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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 25 February 2026 has been entered.
Claim Interpretation
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
This application includes one or more claim limitations that do not use the word “means,” but are nonetheless being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, because the claim limitation(s) uses a generic placeholder that is coupled with functional language without reciting sufficient structure to perform the recited function and the generic placeholder is not preceded by a structural modifier. Such claim limitation(s) is/are: substrate placing portion (Claims 1-8, 10-13), support portions (Claims 1-3, 8-15), and storage part (Claim 11).
Claim Rejections - 35 USC § 102
Claim(s) 1-4, 7, 9, and 13 is/are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Son (US 2024/0030057; 102(a)(2) Date: Jul. 22, 2022; The effectively filed date of a prior art reference under 35 U.S.C. 102(a)(2) can be the foreign priority date.).
Claim 1: a substrate placing portion (910) having a flat shape (at least a portion of 910/910a), the substrate placing portion including an upper surface on which a substrate is placed (S; FIG. 12A/12B; via at least 952U);
one or more support portions (930) configured to support the substrate, directly connected to the substrate placing portion (para. [0089], holes of 910 directly contact 930), and disposed at portions of the substrate placing portion that are brought into contact with the substrate,
said one or more support portions being at least partially deformed by the contact with the substrate such that the one or more support portions move relative to the substrate placing portion (the form of at least one 930 changes in FIG. 12A/12B);
a detector configured to detect deformation of the support portion (para. [0096]-[0097]; 929, FIG. 7) including inclination of the entire support portion ("inclination" is defined in the Oxford English Dictionary as, "II.7. The process of descending or sinking into a lower position" which meets the claims; 930 is involved in a “process of descending or sinking into a lower position”);
a controller (949) configured to specify a degree of the deformation of the substrate based on the detection result of the detector (para. [0098]-[0119]; FIG. 12A/12B; “the substrate S is deformed”; para. [0096]-[0097]);
Claim 2: wherein the one or more support portions are disposed at multiple locations of the substrate placing portion in a circumferential direction of the substrate (FIG. 8),
the detector detects deformation of at least one of the one or more support portions, and
the controller specifies a degree of the deformation of the substrate based on the detection result of the detector (para. [0098]-[0119]; FIG. 12A/12B; “the substrate S is deformed”; para. [0096]-[0097]);
Claim 3: wherein the controller specifies a degree of warpage and a direction of warpage of the substrate based on the detection result of the detector (para. [0098]-[0119]; FIG. 12A/12B);
Claim 4: wherein each of the one or more support portions includes:
a pad (930) that is brought into contact with the substrate and is elastically deformed by the contact with the substrate;
and a deformation gauge disposed at the pad (924/929/etc.),
wherein the detector detects deformation of the deformation gauge (para. [0098]-[0119]; FIG. 12A/12B);
Claim 7: wherein each of the one or more support portions has suction port formed in a surface facing the substrate and attracts the substrate (para. [0074], “a vacuum adsorption method” implies suction port/etc.);
Claim 9: wherein the substrate placing portion is an end effector disposed at a transfer mechanism configured to transfer the substrate (FIG. 4);
Claim 13: detecting deformation (para. [0096]-[0097]; 929, FIG. 7) of one or more support portions (930) configured to support a substrate using a detector (a detector configured to detect deformation of the support portion), the deformation of the one or more support portions including inclination of the entire one or more support portions ("inclination" is defined in the Oxford English Dictionary as, "II.7. The process of descending or sinking into a lower position" which meets the claims; 930 is involved in a “process of descending or sinking into a lower position”), the one or more support portions being disposed at a portion of a substrate placing portion having a flat shape (at least a portion of 910/910a), the one or more support portions directly connected to the substrate placing portion (para. [0089], holes of 910 directly contact 930), the substrate placing portion including an upper surface on which a substrate (S; FIG. 12A/12B) is placed (via at least 952U) that is brought into contact with a substrate (S), the one or more support portions being at least partially deformed by the contact with the substrate such that the one or more support portions move relative to the substrate placing portion (the form of at least one 930 changes in FIG. 12A/12B); and
specifying a degree of the deformation of the substrate based on the detection result of the detector (para. [0098]-[0119]; FIG. 12A/12B; “the substrate S is deformed”; para. [0096]-[0097]).
Claim(s) 14-15 is/are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Hayashi et al. (US 2012/0235335) (“Hayashi”).
Claim 14: an end effector having a flat shape (FIG. 9A/9B, flat shape at top of 50), the end effector including an upper surface on which a substrate (W) is placed (top of 50); and
one or more support portions (60/44) configured to support the substrate, directly connected to the upper surface of the end effector (FIG. 9A/9B), and disposed at a portion of the end effector that is brought into contact with the substrate (FIG. 9A/9B),
at least one of the one or more support portions being at least partially deformed by the contact with the substrate such that the one or more support portions move relative to the end effector (FIG. 9A/9B),
the deformation of the support portion including inclination of the entire support portion (FIG. 9A/9B) being detectable (the deformation is at least visually able to be detected by a user);
Claim 15: an upper surface (FIG. 9A/9B, top of 50) on which a substrate (W) is placed; and
one or more support portions (60/44) configured to support the substrate, directly connected to the upper surface of the end effector (FIG. 9A/9B), and disposed at a portion of the placing surface that is brought into contact with the substrate, at least one of the one or more support portion being at least partially deformed by the contact with the substrate such that the one or more support portions move relative to the end effector (FIG. 9A/9B),
the deformation of the support portion including inclination of the entire support portion being detectable (the deformation is at least visually able to be detected by a user),
wherein the end effector has a flat shape (FIG. 9A/9B, flat shape at top of 50).
Claim Rejections - 35 USC § 103
Claim(s) 8 and 10-12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Son in view of Doi et al. (US 2022/0212884; Pub. Date: Jul. 7, 2022) (“Doi884”). Son discloses all the limitations of the claims as discussed above; and
Claim 10: wherein the transfer mechanism loads and unloads the substrate into and from a substrate processing unit where substrate processing is performed (10/900; para. [0065]-[0071]; intended use; processing at least includes loading from location).
Son does not directly show:
Claim 8: wherein the controller controls transfer of the substrate to be stopped when specified degree of the deformation of the substrate is not within an allowable range;
Claim 10: the controller specifies a degree of the deformation of the substrate before and after the substrate processing performed in the substrate processing unit, and performs control to output warning when a change in the degree of the deformation of the substrate exceeds a certain threshold value;
Claim 11: wherein the controller stores a degree of the deformation of the substrate in a storage part, and performs control to output a change in the degree of the deformation of the substrate stored in the storage part;
Claim 12: wherein the controller performs control to output warning when the change in the degree of deformation of the substrate exceeds a certain threshold value.
Lee shows a similar device having:
Claim 8: wherein the controller controls transfer of the substrate to be stopped when specified degree of the deformation of the substrate is not within an allowable range (para. [0087]);
Claim 10: the controller specifies a degree of the deformation of the substrate before and after the substrate processing performed in the substrate processing unit, and performs control to output warning when a change in the degree of the deformation of the substrate exceeds a certain threshold value (“appropriate pressure”/etc.; para. [0087]);
Claim 11: wherein the controller stores a degree of the deformation of the substrate in a storage part, and performs control to output a change in the degree of the deformation of the substrate stored in the storage part (at least para. [0090]-[0094]);
Claim 12: wherein the controller performs control to output warning when the change in the degree of deformation of the substrate exceeds a certain threshold value (para. [0088]);
with a reasonable expectation of success for the purpose of improving the alignment of the substrate during transfer to reduce the chance of substrate damage during transfer (para. [0021]-[0025]/[0074]/[0094]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Son as taught by Lee and include Lee’s similar device having:
Claim 8: wherein the controller controls transfer of the substrate to be stopped when specified degree of the deformation of the substrate is not within an allowable range;
Claim 10: the controller specifies a degree of the deformation of the substrate before and after the substrate processing performed in the substrate processing unit, and performs control to output warning when a change in the degree of the deformation of the substrate exceeds a certain threshold value;
Claim 11: wherein the controller stores a degree of the deformation of the substrate in a storage part, and performs control to output a change in the degree of the deformation of the substrate stored in the storage part;
Claim 12: wherein the controller performs control to output warning when the change in the degree of deformation of the substrate exceeds a certain threshold value;
with a reasonable expectation of success for the purpose of improving the alignment of the substrate during transfer to reduce the chance of substrate damage during transfer.
Claim(s) 5-6 is/are rejected under 35 U.S.C. 103 as being unpatentable over Son in view of Lee (KP 10-2078309). Son discloses all the limitations of the claims as discussed above; and
Claim 5: a pad that is brought into contact with the substrate (930).
Son does not directly show:
Claim 5: wherein each of the one or more support portions includes:
and an O-ring that supports the pad and is elastically deformed,
wherein the detector detects deformation of the O-ring;
Claim 6: wherein the O-ring is made of resin material mixed with carbon nanotubes.
Lee shows a similar device having:
Claim 5: wherein each of the one or more support portions includes:
and an O-ring that supports the pad and is elastically deformed (paragraph [0002]),
wherein the detector detects deformation of the O-ring (deformation in the O-ring comes from deformation in the apparatus of Son which is transferred to the obvious O-ring thereto);
Claim 6: wherein the O-ring is made of resin material mixed with carbon nanotubes (paragraphs [0002] and [0016-0018]; “Fiber aggregates can be made of, for example, but not limited to carbon nanotubes, ploydimethylsilosxane (PDMS), nylon 6, or similar polymer materials.”);
with a reasonable expectation of success for the purpose of increasing the tensile modulus of elasticity in order to improve substrate handling due to reducing the chance of damaging the support portions by the substrate during transfer of the substrate (para. [0005]/[0018]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify Son as taught by Lee and include Lee’s similar device having:
Claim 5: wherein each of the one or more support portions includes:
and an O-ring that supports the pad and is elastically deformed,
wherein the detector detects deformation of the O-ring;
Claim 6: wherein the O-ring is made of resin material mixed with carbon nanotubes;
with a reasonable expectation of success for the purpose of increasing the tensile modulus of elasticity in order to improve substrate handling due to reducing the chance of damaging the support portions by the substrate during transfer of the substrate.
Response to Arguments
Applicant's arguments filed 25 February 2026 have been fully considered but they are not persuasive re. Claims 1-12.
Re. directly connected to the substrate placing portion, see Son, para. [0089], holes of 910 directly contact 930.
Re. a detector configured to detect deformation of the support portion including inclination of the entire support portion, "inclination" is defined in the Oxford English Dictionary as, "II.7. The process of descending or sinking into a lower position" which meets the claims. Item 930 of Son is involved in a “process of descending or sinking into a lower position.
Applicant’s arguments, see p. 7, filed 25 February 2026, with respect to the rejection(s) of claim(s) 14-15 under Son and the “directly connected” limitations 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 Hayashi. Re. the inclination of the entire support portion being detectable, the deformation is at least visually able to be detected by a user.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Gerald McClain whose telephone number is (571)272-7803. The examiner can normally be reached Monday through Friday from 8:30 a.m. to 5:00 p.m. and at gerald.mcclain@uspto.gov (see MPEP 502.03 (II)).
Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Saul Rodriguez can be reached at (571) 272-7097. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
/Gerald McClain/Primary Examiner, Art Unit 3652