is configured to exert a first force and a second, opposite force on the rod”).
Claim 19: bellow 250 is the claimed “wherein the second mechanism comprises a bellows”.
Claims 7-8, 11-12, and 16-17 are rejected under 35 U.S.C. 103 as obvious over ‘955 and ‘341, as being applied to claims 1, 10, and 15 above, further in view of Huang et. al. (US 20230002894, hereafter ‘894) and YAMAMOTO (US 20150200124, hereafter ‘124).
‘955 also teach some limitations of:
Claim 7: A pin receiving recess 236 may be formed in the upper end portion of the lift pin holder 230 ([0066], includes the claimed “wherein the holder comprises a first piece comprising a recessed area”).
‘955 does not teach the limitations of:
Claims 7, 11 and 16: wherein the recessed area comprises:
a first end section having a first width;
a second end section having a second width; and
a middle section positioned between the first end section and the second end section, and having a third width, wherein the first and second widths are the same and the third width is less than the first and second widths.
Claims 8, 12, and 17: wherein the holder further comprises a second piece having two opposing sidewalls that are parallel and a fourth width therebetween that is less than the third width.
The shape of the recessed area is considered an obvious change of shape. By changing the receiving recess 236 to a dumbbell shape, the lift pin 210 is free to slide within this receiving recess.
‘341 is analogous art as discussed above.
Furthermore, ‘894 is analogous art in the field of SHADOW RING LIFT TO IMPROVE WAFER EDGE PERFORMANCE (title). ‘894 teaches that To facilitate substrate transfer to and from the substrate support 122, the substrate support assembly 120 includes a lift pin assembly 166 comprising a plurality of substrate lift pins 167 coupled to or disposed in engagement with a lift hoop 168 (Figs. 4A-4B, [0031], 2nd sentence), The shadow ring lift assembly 300 is integrated with the lift pin assembly 166, such that the lift hoop 168 may be detachably coupled to both the plurality of substrate lift pins 167 as well as a plurality of shadow ring lift pins 302. The shadow ring lift assembly 300 is configured to raise and lower the shadow ring 135 between or during processing operations. Both the shadow ring 135 and the substrate lift pins 167 may be raised or lowered either simultaneously or separately ([0054], 3rd sentence). ‘894’s shadow ring lift pins 302 is outside of the substrate support 122.
‘124 is analogous art in the field of a plasma processing apparatus including a processing chamber, a lower electrode, an upper electrode, a plurality of lifter pins, a focus ring, a lifter pin for focus ring (abstract). ‘124 teaches that FIG. 3 schematically shows a configuration of the holding stage 2 of the plasma etching apparatus according to a second embodiment of the present invention. In the second embodiment, in addition to the lifter pins 210, a plurality of, for example, 3, lifter pins 310 for focus ring (only 1 lifter pin is shown in FIG. 3) for lifting and supporting the focus ring 5 above the holding stage 2 to exchange the focus ring 5 are provided ([0042]), Fig. 3 shows the lifter pins 310 is within the holding stage.
Before the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to have changed the protrusion and recess relationship of ‘955 as taught by ‘341and to have duplicated the lift pin guide 240’ and the pin connection block 220’ for each of shadow ring lift pins of ‘894 and to have combined both the circular pin connection block 220 and 220’ into the pin receiving recess 236, as an integrated design, inside of the support unit 100 of ‘955, as taught by ‘124, for the purpose of raise and lower the shadow ring during processing, as taught by ‘894 ([0054], 3rd sentence). As a result, there would have two circular recesses 236 close to each other, each larger than the pin connection block 220 and 220’ (again the protrusion and recess relationship as taught by ‘341). As a compact design to bring the two sets of lift pins close to each other, the two circles of recesses will overlap, and forming dumbbell shaped recess (from top view). Note the dual connection block 220 has a constant width in the vertical direction.
Response to Arguments
Applicant's arguments filed 03/30/2026 have been fully considered but they are not persuasive.
In regarding to drawing objection, see the upper portion of page 8, Applicants’ amendment of the specification and replacement drawing overcomes the objection.
In regarding to 35 USC 102 and 35 USC 103 rejections, Applicants argue that
A) only component 220 could reasonably be construed as Applicants’ “holder” in Lee ‘955 and dividing up other components into first, second, and third pieces recites in Applicant’s claims 2-8, 15, 17, and 20 is unfounded because Applicants’ claimed first, second, and third pieces are comprised in the claimed holder that “engage[s] the second end of the lift pin”, see the bridging paragraph between pages 9 and 10.
This argument is found not persuasive.
It is not clear why Applicants considered their holder can comprise multiple pieces while the ‘955’s holder has to be a single piece 220.
The OC has clearly set forth “any of the 240, 220, 160, and 230 or in combination, reads into the claimed “an assembly comprising: a first mechanism …” or “an assembly comprising: a holder …”, these components exactly match up Applicants’ multiple pieces holder. And Fig. 3 of ‘955 clearly shows these component engaged the second/lower end of the lift pine 210.
See also references cited in conclusion for multi-piece lift pin holder.
B) only component 230 could reasonably be construed as Applicants’ “the second mechanism”, see the middle of page 10.
This argument is found not persuasive.
The OC has clearly set forth that:
a lower end portion of the bellows 250 may be connected to the lift pin driving plate 260 ([0051], last sentence), A driving mechanism including a lift pin driving plate 260 for moving the lift pin 210 upward and downward may be disposed in the space of the lower cover 130 ([0039], last sentence, includes the claimed “a second mechanism …”).
This is consistent with Applicants’ claim 9 and 15 regarding to “a bellows”. It is not clear why Applicants’ will considered 230, which is not a bellows and which does not drive lift pins up and down as the only component that match the claimed “second mechanism”.
Applicants’ argument regarding claims 10 and 15 is basically the same argument that only one component of ‘955 can be the claimed holder while Applicants’ can have multiple pieces holder, see page 11, which has already been addressed above.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US 20050092438 is cited for multiple pieces support for lift pin (Fig. 11). US 20170221750 is cited for multiple pieces support for lift pin (Fig. 3).
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 KEATH T CHEN whose telephone number is (571)270-1870. The examiner can normally be reached 8:30am-5:00 pm.
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/KEATH T CHEN/Primary Examiner, Art Unit 1716
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