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 .
Election/Restrictions
Applicant's election with traverse of Group I, claims 1-14 in the reply filed on 04/09/2026 is acknowledged. The traversal is on the ground(s) that there is no undue burden because a search for group I would likely provide a proper search for group II. This is not found persuasive because the inventions have a different classification and status in the art and require search terms which are not coextensive.
The requirement is still deemed proper and is therefore made FINAL.
Claims 15-20 are withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected invention, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on 04/09/2026. Note that applicant’s amendment filed 04/09/2026 provisionally marked claims 15-20 as withdrawn from consideration. As indicated herein the claims are withdrawn from consideration as being drawn to a nonelected invention.
Claim Objections
Claim 1 and 8 are objected to because of the following informalities: In line 13 of claim 1 and line 11 of claim 8, “use” should be “using” so that the text reads “polish the oriented substrate using the pixel cartridge array”. Appropriate correction is required.
Claim Interpretation
Claim 1-14 contain reference to a “pixel cartridge array” and/or “pixel cartridges”. Neither of these structures are common structural terms in the art of chemical mechanical polishing. Consistent with the instant specification and drawings (see Fig 3A-B and 4 and corresponding disclosure in the specification), the term “pixel cartridge array” is interpreted inclusive of an array of pixel cartridges such that each pixel cartridge forms a small discrete element of the pressing/pressurizing portion of the carrier head (i.e. the pressing/pressurizing structure is “pixelated” rather than being one pressurized bladder or a pressurized bladder having concentric zones). As an example in the prior art, see US 2021/0402546 in which Fig 2A-2B represents a pixelated array pressing structure whereas Fig 2C-2D having only concentric zones of a pressurized bladder does not. The terms “pixel cartridge array” and “pixel cartridge” are not interpreted as requiring a pixel of a television or digital screen or a pixel of a solid-state optical sensor. As indicated above this interpretation is consistent with the instant specification and drawings as originally filed.
Claims 1 and 8 recite the controller is configured to “(a) receive and orient a substrate such that the substrate is an oriented substrate; (b) determine a thickness profile on the oriented substrate; (c) position the oriented substrate in a loading position; (d) receive the oriented substrate; and (e) polish the oriented substrate use the pixel cartridge array”. Consistent with the instant specification [0044-0047] these limitations are interpreted inclusive of referring to the controller is configured to control additional structures that have not been claimed as part of the current apparatus to perform the recited functions. The specific structures are not required but the controller must be configured to perform these recited control steps also.
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.
Claims 1-14 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention.
Claims 1 and 8 recite “to apply pressure on a membrane of a carrier head in a chemical mechanical polishing system” in the final 2 lines of the claims. The use of “a” for “a membrane”, “a carrier head”, and “a chemical mechanical polishing system” in this text renders it unclear as to whether the limitation is referring to the previously recited “membrane”, “carrier head”, and “chemical mechanical polishing system” of claim 1 or the previously recited “membrane” and “carrier head” of claim 8 or if the text is referring to a new, distinct “membrane”, “carrier head”, and “chemical mechanical polishing system”. Note that claim 8 does not contain a prior recitation of “chemical mechanical polishing system”. For claim 1 and 8 it is particularly critical for the reference to “membrane” because it is unclear if this is the same membrane adjacent to the pixel cartridge array or different membrane. For claim 8 it is particularly critical because there is no recitation of a chemical mechanical polishing system. Consistent with the instant specification and drawings as originally filed, the text is interpreted inclusive of referring to the previously recited “membrane”, “carrier head”, and “chemical mechanical polishing system” of claim 1 and the previously recited “membrane” and “carrier head” of claim 8. Note that for claim 8, recitation of “a chemical mechanical polishing system” is interpreted as an accidental inclusion. If applicant intended to include the system, applicant should clarify the start of the claim to refer to a system. Applicant is kindly requested to amend claim 1 for clarity by amending the limitation to recite “to apply pressure on the membrane of the carrier head in the chemical mechanical polishing system”. Applicant is kindly requested to amend claim 8 for clarity by amending the limitation to recite “to apply pressure on the membrane of the carrier head
Claims 2 and 9 recite in line 1-2 that “the pixel cartridge array comprises a plurality of pixel cartridges”. Consistent with the instant specification discussion of “pixel cartridge array” (see [0039]) the use of “array” already requires a plurality of the pixel cartridges. Therefore the recitation of “the pixel cartridge array comprises a plurality of pixel cartridges” is unclear because it is unclear if this is merely restating an inherent fact or if it is intended to indicate that the pixel cartridge array may be another structure beyond a plurality of pixel cartridges (e.g. a tray or holder type structure). Consistent with the instant specification [0039], the limitation is being interpreted inclusive of merely restating an inherent fact (i.e. that the array of structures includes a plurality of the individual structures). Applicant is kindly requested to amend the claim for clarity and to include alternative other structure of the pixel cartridge array if it is intended to be more than a plurality of pixel cartridges. If applicant intended to merely restate the inherent fact, applicant is kindly requested to amend the claims for clarity such as by amending to recite “wherein tof the pixel cartridge array comprises an electromagnet and a permanent magnet”.
Claim 11 recites “the angular position of the oriented substrate” this term lacks clear antecedent basis in the claims because there is no prior recitation of an angular position of the oriented substrate and there is no clear indication in the claims that an oriented substrate inherently has an angular position. For purpose of examination on the merits, the claim is examined inclusive of referring to “an angular position of the oriented substrate”. Applicant is kindly requested to amend the claim for clarity.
The remaining claims are included for their dependence from a claim addressed above.
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim(s) 8 and 11-13 is/are rejected under 35 U.S.C. 102(a)(1)/(a)(2) as being anticipated by US Patent Application Publication 2021/0237224 of Kobata et al., hereinafter Kobata.
Regarding claim 8, Kobata teaches a chemical mechanical polishing system (Fig 1) [0078-0079], comprising: a carrier head body (45 Fig 5, 14) [0099-0100] configured to couple with a carrier ring (retainer ring 65 Fig 5, 14 [0108]); a pixel cartridge array disposed within the carrier head body (47 and 54 Fig 5-8, 14) [0102-0104]; a membrane (67 Fig 14) [0142] adjacent to the pixel cartridge array [0142]; a controller (10 Fig 1, 5, 14) [0078] coupled to the pixel cartridge array (Fig 5, 14), the controller configured to: (a) receive (at loading and unloading device 39 Fig 1) [0088] and orient a substrate such that the substrate is an oriented substrate [0089-0091];(b) determine a thickness profile on the oriented substrate [0094-0096], [0120]; (c) position the oriented substrate in a loading position [0090]; (d) receive the oriented substrate [0090]; and (e) polish the oriented substrate using the pixel cartridge array [0098], [0102-0104], [0120-0122] the pixel cartridge array configured to apply pressure on the membrane of the carrier head [0102-0104], [0120-0122].
Regarding claim 11, Kobata remains as applied to claim 8. Kobata has taught the pixel cartridge array is configured to apply pressure on the membrane based on the angular position of the oriented substrate [0102-0104], [0120-0122].
Regarding claim 12, Kobata remains as applied to claim 8. Kobata has taught the pressure applied by the pixel cartridge array is adjusted based on the thickness profile on the oriented substrate [0102-0104], [0120-0122].
Regarding claim 13, Kobata remains as applied to claim 8. Kobata has taught the pressure applied by the pixel cartridge array is non-uniform [0102-0104], [0120-0122].
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claim(s) 1 and 3-7 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kobata in view of US Patent 6,325,696 of Boggs et al., hereinafter Boggs, and US Patent 6,623,329 of Moore, hereinafter Moore.
Regarding claim 1, Kobata teaches a chemical mechanical polishing system (Fig 1) [0078-0079], comprising: a carrier head (7 Fig 1, Fig 5, 14) [0099] comprising a carrier head body (45 Fig 5, 14) [0099-0100], a pixel cartridge array disposed within the carrier head body (47 and 54 Fig 5-8, 14) [0102-0104], and a membrane (67 Fig 14) [0142] adjacent to the pixel cartridge array [0142]; a carrier ring (retainer ring 65 Fig 5, 14 [0108]) configured to couple with the carrier head [0108]; and a controller (10 Fig 1, 5, 14) [0078] coupled to the pixel cartridge array (Fig 5, 14), the controller configured to: (a) receive (at loading and unloading device 39 Fig 1) [0088] and orient a substrate such that the substrate is an oriented substrate [0089-0091];(b) determine a thickness profile on the oriented substrate [0094-0096], [0120]; (c) position the oriented substrate in a loading position [0090]; (d) receive the oriented substrate [0090]; and (e) polish the oriented substrate using the pixel cartridge array [0098], [0102-0104], [0120-0122] the pixel cartridge array configured to apply pressure on a membrane of a carrier head in a chemical mechanical polishing system [0102-0104], [0120-0122]. Kobata fails to teach a notch sensor array disposed on the carrier ring and the controller coupled to the notch sensor array. It is noted that Kobata teaches a notch sensor (40 Fig 1) coupled to the controller (Fig 1) [0089], but fails to teach this is a sensor array disposed on the carrier ring. Addressing the same problem of individual pressure application in a CMP apparatus (abstract), Boggs teaches using a plurality of sensors on the outermost portion of the layer to locate the notch (col 5, ln 35-60) and teaches this array of sensors coupled to the controller (col 5, ln 35-60). It is noted that these sensors may be considered on the carrier ring because they are on the side of the carrier ring (see Fig 7 which demonstrates outermost portion of layer 20 contacts the unnumbered carrier ring). It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Kobata to include an array of sensors for locating the notch and to have this array in coupled to the controller because Boggs demonstrates this as a functional alternative arrangement for identifying the location of the notch (col 5, ln 35-60). Regarding specifically being on the carrier ring, this represents a mere rearrangement of parts. Further, in the same field of endeavor of chemical mechanical polishing systems (abstract), Moore teaches sensors 170b (Fig 2) on the carrier ring (on surface 153 Fig 2) to detect the notch of the substrate (col 7, ln 39-60). It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Kobata and the combination of Kobata in view of Boggs to include the notch sensor is on the carrier ring because Moore demonstrates this arrangement is a suitable alternative for detecting and monitoring the position of the notch. Note that Moore has taught a plurality of the sensors may be used which is a sensor array.
Regarding claim 3, the combination remains as applied to claim 1. In the combination as applied, Boggs as applied in the combination has taught using the notch sensor array to determine an angular position of the oriented substrate using a notch in the oriented substrate (col 5, ln 35-60).
Regarding claim 4, the combination remains as applied to claim 1. In the combination as applied Kobata has taught the pixel cartridge array is configured to apply pressure on the membrane based on the angular position of the oriented substrate [0102-0104], [0120-0122].
Regarding claim 5, the combination remains as applied to claim 1. In the combination as applied Kobata has taught the pressure applied by the pixel cartridge array is adjusted based on the thickness profile on the oriented substrate [0102-0104], [0120-0122].
Regarding claim 6, the combination remains as applied to claim 1. In the combination as applied Kobata has taught the pressure applied by the pixel cartridge array is non-uniform [0102-0104], [0120-0122].
Regarding claim 7, the combination remains as applied to claim 1. Kobata demonstrates a plurality of pixel cartridges but does not teach a number of the pixel cartridges. Boggs teaches the individual actuators to provide specific pressure may be present in a number of hundreds (col 4, ln 45-55). It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Kobata to include hundreds of pixel cartridges because Kobata has not limited the number and Boggs teaches hundreds may be used to polish a wafer as needed based on size and pattern density (col 4, ln 45-55).
Claim(s) 2 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kobata in view of Boggs and Moore as applied to claim 1 above, and further in view of US Patent Application Publication 2011/0239876 of Brown, hereinafter Brown.
Regarding claim 2, the combination remains as applied to claim 1 above. Kobata teaches magnetostrictive actuators using magnetostrictive elements, electromagnetic actuators, or the like may be used as the actuators for independently applying pressing forces [0101] but fails to explicitly teach the pixel cartridges comprise an electromagnet and a permanent magnet. In the same field of endeavor of polishing systems (abstract), Brown teaches the individual pressing structures including a magnet [0038] and an electromagnet [0040] as the actuator and pressing structure [0038-0040]. It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Kobata to include the pixel cartridges comprise an electromagnet and a permanent magnet because Brown teaches this as a functional alternative structure for applying individually controlled pressure to portions of the substrate [0038-0040].
Claim(s) 9-10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kobata in view of Brown.
Regarding claim 9, Kobata remains as applied to claim 8. Kobata teaches magnetostrictive actuators using magnetostrictive elements, electromagnetic actuators, or the like may be used as the actuators for independently applying pressing forces [0101] but fails to explicitly teach the pixel cartridges comprise an electromagnet and a permanent magnet. In the same field of endeavor of polishing systems (abstract), Brown teaches the individual pressing structures including a magnet [0038] and an electromagnet [0040] as the actuator and pressing structure [0038-0040]. It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Kobata to include the pixel cartridges comprise an electromagnet and a permanent magnet because Brown teaches this as a functional alternative structure for applying individually controlled pressure to portions of the substrate [0038-0040].
Regarding claim 10, the combination remains as applied to claim 1 above. In the combination as applied Kobata has taught the pixel cartridge array is configured to apply pressure on the membrane based on the angular position of the oriented substrate [0102-0104], [0120-0122] and Brown has rendered obvious the pressing structure including the electromagnet to apply pressure to the membrane [0038-0040] to apply the pressure during polishing.
Claim(s) 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kobata in view of Boggs.
Regarding claim 9, Kobata remains as applied to claim 8. Kobata demonstrates a plurality of pixel cartridges but does not teach a number of the pixel cartridges. Boggs teaches the individual actuators to provide specific pressure may be present in a number of hundreds (col 4, ln 45-55). It would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Kobata to include hundreds of pixel cartridges because Kobata has not limited the number and Boggs teaches hundreds may be used to polish a wafer as needed based on size and pattern density (col 4, ln 45-55).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US 6,458,015 teaches a pixelate pressure application for CMP (Fig 6). US 2021/0402546 teaches twenty to one hundred actuators [0035]. US 2022/0379428 teaches orienting and metrology stations of a CMP system [0037] and discusses monitoring the angular orientation during polishing [0117]. US 5,720,845 demonstrates polishing with individual cartridges for applying pressure to the substrate (Fig 4).
Any inquiry concerning this communication or earlier communications from the examiner should be directed to MARGARET D KLUNK whose telephone number is (571)270-5513. The examiner can normally be reached Mon - Fri 9:30-5:30.
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/MARGARET KLUNK/Examiner, Art Unit 1716
/KARLA A MOORE/Primary Examiner, Art Unit 1716
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