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 Species 5 (Figure 13) in the reply filed on June 16, 2026 is acknowledged. The traversal is on the grounds that there is not a serious search burden on the examiner, but the applicant provides no rationale for reaching this conclusion. The examiner maintains the rationales for a serious search burden on the examiner presented in the requirement of April 16, 2026.
The requirement is still deemed proper and is therefore made FINAL.
Claims 4, 6, 10-14, 17, and 19 are withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected species, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on June 16, 2026.
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 5 is 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.
Claim 5 recites, “wherein the first lower curved portion and the first upper curved portion have an asymmetric shape”. It is unclear the comparison that is being made and what asymmetric requires. For example, both the first lower curved portion and first upper curved portion may not be considered asymmetric due to its ring shaped profile which would make it radially symmetric. Also, it is unclear if the two claimed portions individually both have asymmetric shapes or if the two claimed portions are being compared against each other.
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.
Claims 1-3, 5, 7, 9, 15-16, 18, and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Adachi et al. (U.S Pre-Grant Publication 20180229345) hereinafter Adachi in view of Lin et al. (U.S Patent 6,183,350) hereinafter Lin.
Regarding claim 1, Adachi discloses:
A retainer ring of a head portion in a chemical mechanical polishing apparatus {Figure 1 (20); [0003]/[0007]}, comprising:
an inner ring configured to surround a circumference edge of a wafer {Figure 2B, (R1) surrounds wafer (W)};
an outer ring surrounding the inner ring {Figure 2B, (R2) surrounds (R1)}; and
a fluid flow path formed between the inner ring and the outer ring {Figures 2B and 4A, fluid flows between (R1) and (R2) as it flows through (T1) and (T2); [0034]-[0036]},
the fluid flow path defined by an outward-facing surface of the inner ring and an inward-facing surface of the outer ring {Figure 4B, the flowpath described above is defined by outward facing surface of the inner ring (Fo_1) and inward facing surface of the outer ring (Fi_2); [0034]-[0036]}.
Adachi does not disclose:
wherein the inward-facing surface of the outer ring includes at least a first lower curved portion.
Lin pertains to chemical mechanical polishing. Lin teaches:
The retaining ring has a bottom surface which defines a fluid passage {Figures 8A-C; (82) has a bottom surface}
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the passages of (T1) and (T2) of Adachi be formed as channels through the retainer rings (with material on either side rather than an open ended groove) as taught by Lin. One of ordinary skill in the art would be motivated to do so as open ended grooves and channels are known substitutes to convey fluid {Lin Column 4 lines 6-10}.
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The combination of Adachi and Lin therefore teaches:
wherein the inward-facing surface of the outer ring includes at least a first lower curved portion {Annotated Figure 1 is rough approximation of an example of combination of Adachi and Lin. (I) is a lower curved portion of the inward-facing surface of the outer ring (R2). This portion is curved due to the circular shape of the ring}.
Regarding claim 2, the combination of Adachi and Lin further teaches:
wherein the outward-facing surface of the inner ring includes at least a first upper curved portion {Annotated Figure 2 is rough approximation of an example of combination of Adachi and Lin. (II) is a first upper curved portion of the outward-facing surface of the inner ring (R1). This portion is curved due to the circular shape of the ring}.
Regarding claim 3, the combination of Adachi and Lin further teaches:
wherein the first lower curved portion has a convex shape of a predetermined radius {Annotated Figure (I) is convex and has a predetermined radius as the curvature is due to the ring shape, the outer surface of the ring has a convex shape}.
Regarding claim 5, the combination of Adachi and Lin further teaches:
wherein the first lower curved portion and the first upper curved portion have an asymmetric shape {See the 35 U.S.C 112(b) rejection above. Annotated Figures 1 and 2, (I) and (II) do not have identical shapes as there is a slight clearance meaning the radii are not equivalent}.
Regarding claim 7, the combination of Adachi and Lin further teaches:
wherein the inward-facing surface of the outer ring defining the fluid flow path includes at least a first lower straight-line portion in a cross-sectional view {Annotated Figure 1 (III) is a lower straight-line portion, this line can be seen in a variety of cross-section views}.
Regarding claim 9, the combination of Adachi and Lin further teaches:
wherein the first lower straight-line portion and the first lower curved portion are continuously disposed {Annotated Figure 1, (I) and (III) are continuously disposed}, and
a thickness of the first lower straight-line portion in a vertical direction is equal to or less than 0.3 times a thickness of the outer ring in the vertical direction {Annotated Figure 1 (III) may be considered any length of the edge. Therefore, by interpretation of what the first lower straight-line portion is, it satisfies the claimed relationship}.
Regarding claim 15, Adachi discloses:
A retainer ring of a head portion in a chemical mechanical polishing apparatus {Figure 1 (20); [0003]/[0007]}, comprising:
an inner ring configured to surround a circumference edge of a wafer {Figure 2B, (R1) surrounds wafer (W)};
an outer ring surrounding the inner ring {Figure 2B, (R2) surrounds (R1)}; and
a fluid flow path formed between the inner ring and the outer ring {Figures 2B and 4A, fluid flows between (R1) and (R2) as it flows through (T1) and (T2); [0034]-[0036]},
the fluid flow path defined by a surface of the inner ring and a surface of the outer ring {Figure 4B, the flowpath described above is defined by outward facing surface of the inner ring (Fo_1) and inward facing surface of the outer ring (Fi_2); [0034]-[0036]}.
Adachi does not disclose:
wherein the surface of the outer ring defining the fluid flow path includes at least a first lower curved portion and at least a first lower straight-line portion.
Lin pertains to chemical mechanical polishing. Lin teaches:
The retaining ring has a bottom surface which defines a fluid passage {Figures 8A-C; (82) has a bottom surface}
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the passages of (T1) and (T2) of Adachi be formed as channels through the retainer rings (with material on either side rather than an open ended groove) as taught by Lin. One of ordinary skill in the art would be motivated to do so as open ended grooves and channels are known substitutes to convey fluid {Lin Column 4 lines 6-10}.
The combination of Adachi and Lin therefore teaches:
wherein the surface of the outer ring defining the fluid flow path includes at least a first lower curved portion and at least a first lower straight-line portion {Annotated Figure 1 is rough approximation of an example of combination of Adachi and Lin. (I) is a lower curved portion of the inward-facing surface of the outer ring (R2). This portion is curved due to the circular shape of the ring. Annotated Figure 1 (III) is a lower straight-line portion}.
Regarding claim 16, the combination of Adachi and Lin further teaches:
wherein the surface of the inner ring defining the fluid flow path includes at least one upper curved portion {Annotated Figure 2 is rough approximation of an example of combination of Adachi and Lin. (II) is a first upper curved portion of the outward-facing surface of the inner ring (R1). This portion is curved due to the circular shape of the ring}.
Regarding claim 18, the combination of Adachi and Lin further teaches:
wherein the first lower straight-line portion and the first lower curved portion are continuously disposed {Annotated Figure 1, (I) and (III) are continuously disposed}, and
a thickness of the first lower straight-line portion in a vertical direction is equal to or less than 0.3 times a thickness of the outer ring in the vertical direction {Annotated Figure 1 (III) may be considered any length of the edge. Therefore, it by interpretation of what the first lower straight-line portion is, can satisfy the claimed relationship}.
Regarding claim 20, the combination of Adachi and Lin further teaches:
A chemical mechanical polishing apparatus {Figure 1; [0003]/[0007]}, comprising:
a polishing platen that is rotatable {Figure 1 (10) is rotatable, (A1); [0018]};
a polishing pad that is disposed on the polishing platen {[0018]};
a head portion that is disposed above the polishing pad and configured to install a wafer {Figure 1 (20) is above (10) which includes the polishing pad; (20) installs the wafer};
a slurry supplying portion configured to supply a slurry to the polishing pad {Figure 1 (30); [0020]}; and
a retainer ring in the head portion {Figure 1 (20)},
the retainer ring configured to surround the wafer {Figure 2 (20) surrounds (W)},
the retainer ring including an inner ring configured to hold a circumference edge of the wafer {Figure 2B, (R1) holds wafer (W)},
an outer ring surrounding the inner ring {Figure 2B, (R2) surrounds (R1)}; and
a fluid flow path disposed between the inner ring and the outer ring {Figures 2B and 4A, fluid flows between (R1) and (R2) as it flows through (T1) and (T2); [0034]-[0036]},
the fluid flow path defined by an outward-facing surface of the inner ring and an inward-facing surface of the outer ring {Figure 4B, the flowpath described above is defined by outward facing surface of the inner ring (Fo_1) and inward facing surface of the outer ring (Fi_2); [0034]-[0036]}.
Adachi does not disclose:
wherein the inward-facing surface of the outer ring includes at least a first lower curved portion.
Lin pertains to chemical mechanical polishing. Lin teaches:
The retaining ring has a bottom surface which defines a fluid passage {Figures 8A-C; (82) has a bottom surface}
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the passages of (T1) and (T2) of Adachi be formed as channels through the retainer rings (with material on either side rather than an open ended groove) as taught by Lin. One of ordinary skill in the art would be motivated to do so as open ended grooves and channels are known substitutes to convey fluid {Lin Column 4 lines 6-10}.
The combination of Adachi and Lin therefore teaches:
wherein the inward-facing surface of the outer ring includes at least a first lower curved portion {Annotated Figure 1 is rough approximation of an example of combination of Adachi and Lin. (I) is a lower curved portion of the inward-facing surface of the outer ring (R2). This portion is curved due to the circular shape of the ring}.
Claim 8 is objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
The following is a statement of reasons for the indication of allowable subject matter:
Claim 8 has the following limitations. Wherein an angle (θ1) formed between the first lower straight-line portion and a bottom surface of the outer ring and an angle (θ2) formed between a bottom end portion of the first lower curved portion and the bottom surface of the outer ring satisfies: 0 < θ2 < 90° – θ1. The combination of Adachi and Lin has angles of 90 degrees for θ1 and 0 or 90 degrees for θ2. There is insufficient evidence to change the angle θ1 by having a conical surface instead of a cylindrical ring.
Other prior art does not address the limitations of claim 8 which includes the limitations of claims 1 and 7 as well.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Pham et al. (U.S Patent 6,447,380) hereinafter Pham teaches a curved portion that conveys fluid for a polishing apparatus.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to MICHAEL K. REITZ whose telephone number is (571)272-1387. The examiner can normally be reached M-F 7:30 a.m. -5:30 p.m.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Courtney Heinle can be reached at 5712703508. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/MICHAEL K. REITZ/Examiner, Art Unit 3745
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