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 .
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claims 1, 5-8, 10-12 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Mochimaru (JP 2021062451).
Regarding claim 1, Mochimaru discloses a polishing head that is fixed to a head shaft (polishing head 1 is fixed to a rotation shaft 27 [0031] Fig 1 shown below) that is capable of vertically moving and rotating to be vertically movable and rotatable, and polishes a workpiece by holding the workpiece and rotating and pressing the workpiece against a polishing pad, the polishing head comprising:
a backing material including a suction surface facing an upper surface of the workpiece and a pressing surface opposite to the suction surface (backing material defined as rubber chuck 10 which includes a suction surface defined as the lower side of 10 that holds the wafer [0046] and the side opposite the suction surface is defined as the pressing surface [0049] Figs 1-2 shown below);
a workpiece pressurization plate that is provided at a center portion of the pressing surface to be contactable with and separable from the pressing surface, and is vertically movable (defined as chuck 11 and chuck holding member 12 which is provided at a center portion of the pressing surface and is contactable and separable from the pressing surface [0036][0039] Fig 2);
a first fluid chamber provided between the workpiece pressurization plate and the backing material (defined as the space between 10 and 11 as described in [0036]); and
a first pressure adjustment mechanism that adjusts a pressure in the first fluid chamber (defined as first pressure adjusting mechanism 23 [0036] Fig 2), wherein
a control unit (defined as the air valve and vacuum pump assembly described in [0036]) performs control to switch between
front surface reference polishing in which control is performed to pressurize inside of the first fluid chamber to press the workpiece from above in a state where a lower surface of the workpiece pressurization plate and the pressing surface of the backing material are separated from each other and in a state where the upper surface of the workpiece and the suction surface of the backing material are in contact with each other ([0044]-[0047] explain that the device is capable of being configured to perform front surface reference polishing as the space between 10 and 11 is pressurized by mechanism 23 to press the workpiece from above while the lower surface of the pressurization plate 11 and the pressing surface of the backing material 10 are separated by each other via the supply of pressurized air while the workpiece is held by the suction surface of 10), and
back surface reference polishing in which control is performed to vacuumize or open the inside of the first fluid chamber to atmosphere and to apply downward force to the workpiece pressurization plate to press the workpiece from above in a state where the lower surface of the workpiece pressurization plate and the pressing surface of the backing material are in contact with each other and in a state where the upper surface of the workpiece and the suction surface of the backing material are in contact with each other ([0048]-[0051] explain that the device is capable of being configured to perform back surface reference polishing as the space between 10 and 11 is opened to atmosphere by mechanism 23 to press the workpiece from above while the lower surface of the pressurization plate 11 and the pressing surface of the backing material 10 are in contact with one another while the workpiece is held by the suction surface of 10).
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The recitation “that is capable of vertically moving and rotating to be vertically movable and rotatable, and polishes a workpiece by holding the workpiece and rotating and pressing the workpiece against a polishing pad” has not been given patentable weight because it has been held that a preamble is denied the effect of a limitation where the claim is drawn to a structure and the portion of the claim following the preamble is a self-contained description of the structure not depending for completeness upon the introductory clause. 88 USPQ 478 Kropa v. Robie, (CCPA 1951)
Regarding claim 5, Mochimaru discloses the limitations of claim 1, as described above, and further discloses the workpiece pressurization plate is formed by two layers including an upper plate and a lower plate (the plate is formed by two layers including upper plate 12 and lower plate 11 [0035]),
the polishing head further comprises:
a second fluid chamber that is provided between the upper plate and the lower plate (second pressure adjusting mechanism 24 is provided to supply air above the chuck 11 inside of 12 [0037] Fig 2); and
a second pressure adjustment mechanism that adjusts a pressure in the second fluid chamber (second pressure adjusting mechanism 24 adjusts the pressure of air above the chuck 11 [0037] Fig 2), and
the lower plate includes a flow channel communicating the first fluid chamber and the second fluid chamber (the lower plate 11 includes a flow channel defined as the air pipe of mechanism 23 which communicates the first fluid chamber and second fluid chamber by passing through each as illustrated above in Fig 2).
Regarding claim 6, Mochimaru discloses the limitations of claim 5, as described above, and further discloses the flow channel is formed with the lower plate formed by a porous material (the flow channel as described above is formed through the surrounding lower plate 11 which is formed by a porous material [0035]).
Regarding claim 7, Mochimaru discloses the limitations of claim 1, as described above, and further discloses the workpiece pressurization plate includes a flow channel communicating the first fluid chamber and a first flow path provided with the first pressure adjustment mechanism (first pressure adjusting mechanism 23 supplies air in the vicinity of rubber chuck 10, for example, between chuck 10 and rigid body chuck 11, which has been defined as the first fluid chamber as discussed above, and the mechanism 23 has an air pipe which defines a flow channel, defined as the region in between 10 and 11 that immediately surrounds the pipe of 23, communicating with the first fluid chamber and that flow channel also defines a flow path to the mechanism 23 [0036] Fig 2).
Regarding claim 8, Mochimaru discloses the limitations of claim 7, as described above, and further discloses the flow channel is formed as a groove in the lower surface of the workpiece pressurization plate (the space between 10 and 11, as described above, defines a gap that can be pressurized or filled by air, the gap defining a hollowed out space, or groove, around the pipe of 23 [0036]).
Regarding claim 10, Mochimaru discloses the limitations of claim 1, as described above, and further discloses a head base portion fixed to the head shaft (head base portion defined as chuck base 26 which is fixed to the head shaft 27 [0041]), wherein
the workpiece pressurization plate is fixed to the head base portion and configured to be vertically moved by driving of the head shaft (pressure plate 12 is fixed to the head base 26 via drive ring 28 as seen in Fig 2 above [0040], and because the chuck base 26 comes into contact with the upper surface of 12 and presses 12 downwards so that the lower surface of 10 comes into contact with the workpiece, it is clear that 11 and 12 adjust vertically as 26 adjusts vertically [0039] Fig 2), and
the workpiece pressurization plate is suspended from or in slidably close contact with the head base portion, and configured to vertically move with a pressure in a third fluid chamber provided between the head base portion and the workpiece pressurization plate adjusted by a third pressure adjustment mechanism (the plate 12 is suspended from the head base 26 via drive ring 28 and configured to vertically move with a pressure in a third fluid chamber defined as chamber 22, which is provided between the head base 26 and the plate 12 as seen in Fig 2 above, the pressure of which is adjusted by a third pressure adjustment mechanism defined as third pressure adjusting mechanism 25; the vertical movement of 12 is explained in the following paragraphs: [0048] [0049], as the pressure above plate 11, and 12, is adjusted to be positive the plate 11 comes into contact with the upper surface of 10 therefore moving vertically), and
the control unit performs control, at the time of the back surface reference polishing, to pressurize inside of the third fluid chamber, to apply downward force to the workpiece pressurization plate (the device is capable of being configured to, at the time of back surface reference polishing, pressurizing the inside of the third fluid chamber 22 to apply downward force on the plate 11 as described in [0048]-[0051]).
Regarding the limitation “the control unit performs, at a time of the back surface reference polishing, control to apply driving force for lowering the workpiece pressurization plate via the head shaft, to apply downward force to the workpiece pressurization plate, or the workpiece pressurization plate is suspended from or in slidably close contact with the head base portion, and configured to vertically move with a pressure in a third fluid chamber provided between the head base portion and the workpiece pressurization plate adjusted by a third pressure adjustment mechanism", the limitation is phrased in the alternative. At least one of the limitations phrased in the alternative in claim 10 is rejected above. Therefore, no further rejections are required at this time.
Regarding claim 11, Mochimaru discloses the limitations of claim 1, as described above, and further discloses a polishing apparatus comprising the polishing head according to claim 1 ([0025] explains the polishing head 1 is provided in a wafer polishing apparatus, Fig 1).
Regarding claim 12, Mochimaru discloses a polishing method of polishing a workpiece held and pressed against a polishing pad by a polishing head (workpiece is held by the polishing head 1 and pressed against a polishing pad 31 [0025][0027] Fig 1) including:
a backing material that has a suction surface facing an upper surface of the workpiece and a pressing surface opposite to the suction surface (backing material defined as rubber chuck 10 which includes a suction surface defined as the lower side of 10 that holds the wafer [0046] and the side opposite the suction surface is defined as the pressing surface [0049] Figs 1-2 shown above); and
a workpiece pressurization plate that is provided at a center portion of the pressing surface to be contactable with and separable from the pressing surface and is vertically movable (defined as chuck 11 and chuck holding member 12 which is provided at a center portion of the pressing surface and is contactable and separable from the pressing surface [0036][0039] Fig 2), the method comprising switching between
front surface reference polishing in which the workpiece pressurization plate is raised to form a closed space between the workpiece pressurization plate and the backing material, and the closed space is pressurized to press the workpiece from above in a state where a lower surface of the workpiece pressurization plate and the pressing surface of the backing material are separated from each other and in a state where the upper surface of the workpiece and the suction surface of the backing material are in contact with each other ([0044]-[0047] describe a method of performing front surface reference polishing as the closed space between 10 and 11 is pressurized by mechanism 23 to press the workpiece from above while the lower surface of the pressurization plate 11 and the pressing surface of the backing material 10 are separated by each other via the supply of pressurized air while the workpiece is held by the suction surface of 10), and
back surface reference polishing in which the closed space is vacuumized or opened to atmosphere and downward force is applied to the workpiece pressurization plate, to press the workpiece from above in a state where the lower surface of the workpiece pressurization plate and the pressing surface of the backing material are in contact with each other and in a state where the upper surface of the workpiece and the suction surface of the backing material are in contact with each other ([0048]-[0051] describe a method of performing back surface reference polishing as the closed space between 10 and 11 is opened to atmosphere by mechanism 23 to press the workpiece from above while the lower surface of the pressurization plate 11 and the pressing surface of the backing material 10 are in contact with one another while the workpiece is held by the suction surface of 10).
Claim Rejections - 35 USC § 103
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
Claims 2-4 are rejected under 35 U.S.C. 103 as being unpatentable over Mochimaru (JP 2021062451) in view of Zuniga (US 11931857).
Regarding claim 2, Mochimaru discloses the limitations of claim 1, as described above. However, Mochimaru fails to disclose a retainer provided to an outer circumference portion of the suction surface; and
a retainer pressurization unit that is provided to an outer circumference portion of the pressing surface and is vertically movable, wherein
the control unit applies forces in relatively opposite vertical directions to the retainer pressurization unit and the workpiece pressurization plate,
to perform the front surface reference polishing in a state where a lower end surface of the workpiece pressurization plate is located relatively higher than a lower end surface of the retainer pressurization unit, and
to perform the back surface reference polishing in a state where the lower end surface of the workpiece pressurization plate and the lower end surface of the retainer pressurization unit are flush in a horizontal direction, or in a state where the lower end surface of the workpiece pressurization plate is located relatively lower than the lower end surface of the retainer pressurization unit.
Zuniga is also concerned with substrate polishing heads and teaches a retainer (defined as retaining ring 142, col 3 lines 59-67 Fig 2 shown below); and a retainer pressurization unit that is vertically movable (defined as the combination of controllable pressure source 220, valve 224, channel 222, pressurizable chamber 215, housing 102 and bellows 206 which permit control of the vertical position of ring 142, col 3-4 lines 59-3 Fig 2).
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It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have added the retainer and retainer pressurization unit of Zuniga to the polishing head of Mochimaru in order to provide the device of Mochimaru with a redundant means of retaining and protecting the substrate (Zuniga: col 3 lines 59-60). The device of modified Mochimaru would be provided with a retainer at an outer circumference portion of the suction surface and a retainer pressurization unit at an outer circumference portion of the pressing surface; the control unit, defined as the valves to the pressurization unit and plate, would be capable of applying forces in relatively opposite vertical directions to the retainer pressurization unit and workpiece pressurization plate, as defined above; finally the device would be capable of performing the claimed front and back surface reference polishing with respect to the vertical position of the retainer pressurization unit because of the vertical adjustment provided by bellows 206, as described above.
Regarding claim 3, Mochimaru, as modified, discloses the limitations of claim 2, as described above, and further discloses a pressing part that brings the workpiece pressurization plate and the retainer pressurization unit into contact with each other for relative fixing (pressing part defined as the section of housing 102 that abuts the outer side of retainer 142 as shown in Fig 2 above, through this abutting the retainer pressurization unit, as defined above, is brought into contact with the pressurization plate for relative fixing), and
functions, when the workpiece is polished, as a stopper that restricts movement of the workpiece pressurization plate and the retainer pressurization unit in a predetermined direction to achieve relative positional relationship (due to how pressing part 102 is structured it is capable of functioning as a stopper that would restrict movement of both the pressurization plate and retainer pressurization unit in a predetermined direction, in this case a direction towards the outer circumference of the polishing head).
Regarding claim 4, Mochimaru, as modified, discloses the limitations of claim 3, as described above, and further discloses a gap is formed between the retainer and the polishing pad, when the workpiece is pressed against the polishing pad in a state where the workpiece pressurization plate and the retainer pressurization unit are in contact with each other with the pressing part provided in between at a time of the back surface reference polishing (the retainer’s vertical adjustment via bellows 206 would make the retainer capable of forming a gap between itself and the polishing pad during the back surface reference polishing as described).
Regarding claim 9, Mochimaru discloses the limitations of claim 1, as described above. However, Mochimaru fails to disclose the workpiece pressurization plate includes a flow channel communicating the first fluid chamber and a fifth flow path provided with a fifth pressure adjustment mechanism, and
the fifth pressure adjustment mechanism is configured to be capable of vacuumizing at least the flow channel through the fifth flow path.
Zuniga teaches a flow channel communicating a fluid chamber and a flow path provided with a pressure adjustment mechanism and the pressure adjustment mechanism is configured to be capable of vacuumizing at least the flow channel through the flow path (flow channel defined as the immediate area surrounding the opening of flow path 232 into fluid chamber 212, the flow path 232 provided with a pressure adjustment mechanism 230 which is configured to be capable of vacuumizing at least the flow channel through the flow path, col 6 lines 25-38 Fig 2 shown above).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have added the flow channel, flow path and pressure adjustment mechanism of Zuniga as a flow channel, fifth flow path and fifth pressure adjustment mechanism to Mochimaru a redundant alternative means of vacuumizing the first fluid chamber of Mochimaru as described above.
Claim 13 is rejected under 35 U.S.C. 103 as being unpatentable over Mochimaru (JP 2021062451) in view of Zuniga (US 11931857) and Nishitani (US 20200258735).
Regarding claim 13, Mochimaru discloses the limitations of claim 12, as described above. However Mochimaru fails to disclose by using the polishing head further including: a retainer provided to an outer circumference portion of the suction surface; and a retainer pressurization unit that is provided to an outer circumference portion of the pressing surface and is vertically movable, in the front surface reference polishing, the retainer pressurization unit is lowered to press the polishing pad in a periphery of the workpiece by the retainer, and in the back surface reference polishing, a gap is formed between a lower end surface of the retainer and the polishing pad.
Zuniga is also concerned with substrate polishing heads and teaches by using the polishing head further including:
a retainer (defined as retaining ring 142, col 3 lines 59-67 Fig 2 shown above); and
a retainer pressurization unit that is vertically movable (defined as the combination of controllable pressure source 220, valve 224, channel 222, pressurizable chamber 215, housing 102 and bellows 206 which permit control of the vertical position of ring 142, col 3-4 lines 59-3 Fig 2).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have added the retainer and retainer pressurization unit of Zuniga to the polishing head of Mochimaru in order to provide the device of Mochimaru with a redundant means of retaining and protecting the substrate (Zuniga: col 3 lines 59-60). The method of modified Mochimaru would be provided with a retainer at an outer circumference portion of the suction surface and a retainer pressurization unit at an outer circumference portion of the pressing surface.
However, Zuniga modified fails to teach in the front surface reference polishing, the retainer pressurization unit is lowered to press the polishing pad in a periphery of the workpiece by the retainer, and in the back surface reference polishing, a gap is formed between a lower end surface of the retainer and the polishing pad.
Nishitani is also concerned with polishing units with pressurization units and teaches the retainer pressurization unit presses the polishing pad in a periphery of the workpiece by the retainer (retainer pressurization unit, described in [0033] supplies retainer ring 34 with air pressure to press into polishing cloth 51 which is defined as the polishing pad in a periphery of the workpiece as shown in Fig 2A shown below [0036]), and
a gap is formed between a lower end surface of the retainer and the polishing pad (as shown in Fig 2B below and discussed in [0036] the lower end of the retainer ring 43 does not contact the polishing pad 51 and so a gap is formed below a lower end surface of the retainer 43 and the pad 51).
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It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have added the steps of providing a gap between the polishing pad and retaining ring and having contact between the polishing pad and retaining ring as taught in Nishitani to the modified polishing method of Mochimaru, as described above, in order to provide the method with a means of selectively determining whether the LPD quality of the wafer would be degraded or enhanced (As discussed in Nishitani [0036]). The modified method of Mochimaru would now be provided with a means of vertically adjusting the retaining ring relative to the polishing pad and steps of providing a gap between the polishing pad and retaining ring, and providing contact between the polishing pad and retaining ring.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to JOHN M LARSON whose telephone number is (571)272-2765. The examiner can normally be reached Monday-Friday 8:00am-5:00pm.
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/J.M.L./ Examiner, Art Unit 3723
/BRIAN D KELLER/ Supervisory Patent Examiner, Art Unit 3723
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