DETAILED ACTION
Notice of Pre-AIA or AIA Status
1. The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Response to Amendments
2. Applicant’s response filed 24 June 2026 is acknowledged. The applicant has amended Claims 1, 4, 5, 7, and 9. No new matter was added in the amendments. Claims 1-11 are currently pending and under examination.
Claim Rejections - 35 USC § 103
3. 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.
4. 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.
5. Claims 1, 2, 3, 4, 5, 6, 7, 8, 9, and 10 are rejected under 35 U.S.C. 103 as being unpatentable over Katsuoka et al. in view of Hanson et al.
Katsuoka et al. (US Pub. No. 2005/0072358 A1 – previously presented) is directed towards a substrate processing apparatus and a substrate processing method (title). Hanson et al. (US Pub. No. 2002/0009357 A1) is directed toward a semiconductor processing apparatus having a lift and tilt mechanism (title).
Regarding Claim 1, Katsuoka et al. discloses a plating apparatus (i.e.: “a substrate processing apparatus” in the title and abstract) that is generally described in ¶282 to ¶358. The plating unit 360 is used to carry out the plating of the substrate W (¶340). The plating unit 360 of Katsuoka et al. comprises: a plating tank (i.e.: processing tank 710) in which a plating solution (i.e.: “processing liquid Q”) is stored and is used for both electroless and electroplating (¶311). When the plating unit 360 is employed for electroplating, as indicated in ¶316, an anode is present and the substrate W is the cathode. The plating unit 360 of Katsuoka et al., when used in an electroplating method, would require that the substrate holder is disposed above the anode given the position of the substrate/substrate holder as depicted in FIG. 34A and FIG. 34B (i.e.: in the horizontal direction). Katsuoka et al. further describes the substrate holder (i.e.: “substrate holding device 780”) in ¶308-311 and depicts a head module that contacts and holds the substrate (i.e.: the attracting head 789 attracts and holds the uncoated substrate W in ¶312). Katsuoka et al. further described a tilting module (element 811) configured to tilt the head module as described on ¶312 (i.e.: the whole substrate holding device 780 is swung by the tilting mechanism 811). Katsuoka et al. also discloses an elevating/lowering module (i.e.: “lifting mechanism 831”) configured to elevate and lower the head module. As per FIG. 22A and FIG. 22B, Katsuoka et al. discloses the tilting module (i.e.: tilting mechanism 811) including a bracket 813 (i.e.: a second member of Claim 1) fixed to the head, a tilting shaft 815 (i.e.: the rotation axis of Claim 1) which is supported by bearing 814 on the structural mount/pivot (i.e.: the first member of Claim 1) and a head tilting cylinder 817 (i.e.: the actuator of Claim 1) which swings the assembly (¶309). As explained in ¶309 and depicted in FIG. 22A/B, the tilting shaft 815 is structurally fixed to the bracket 813 on the side/top portion of the device which inherently creates an off-center level arm to swing/tilt the device (i.e.: “the rotation axis is offset from a center of the substrate held by the head module” as per Claim 1). Katsuoka et al. lastly describes in ¶310 that the tilting mechanism 811 is fixed to the upper end of the pivot shaft 825 that sits on stay 837 which is mounted to rod 835 of the lifting mechanism 831 (i.e.: “the elevating/lowering module is configured to elevate and lower the substrate holder by elevating and lowering the first member of the tilting module”). FIG. 20A, FIG. 20B, and FIG. 21 are also relevant to the previously discussed structural elements of Katsuoka and Claim 1.
Pertaining to the amendment to Claim 1 (i.e.: “the first member comprises a vertically extending portion that extends vertically, and the elevating/lowering module is connected to one lateral side of the vertically extending portion, and the rotation axis extends perpendicularly to a direction in which the first member is connected to the elevating/lowering module,”), Katsuoka et al. does not expressly describe the amendment, but rather depicts a stacked, central vertical stack to control the lifting and pivoting actions. Hanson et al. is directed toward a plating apparatus as indicated in ¶0036 and depicted in FIG. 1 meaning it is analogous art to Katsuoka et al. FIG. 34, FIG. 35, FIG. 36, FIG. 37, and FIG. 38 and ¶167-181 of Hanson et al. are relevant for the amendments to Claim 1.
According to Hanson et al, the linear way 6004 forms the vertical frame of amended Claim 1 (¶171). The movable frame 6210 of Hanson et al. sits as a sliding carriage along one lateral side of the vertical track guide rails (¶171-¶177). The preceding description meets the limitation “the first member comprises a vertically extending portion that extends vertically, and the elevating/lowering module is connected to one lateral side of the vertically extending portion.”
Hanson et al. further describes that reorienting the wafer-nest from a horizontal to a vertical profile (¶169) while translating linearly along a side-mounted vertical path (¶175). Hanson et al. also discloses the rotational hinge axis must sit orthogonal to the vertical track plane (¶180). The preceding description meets the limitation “the rotation axis extends perpendicularly to a direction in which the first member is connected to the elevating/lowering module.”
It would have been obvious to one of ordinary skill in the art prior to the effective filing date of the claimed invention to replace the stacked, vertical rod system of Katsuoka et al. with the side-mounted vertical plate connection and perpendicular pivot axis layout as taught by Hanson et al. with the reasonable expectation of reducing the volume and footprint of the apparatus as indicated by Katsuoka et al. (¶346 and ¶348). The relocation of the lifting and tilting mechanism as taught in Hanson et al. optimizes the vertical head space and positions the moving mechanical tracks away from the chemical plating bath (preventing damage to the plating apparatus).
Regarding Claim 2, Katsuoka et al. in view of Hanson et al. the apparatus according to Claim 1, further comprising: a position adjustment module configured to move the head in the horizontal direction, wherein the position adjustment module moves the head in the horizontal direction to compensate for the horizontal movement of the center of the substrate held by the head module when the tilting module tilts the head module as supported in ¶308-313 by the description of the pivoting mechanism 821 with a servomotor 823 and pivot shaft 825 that swing horizontally the entire substrate holding stack (see FIG.21, FIG. 22A, and FIG. 22B of Katsuoka et al.).
Regarding Claim 3, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 2, wherein the position adjustment is configured to move the head module in the horizontal direction and a vertical direction and moves the head module in the horizontal direction and the vertical direction to compensate for the horizontal and vertical movement of the center of the substrate held by the head module when the tilting module tilts the head module as supported in ¶309-313 by the description of the lifting mechanism 831, and the tilt angle of the substrate (see FIG.21, FIG. 22A, and FIG. 22B of Katsuoka et al.).
Regarding amended Claim 4, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 1 wherein the actuator comprises a first end connected to the first member and a second end connected to the second member, and expands and contracts to rotate the second member relative to the first member as Katsuoka et al. expressly discloses the use of head tilting cylinder 817 and a linearly translatable drive shaft 818 swings the substrate holding device 780 through an arc (¶309).
Regarding amended Claim 5, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 1 as mapped to the disclosure of Hanson et al. As per the limitation: “the first member comprises a horizontally extending portion that extends from the vertically extending portion,” Hanson et al. describes in ¶178 and ¶180 a base with a fixed geometry containing a ramp 6204 that coordinates with the moving carriage frame to define a horizontal structural extension. Moreover, Hanson et al. teaches the limitation, “in a direction opposite to a side to which the elevating/lowering module is connected,” as per ¶171 in the description of moveable frame 6210 that travels up a side rail as the substrate holder elements project outward away from the rail axis over the electroplating bowl assembly 303. Next, Hanson et al. details in ¶171 and ¶185 that the nest assembly 6002 as a flat platform (i.e.: tabular portion of the Claim 5) that moves into a secure, flat horizontal position (i.e.: “the second member comprises a tabular portion that extends horizontally). The tabular portion is additionally characterized as being rotatably connected to the horizontally extending portion of the first member as supported by Hanson et al. (¶178 and ¶180). Hanson et al. discloses the flat platform (nest 6002) is pinned to swing dynamically around the torsion spring assembly 6206 to transition between flat horizontal profiles and tilted vertical profiles. Hanson et al. meets the limitation that “and a first end of the actuator is connected to the vertically extending portion of the first member” by specifying that the ramp 6204 (which drives the mechanical motion along the torsion spring) is securely mounted in a fixed position on top of the fixed frame 6208 (¶172). Lastly, Hanson et al. discloses that “a second end of the actuator is connected to the second member on the one lateral side” in ¶178 and ¶180 by describing the rigid lever 6200 containing a rolling ball bearing 6202 which is structurally connected to the nest 6002 along its profile to track the frame guide.
Regarding Claim 6, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 1, wherein the rotation axis intersects with an axis extending perpendicularly through a center of a surface to be plated of the substrate as explained in ¶310 and illustrated in FIG. 20A and FIG. 21 of Katsuoka et al.
Regarding amended Claim 7, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 1, wherein the tilting module includes a biasing member that is disposed between a portion of the second member to which the actuator is connected and a portion of the second member to which the first member is connected, and the biasing member biases the second member in a direction in which a surface to be plated of the substrate is horizontal as per the description in ¶171-¶180 of Hanson et al. In particular, Hanson et al. explains that when the moveable frame 6210 translated upward, the integrated torsion spring assembly 6206 pushes against the lever 6200 and the nest 6002 automatically until experiences a rigid hard stop causing it to lock into a flat, horizontal arrangement (¶172, 178, and 180).
Regarding Claim 8, Katsuoka et al. in view of Katsuoka et al. discloses the plating apparatus according to Claim 1, further comprising: a rotation module configured to rotate the substrate about a rotation axis extending perpendicularly through a center of a surface to be plated as explained in ¶303 and ¶312 (FIG. 20A/B of Katsuoka et al.).
Regarding amended Claim 9, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 8, wherein the rotation module is provided above the center of a surface to be plated of the substrate in a state where the surface to be plated of the substrate is horizontal, and is supported on the second member as evidenced by Katsuoka et al. In particular, Katsuoka et al. teaches that the substrate rotating motor 801 is nested inside the holding device 780 and spins the substate W on its dead center (¶302). Spinning a thin circular wafer exactly on its geometric center is a normal requirement/standard practice for uniform fluid flow during electroplating. Furthermore, rotation about the geometric center reduces wobbling and shaking during the electroplating process.
Regarding Claim 10, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus of Claim 1 wherein the tilting module tilts the head module at a predetermined tilt angle, but the reference does not explicitly disclose the range of Claim 10 (i.e.: a tilt angle between 1 and 5 degrees). Katsuoka et al. discusses in ¶313 the importance of tilting the substrate as a means to reduce the formation of air bubbles that prevent the chemical or electrochemical deposition of the metallic species onto the substrate during the plating process. Therefore, the tilt angle is a results-effective variable. One of ordinary skill in the art would be motivated to determine the optimum or workable ranges of the tilt angle. This type of optimization or experimentation might be characterized as routine experimentation (See MPEP 2144.0.II.B.). Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have discovered the optimum or workable ranges of the tilt angle, including values within the claimed range, through routine experimentation. One would have been motivated to do so in order to reduce the persistence of air bubbles or gaseous bubbles that adhere to the surface of the substrate during deposition since said bubbles reduce the deposition rate, quality, and uniformity of the metallic film/layer.
6. Claims 11 is rejected under 35 U.S.C. 103 as being unpatentable over Katsuoka et al. and Hanson et al. as applied to Claim 1 above, and further in view of Takahashi et al. and Masato.
Katsuoka et al. (US Pub. No. 2005/0072358 A1 – previously presented) is directed towards a substrate processing apparatus and a substrate processing method (title). Hanson et al. (US Pub. No. 2002/0009357 A1) is directed toward a semiconductor processing apparatus having a lift and tilt mechanism (title). Takahashi et al. (US Pub. No. 2021/0010147 A1 – published on date 14 January 2021 in US – previously presented) is directed toward a plating apparatus (title). Masato (JPH09279392A – EPO translation) is directed toward a continuous electroplating device for metallic strip (title).
Regarding Claim 11, Katsuoka et al. in view of Hanson et al. discloses the plating apparatus according to Claim 1, but does not teach a resistor disposed above the anode and below the substrate in an interior of the plating tank. The use of resistors/current modifying elements within a plating tank are well known in the art. Takahashi et al. and Masato are both directed toward plating apparatuses as indicated by the titles. Therefore, they are analogous art to Katsuoka et. al. and Hanson et al.
The plating apparatus of Takahashi et al. describes a regulation plate 61 whose purpose is to modulate the thickness of the deposited plating material (¶37) and functions as an electric field regulation mask. The aforementioned purpose and placement in the plating apparatus of the regulation plate 61 as described in ¶26 and depicted in FIG. 2 in Takahashi et al. such that it is arranged between the anode (61 of Takahashi et al.) and the substrate (W of Takahashi et al.) inside the plating tank (plating bath 38 of Takahashi et al.). However, Takahashi et al. is generally silent on the use of resistive elements on the regulation plate or the composition of the regulation plate.
Masato is directed toward an electroplating device (title). Masato in ¶13 discloses the continuous electroplating apparatus for metal strip (i.e.: cathode) that has an auxiliary anode covered with an insulator. The continuous electroplating device of Masato is designed to improve the uniformity of deposition (¶30). Masato further explains that coating defects on the plating strip (or wafer) are larger, that is more pronounced, near the edge portion of the plating strip (or wafer) and the quality of the coating is capable of being controlled by regulating the current density by the use of insulators (i.e.: lower conduction rates) specifically near the edge (¶31).
It would be obvious to one of ordinary skill in the art prior to the effective filing date of the claimed to modify the plating tank/apparatus of Katsuoka et al. and Hanson et al. with regulating plate covered with insulating elements taught by the combination of Takahashi et al. and Masato with the reasonable expectation of forming a more uniform metallic coatings across the diameter of the deposition substrate by ensuring a uniform electric field/current density.
Response to Arguments
7. Applicant’s arguments, see pg. 5-6, filed 24 June 2026, with respect to the rejection(s) of Claims 1-9 under 35 USC 102 and Claims 10-11 under 35 USC 103 have been fully considered and are persuasive. Therefore, the rejection has been withdrawn. However, upon further consideration, a new ground(s) of rejection is made in view of Katsuoka et al. and Hanson et al. for Claims 1-10 and in view of Katsuoka et al., Hanson et al., Takahashi et al. and Masato for Claim 11. The updated rejections are explained in detail above.
Conclusion
8. The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Ranjan et al. (US Pub. No. 2015/0218727 A1) is a wetting wave front control for reduced air entrapment during wafer entry into an electroplating bath (title). McHugh et al. (US Pub. No. 2016/0237584 A1) is directed toward electroplating with reduced air bubble defects (title). Dordi et al. (US Patent No. 6,582,578 B1) is directed toward a method and associated apparatus for tilting s substrate upon entry for metal deposition (title).
9. THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
10. Any inquiry concerning this communication or earlier communications from the examiner should be directed to KEVIN SYLVESTER whose telephone number is (703)756-5536. The examiner can normally be reached Mon - Fri 8:15 AM to 4:30 PM EST.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, James Lin can be reached at (571)272-8902. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/KEVIN SYLVESTER/Examiner, Art Unit 1794
/CIEL P CONTRERAS/Primary Examiner, Art Unit 1794
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