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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 May 20, 2026 has been entered.
Status of Claims
This action is in reply to the Amendments/Response filed on May 20, 2026. Claim(s) 1, 3 and 8 have been amended. No additional claims have been added. Claim 2 has been cancelled. The amendments set forth change limitations in claims 1 and 8 such that the previous 112(f) interpretations no longer apply. Claims 1 and 3-8 are currently pending and have been examined.
Response to Amendments
The examiner fully acknowledges the amendments to claims 1, 3 and 8 filed on May 20, 2026.
The amendments to claim 3 have addressed most of the objections previously submitted, and as such the claim objections set forth in the previous office action pertaining to claims are withdrawn.
The applicant’s amendments to claims 1 and 8 are sufficient to overcome the rejection of claims, as presented in the 35 U.S.C. 103 rejections, which previously indicated the claims as being obvious in view of Zuniga (US Patent No. 6361419) and Fukushima (US PG Pub No. 20130196573) and Zuniga (US Patent No. 6183354).
Please see the new rejection set forth in the present action in light of limitations now required within the presently filed claims, providing teaching to address the requirement of a spherical surface bearing.
Response to Arguments
The applicant’s arguments, see pages 8-11, filed May 20, 2026 have been fully considered.
Claim objections: The examiner agrees that the amendments to claim 3 addressed minor informalities brought up in the previous action. However, claim 3 was not amended, and as such, the objection is maintained.
Claim rejections 103: Applicant’s arguments with respect to claims 1, 8, and their respective dependents have been considered. In response to applicant's argument that the references fail to show all the features of the invention, it is noted elements in the amended and presently filed claims have yet to be examined. Please see the updated rejection, applying Duescher (US PG Pub No. 20150024662), which teaches a spherical ball bearing for a connection between portioning portion and base head portion.
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.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claim(s) 1 and 3-8 are rejected under 35 U.S.C. 103 as being unpatentable over Zuniga (US Patent No. 6361419) in view of Fukushima (US PG Pub No. 20130196573) and Duescher (US PG Pub No. 20150024662).
In regards to claim 1, Zuniga discloses
a work polishing apparatus (CMP apparatus 20, fig. 1-3, 4a, 5-7) comprising:
a platen (rotatable platen 30, fig. 1) having an upper surface on which a polishing pad (polishing pad 32, col. 4 line 2; fig. 1) is attached, the platen (rotatable platen 30, fig. 1) rotating in a horizontal plane (see fig. 1 – ann. 1); and
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a polishing head (carrier head 100, fig. 1-3, 4a, 5-7) that is above the platen (rotatable platen 30, fig. 1), and includes
a head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) in
an upper portion (see fig. 2 - ann. 1) and
a holding member (membrane 152, fig. 2-3, 4a, 5-7) in a lower portion (see fig. 2 - ann. 1), said polishing head having
a head shaft (carrier drive shaft 74, fig. 1) that is movable and rotatable (col. 4 lines 42-48) is fixed (attached) and provided on an upper surface of the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1),
a work (substrate 10, fig. 3 and 7) is configured to be held on a lower surface of the holding member (see fig. 2 - ann. 1), and the work (substrate 10, fig. 3 and 7) is configured to be lowered while rotating, via the head shaft (carrier drive shaft 74, fig. 1), to be pressed, from above, onto the polishing pad (polishing pad 32, col. 4 line 2; fig. 1) on the upper surface of the platen (rotatable platen 30, fig. 1) rotating to be polished (col. 4 lines 42-48),
col. 4 lines 42-48: During actual polishing, three of the carrier heads are positioned at and above the three polishing stations. Each carrier head 100 lowers a substrate into contact with the polishing pad 32. The carrier head 100 holds the substrate in position against the polishing pad and distributes a force across the back surface of the substrate. The carrier head 100 also transfers torque from the drive shaft 74 to the substrate (transfer of torque is understood as rotation).
wherein:
the polishing head (carrier head 100, fig. 1-3, 4a, 5-7) is provided with a first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) on side of an upper surface of the holding member (see fig. 2 – ann. 1),
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a second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) more on a side of outer circumference (see fig. 2 – ann. 2) than the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7), and
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a partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) that is vertically movable (Col. 9 lines 1- 20)
and is provided between the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7),
a fluid is capable of being supplied into and discharged from each of the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) independently (col. 6 lines 38-60; col. 7 lines 12-22),
pressure in the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and pressure in the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) are each capable of being independently increased and decreased (col. 6 lines 38-60; col. 7 lines 12-22),
col. 6 lines 38-60: …The volume between the base assembly 104 and the internal membrane 150 that is sealed by the inner flap 176 provides the pressurizable floating internal chamber 156. The annular volume between the base assembly 104 and the internal membrane 150 that is sealed by the inner flap 176 and the outer flap 178 defines the pressurizable floating upper chamber 154. A second pump (not shown) may be connected to the unillustrated passage to direct fluid, e.g., a gas, such as air, into or out of the floating upper chamber 154. A third pump (not shown) may be connected to bore 120 to direct a fluid, e.g., a gas, such as air, into or out of floating internal chamber 156. As explained in greater detail below, the pressure in the chambers 154, 156, 158 will control a contact area of the internal membrane 150 against a top surface of the external membrane 152. Thus, the second, third and fourth pumps control the area of the substrate against which pressure is applied, i.e., the loading area, and the third pump controls the downward force on the substrate in the loading area.
Col. 7 lines 12-22: …The sealed volume between the internal membrane 150 and the external membrane 152 defines the pressurizable outer chamber 158. Thus, the outer chamber 158 can actually extend below the internal chamber 156. A fourth pump (not shown) may be connected to the passage 124 to direct a fluid, e.g., a gas, such as air, into or out of the outer chamber 158. The fourth pump controls the pressure in the outer chamber 158.
the partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) is configured to be capable of being lowered (col. 9 lines 1-20) at least to a position where the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) are partitioned in such a manner that a pressure difference is capable of being produced between the interior of the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and the interior of the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7),
Col. 9 line 1- 20:
… Referring to FIGS. 3, 6A and 6B, the edge control ring 166 and the lower membrane spacer ring 164 can be used to apply additional pressure to multiple annular regions at the perimeter of the substrate. In regular operation, the outer tip of the annular flange 208 of the lower membrane spacer ring 164 rests on the top surface of the external membrane 152 near the outermost edge of the central portion 170. However, if the upper chamber 154 is sufficiently pressurized, the rectangular portion 174 of the internal flexible membrane 150 will be driven downwardly into contact with the upper membrane spacer ring 162. This contact pressure is transmitted through the upper membrane spacer ring 162, the edge control ring 166 and the thick portion 186 of the external membrane 152 to create a downward pressure on the lower membrane spacer ring 164 (the load on the edge control ring 166 is shown by arrow A in FIG. 6B). At first, the increase in pressure in the upper chamber 155 merely increases the pressure applied by the flange 208 at the outermost edge of the substrate.
However, Zuniga fails to explicitly disclose that the head shaft is “vertically” movable. While disclosing moving the carrier head, and positioning them over the polishing stations (col. 4 lines 18-28), it is silent to the head shaft being vertically movable and the means for moving the carrier towards the polishing head.
Fukushima, which discloses a substrate holder device for holding a substrate and pressing it against a polishing pad, teaches a head shaft that rotates and is vertically movable:
[0101] The top ring 1 is coupled to a top ring shaft 7 that is vertically moved by a vertically moving mechanism (not shown) disposed in a top ring head 8. When the top ring shaft 7 is moved up and down, the top ring 1 in its entirety is elevated and lowered relative to the top ring head 8 as indicated by vertical arrows, so that positioning of the top ring 1 is performed. The top ring shaft 7 is further coupled to a rotating mechanism (not shown) housed in the top ring head 8, so that the top ring shaft 7 is rotated about its own axis. When the top ring shaft 7 is rotated, the top ring 1 is also rotated about its own axis, as indicated by arrow. The above-described vertically moving mechanism and the rotating mechanism for the top ring 1 may be constructed using known techniques.
Zuniga and Fukushima are analogous to the claimed invention as they are in the same field of endeavor, chemical mechanical polishers for substrates. Therefore, it would have been obvious to someone of ordinary skill in the art before the effective filing date of the claimed invention to have modified Zuniga to incorporate the teachings of Fukushima and provide a head shaft that is vertically movable and rotatable to functionally move the carrier head up and down, yielding the predictable results of allowing the carrier head to engage the substrate with the platen and polishing pad so that the substrate is polished.
Zuniga is fails to explicitly disclose the partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) is: coupled to the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) via a “spherical surface bearing” and vertically moves together with the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) vertically moving via the head shaft(carrier drive shaft 74, fig. 1),
or vertically movable suspended from the head base portion via a diaphragm, and the apparatus further comprising a third fluid chamber into and from which the fluid is capable of being supplied and discharged is further provided above the partitioning portion, and the partitioning portion vertically moves in response to an increase or decrease in pressure in the third fluid chamber.
Duescher, which also discloses chemical mechanical polisher with pressurized regions, teaches using a spherical ball bearing as a coupling means between a partitioning portion of the apparatus and the head base portion ([0071-0073]):
[0071] A nominally-rigid rotational drive arm 28 is attached to the hollow drive shaft 24 where rotation of the hollow drive shaft 24 rotates the rotational drive arm 28. The drive-pin device 30 is attached a rigid annular member 32 that is attached to the workpiece carrier rotor 40 which allows the rotational drive arm 28 and the drive-pin device 30 to rotationally drive the workpiece carrier rotor 40. The rigid annular member 32 also can be used as a sealed annular wall 36 that is used to form a sealed pressure or vacuum chamber 7. The workpiece carrier rotor 40 has an attached spherical bearing 9 which allows the workpiece carrier rotor 40 to be tilted while the stationary-positioned carrier housing 10 rotates.
[0073] The workpiece carrier rotor 40 can be moved vertically and tilted relative to the carrier housing 10 where the spherical bearing 9 allows the workpiece carrier rotor 40 to be tilted and the spherical bearing 9 restrains the workpiece carrier rotor 40 radially. Because the carrier rotor 40 nominally rotates with the carrier housing 10, as controlled by the drive-pin device 30, the spherical bearing 9 nominally does not rotate about a vertical axis but does provide spherical-action rotation of the carrier housing 10.
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Therefore, it would have been obvious to someone of ordinary skill in the art before the
effective filing date of the claimed invention to have modified Zuniga to incorporate the teachings of Duescher and provide a spherical bearing to functionally provide a coupling component between the gimbal rod and bushing, maintaining engagement between the partitioning portion and head base portion, and allotting for spherical-action rotation of the housing, preventing undesired titling of the workpiece caused by abrading forces ([0035]).
Examiner’s Note:
Pursuant MPEP 2143.03, when a claim requires selection of an element from a list of alternatives (by reciting “or” and “and/or”), the prior art teaches the element if one of the alternatives is taught by the prior art. See, e.g., Fresenius USA, Inc. v. Baxter Int’l, Inc., 582 F.3d 1288, 1298, 92 USPQ2d 1163, 1171 (Fed. Cir. 2009).
In regards to claim 3, Zuniga as modified discloses
the work polishing apparatus according to claim 1, wherein the partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) is a pressing mechanism portion capable of pressing a region, in
Col. 9 line 1- 20:
… Referring to FIGS. 3, 6A and 6B, the edge control ring 166 and the lower membrane spacer ring 164 can be used to apply additional pressure to multiple annular regions at the perimeter of the substrate. In regular operation, the outer tip of the annular flange 208 of the lower membrane spacer ring 164 rests on the top surface of the external membrane 152 near the outermost edge of the central portion 170. However, if the upper chamber 154 is sufficiently pressurized, the rectangular portion 174 of the internal flexible membrane 150 will be driven downwardly into contact with the upper membrane spacer ring 162. This contact pressure is transmitted through the upper membrane spacer ring 162, the edge control ring 166 and the thick portion 186 of the external membrane 152 to create a downward pressure on the lower membrane spacer ring 164 (the load on the edge control ring 166 is shown by arrow A in FIG. 6B). At first, the increase in pressure in the upper chamber 155 merely increases the pressure applied by the flange 208 at the outermost edge of the substrate.
a region including the work (substrate 10, fig. 3 and 7) and an outer side region of the work, corresponding to a lower surface of the partitioning portion (see fig. 3 - ann. 1), via the holding member (membrane 152, fig. 2-3, 4a, 5-7), by being lowered to press the holding member (membrane 152, fig. 2-3, 4a, 5-7).
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In regards to claim 4, Zuniga as modified discloses
the work polishing apparatus according to claim 3, wherein
a pressing member (upper membrane spacer ring 162, fig. 3) is attached to
a lower surface of the pressing mechanism portion (see fig. 3 - ann. 2) or
in a region of the upper surface of the holding member (see fig. 2 – ann. 1) corresponding to the lower surface of the pressing mechanism portion.
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However, while Zuniga fails to explicitly disclose that the pressing member (upper membrane spacer ring 162) is “detachably” attached, it is movable via flexible membranes:
Col. 5 line 67 – col. 6 line 11: Referring to FIGS. 2 and 3, the substrate backing assembly 112 includes an internal membrane 150, an external membrane 152, an internal membrane support structure 160, a an upper membrane spacer ring 162… The support structure 160, the spacer rings 162 and 164, and the control ring 166 need not be secured to the rest of the carrier head, and may be held in place by the internal and external flexible membranes.
Zuniga doesn’t require the control ring to be “secured”. But rather being brought into and out of position by the internal and external flexible members. A skilled artisan would recognize that the spacer ring 162 would become “attached” to the lower surface of pressing mechanism portion when pushed into place by the flexible membranes.
In regards to claim 5, Zuniga as modified discloses
the work polishing apparatus according to claim 4, wherein the pressing member (upper membrane spacer ring 162, fig. 3) is detachably attached to the lower surface of the pressing mechanism portion (see fig. 3 - ann. 2) via an attachment (col. 6 line 67 – col. 6 line 11: held in place via attachment of internal and external flexible members).
In regards to claim 6, Zuniga as modified discloses
the work polishing apparatus according to claim 2, wherein in the polishing head (carrier head 100, fig. 1-3, 4a, 5-7), the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) includes
a base top plate (housing 102, see fig. 2 - ann. 3) having the head shaft (carrier drive shaft 74, fig. 1) fixed to an upper surface center portion, and
a shaft portion (gimbal 140, see fig. 2 - ann. 3) protruding in a lower surface center portion of the base top plate (housing 102, see fig. 2 - ann. 3),
a work guide (annular body 130, fig. 2 - ann. 3) is positioned below the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) to be vertically movable with respect to the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) via a first suspending member (rolling diaphragm 146, fig. 2 - ann. 3),
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the partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) is positioned below the work guide (annular body 130, fig. 2 - ann. 3), is vertically movably suspended from the work guide (annular body 130, fig. 2 - ann. 3) via a second suspending member (annular inner flap 176, fig. 3) on outer circumference side, and is coupled (through connection via flexure ring 142) to the shaft portion (gimbal 140, see fig. 2 - ann. 3)
or is suspended via a third suspending member on an inner circumference side,
a holding plate (flexure ring 142, fig. 2, 5) is provided to a lower end of the shaft portion (gimbal 140, see fig. 2 - ann. 3), the holding member (membrane 152, fig. 2-3, 4a, 5-7) is a sheet body that is provided to be positioned below the holding plate (flexure ring 142, fig. 2, 5) and has
a circumferential edge portion (see fig. 3 - ann. 3) fixed to the work guide (annular body 130, fig. 2 - ann. 3),
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the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) is formed between an upper surface of the sheet body and a lower surface of the holding plate on the inner circumference side of the partitioning portion (see fig. 2 - ann. 4), and
the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) is formed between an outer circumference surface of the partitioning portion and an inner circumference surface of the work guide on the outer circumference side of the partitioning portion (see fig. 2 - ann. 4).
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In regards to claim 7, Zuniga as modified discloses
the work polishing apparatus according to claim 3, wherein in the polishing head (carrier head 100, fig. 1-3, 4a, 5-7), the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) includes
a base top plate (housing 102, see fig. 2 - ann. 3) having the head shaft (carrier drive shaft 74, fig. 1) fixed to an upper surface center portion, and
a shaft portion (gimbal 140, see fig. 2 - ann. 3) protruding in a lower surface center portion of the base top plate (housing 102, see fig. 2 - ann. 3),
a work guide (annular body 130, fig. 2 - ann. 3) is positioned below the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) to be vertically movable with respect to the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) via a first suspending member (rolling diaphragm 146, fig. 2 - ann. 3),
the partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) is positioned below the work guide (annular body 130, fig. 2 - ann. 3), is vertically movably suspended from the work guide (annular body 130, fig. 2 - ann. 3) via a second suspending member (annular inner flap 176, fig. 3 - ann. 3) on outer circumference side, and
is coupled to the shaft portion (gimbal 140, see fig. 2 - ann. 3) or is suspended via a third suspending member on an inner circumference side, a holding plate (flexure ring 142, fig. 2, 5) is provided to a lower end of the shaft portion (gimbal 140, see fig. 2 - ann. 3),
the holding member (membrane 152, fig. 2-3, 4a, 5-7) is a sheet body that is provided to be positioned below the holding plate (flexure ring 142, fig. 2, 5) and has
a circumferential edge portion (see fig. 3 - ann. 3) fixed to the work guide (annular body 130, fig. 2 - ann. 3),
the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) is formed between an upper surface of the sheet body and a lower surface of the holding plate on the inner circumference side of the partitioning portion (see fig. 2 - ann. 4), and
the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) is formed between an outer circumference surface of the partitioning portion and an inner circumference surface of the work guide on the outer circumference side of the partitioning portion (see fig. 2 - ann. 4).
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In regards to claim 8, Zuniga discloses
a work polishing method of polishing, into
a set thickness shape,
a work (substrate 10, fig. 3 and 7) held on a lower surface of a holding member (see fig. 2 – ann. 1) provided in
a lower portion (see fig. 2 - ann. 1) of a polishing head, by rotating and lowering the polishing head (carrier head 100, fig. 1-3, 4a, 5-7), and pressing, from above, the work (substrate 10, fig. 3 and 7) onto a polishing pad (polishing pad 32, col. 4 line 2; fig. 1) attached to an upper surface of a platen (rotatable platen 30, fig. 1) rotating, with
col. 4 lines 42-48: During actual polishing, three of the carrier heads are positioned at and above the three polishing stations. Each carrier head 100 lowers a substrate into contact with the polishing pad 32. The carrier head 100 holds the substrate in position against the polishing pad and distributes a force across the back surface of the substrate. The carrier head 100 also transfers torque from the drive shaft 74 to the substrate (transfer of torque is understood as rotation).
a pressing mechanism portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) that is vertically movable and capable of being lowered to press the holding member (membrane 152, fig. 2-3, 4a, 5-7) provided on side of an upper surface of the holding member (see fig. 2 – ann. 1), and
with a first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and a second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) respectively provided on an inner circumference side and an outer circumference side of the pressing mechanism (see fig. 2 - ann. 4),
the work polishing method comprising:
controlling pressure (using the fourth pump, see col. 5 lines 5-23 and col 6 lines 38-40) in the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) to control pressure applied to a relatively center portion side region of the work or to an entire region of the work, the regions corresponding to the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7);
col. 5 lines 5-23: The base assembly 104 is a vertically movable assembly located beneath the housing 102. .. A passage 136 may extend through the body of the gimbal mechanism 106, the annular body 130, and the lower clamp ring 132, to one of the chambers in substrate backing assembly 112, e.g., the outer chamber 158. Two fixtures 138 may provide attachment points to connect a flexible tube between the housing 102 and the base assembly 104 to fluidly couple passage 124 to passage 136 and the outer chamber 158. …
Col. 6 lines 38-60: The annular volume between the base assembly 104 and the internal membrane 150 that is sealed by the inner flap 176 and the outer flap 178 defines the pressurizable floating upper chamber 154. A second pump (not shown) may be connected to the unillustrated passage to direct fluid, e.g., a gas, such as air, into or out of the floating upper chamber 154. A third pump (not shown) may be connected to bore 120 to direct a fluid, e.g., a gas, such as air, into or out of floating internal chamber 156. As explained in greater detail below, the pressure in the chambers 154, 156, 158 will control a contact area of the internal membrane 150 against a top surface of the external membrane 152. Thus, the second, third and fourth pumps control the area of the substrate against which pressure is applied, i.e., the loading area, and the third pump controls the downward force on the substrate in the loading area.
controlling pressure (through the second pump, see col. 5 lines 5-23 and col 6 lines 38-40) in the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7) to control pressure applied to a relatively circumferential edge portion side region of the work, to an outer side region of the work, or
to a region covering both of the relatively circumferential edge portion side region of the work and the outer side region of the work, the regions corresponding to the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7); and
controlling pressing force (Col. 9 line 1- 20) of the pressing mechanism portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) that is vertically movable and capable of being lowered to press the holding member (membrane 152, fig. 2-3, 4a, 5-7) to control pressing force applied to a region corresponding to a lower surface of the pressing mechanism portion (see fig. 3 - ann. 2) positioned between a pressure control region controlled under the first fluid chamber (outer chamber 158, fig. 2-3, 5 and 7) and a pressure control region controlled under the second fluid chamber (upper chamber 154, fig. 2-3, 5 and 7).
Col. 9 line 1- 20:
… Referring to FIGS. 3, 6A and 6B, the edge control ring 166 and the lower membrane spacer ring 164 can be used to apply additional pressure to multiple annular regions at the perimeter of the substrate. … However, if the upper chamber 154 is sufficiently pressurized, the rectangular portion 174 of the internal flexible membrane 150 will be driven downwardly into contact with the upper membrane spacer ring 162. This contact pressure is transmitted through the upper membrane spacer ring 162, the edge control ring 166 and the thick portion 186 of the external membrane 152 to create a downward pressure on the lower membrane spacer ring 164 (the load on the edge control ring 166 is shown by arrow A in FIG. 6B). At first, the increase in pressure in the upper chamber 155 merely increases the pressure applied by the flange 208 at the outermost edge of the substrate.
However, Zuniga fails to explicitly disclose that the head shaft is “vertically” movable. While disclosing moving the carrier head, and positioning them over the polishing stations (col. 4 lines 18-28), it is silent to the head shaft being vertically movable and the means for moving the carrier towards the polishing head.
Fukushima, which discloses a substrate holder device for holding a substrate and pressing it against a polishing pad, teaches a head shaft that rotates and is vertically movable:
[0101] The top ring 1 is coupled to a top ring shaft 7 that is vertically moved by a vertically moving mechanism (not shown) disposed in a top ring head 8. When the top ring shaft 7 is moved up and down, the top ring 1 in its entirety is elevated and lowered relative to the top ring head 8 as indicated by vertical arrows, so that positioning of the top ring 1 is performed. The top ring shaft 7 is further coupled to a rotating mechanism (not shown) housed in the top ring head 8, so that the top ring shaft 7 is rotated about its own axis. When the top ring shaft 7 is rotated, the top ring 1 is also rotated about its own axis, as indicated by arrow. The above-described vertically moving mechanism and the rotating mechanism for the top ring 1 may be constructed using known techniques.
Zuniga and Fukushima are analogous to the claimed invention as they are in the same field of endeavor, chemical mechanical polishers for substrates. Therefore, it would have been obvious to someone of ordinary skill in the art before the effective filing date of the claimed invention to have modified Zuniga to incorporate the teachings of Fukushima and provide a head shaft that is vertically movable and rotatable to functionally move the carrier head up and down, yielding the predictable results of allowing the carrier head to engage the substrate with the platen and polishing pad so that the substrate is polished.
Zuniga is fails to explicitly disclose the partitioning portion (at least annular portion 174 and outer flap 178, fig. 2-3, 4a, 5-7) is: coupled to the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) via a “spherical surface bearing” and vertically moves together with the head base portion (at least gimbal rod 140 and housing 102, see fig. 2 - ann. 1) vertically moving via the head shaft(carrier drive shaft 74, fig. 1),
or vertically movable suspended from the head base portion via a diaphragm.
Duescher, which also discloses chemical mechanical polisher with pressurized regions, teaches using a spherical ball bearing as a coupling means between a partitioning portion of the apparatus and the head base portion ([0071-0073]; see fig. 1):
[0071] A nominally-rigid rotational drive arm 28 is attached to the hollow drive shaft 24 where rotation of the hollow drive shaft 24 rotates the rotational drive arm 28. The drive-pin device 30 is attached a rigid annular member 32 that is attached to the workpiece carrier rotor 40 which allows the rotational drive arm 28 and the drive-pin device 30 to rotationally drive the workpiece carrier rotor 40. The rigid annular member 32 also can be used as a sealed annular wall 36 that is used to form a sealed pressure or vacuum chamber 7. The workpiece carrier rotor 40 has an attached spherical bearing 9 which allows the workpiece carrier rotor 40 to be tilted while the stationary-positioned carrier housing 10 rotates.
[0073] The workpiece carrier rotor 40 can be moved vertically and tilted relative to the carrier housing 10 where the spherical bearing 9 allows the workpiece carrier rotor 40 to be tilted and the spherical bearing 9 restrains the workpiece carrier rotor 40 radially. Because the carrier rotor 40 nominally rotates with the carrier housing 10, as controlled by the drive-pin device 30, the spherical bearing 9 nominally does not rotate about a vertical axis but does provide spherical-action rotation of the carrier housing 10.
Therefore, it would have been obvious to someone of ordinary skill in the art before the
effective filing date of the claimed invention to have modified Zuniga to incorporate the teachings of Duescher and provide a spherical bearing to functionally provide a coupling component between the gimbal rod and bushing, maintaining engagement between the partitioning portion and head base portion, and allotting for spherical-action rotation of the housing, preventing undesired titling of the workpiece caused by abrading forces ([0035]).
Examiner’s Note:
Pursuant MPEP 2143.03, when a claim requires selection of an element from a list of alternatives (by reciting “or” and “and/or”), the prior art teaches the element if one of the alternatives is taught by the prior art. See, e.g., Fresenius USA, Inc. v. Baxter Int’l, Inc., 582 F.3d 1288, 1298, 92 USPQ2d 1163, 1171 (Fed. Cir. 2009).
Further, the recitations of claim 8 preceding “comprising” are all part of the preamble. As such, there are some elements that are not “positively recited” and required by the claims, but simultaneously provide the background and support by which the claim is evaluated.
Conclusion
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/JASON KHALIL HAWKINS/Examiner, Art Unit 3723
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