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 .
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Response to Amendment
This office action is in response to claim amendment filed on 06/08/2026 and wherein claims 1,
2, 7, 11 being currently amended. In virtue of this communication, claims 1-11 are pending in this office action.
Response to Arguments
With respect to the rejection of Claims 2, 7 and 11 under 35 USC § 112(b), as set forth in the previous Office Action, the claim amendment, and argument filed on June 8th, 2026, has been fully considered and the argument is persuasive. Therefore, the rejection of Claim 2, 7, and 11 under 35 USC § 112(b), as set forth in the previous Office Action, has been withdrawn
Applicant's arguments filed on 06/08/2026 with respect to the prior art rejection of claim 1 have been fully considered but they are not persuasive.
Regarding claim 1, the applicant has amended the claim to include the limitation “wherein the gripper moving mechanism configured to move the grippers into stand-by state horizontally relative to each other bring the grippers into substrate-gripped state, and wherein the rod rotating mechanism configured to turn a posture of the rods to horizontal posture from vertical posture”
Applicant argues that the claim amendment overcomes the 35 U.S.C. 103 rejection of Kanagawa
(US 2022/0392779 A1) in view of Shiomi (US 2008/0216880 A1). Examiner respectfully disagrees. As disclosed in the initial rejection the gripper moving mechanism disclosed by Shiomi is able to bring the gripper moving mechanism into a stand by state through the rotation of rods which move the grippers in a horizontal direction, and as disclosed in the initial rejection the rod rotating mechanism disclosed by Kanagawa is configured to turn a posture of the rods to horizontal to vertical posture.
Applicant argues that neither of the cited documents describes a first gripping body or second
gripping body that can move in the direction in which the rod extends, examiner respectfully disagrees as there is no language in the claims supporting this limitation.
Applicant also argues that neither reference teaches, a rod rotating mechanism in which a rod is rotated to change the orientation of the substrate from a vertical to a horizontal position, examiner respectfully disagrees, Kanagawa (fig. 7) teaches a jointed articulated member that is able to change the orientation of a substrate through the rotation of an arm and holding rods.
Claim Rejections - 35 USC § 103
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1 - 11 are rejected under 35 U.S.C. 103 as being unpatentable over Kanagawa (US. PUB 20220392779 A1, embodiment 1 of fig.1, in view of embodiment 1B of fig. 11), and further in view of Shiomi (US. PUB 20080216880 A1).
Regarding Claims 1, Kanagawa in the embodiment of fig. 1 teaches,
A substrate treating apparatus for successively performing batch treatment for processing a plurality of substrates collectively and single-wafer treatment for processing the substrates one by one (fig. 11 – 1B),
the substrate treating apparatus comprising:
a stocker block (fig. 1- (2));
a transferring block adjoining the stocker block (fig.1 – (2 and 5);
and a treating block adjoining the transferring block (fig.1 – (3 and 6))
the stocker block including:
a substrate-taking and accommodating carrier mount shelf which has at least one carrier placed thereon for taking the substrates into and out of the carrier (fig. 1 – (26) – Carrier mount shelf)
and which is configured to house the carrier in which the substrates are accommodated while the substrates are aligned in a horizontal posture at a predetermined pitch in a vertical direction (fig. 1 – (26) – Carrier mount shelf),
the transferring block including:
a taking handling mechanism configured to take the substrates collectively from the carrier placed on the carrier mount shelf (fig 1. – (32));
a posture turning mechanism configured to turn a posture of the taken substrates collectively between a horizontal posture and a vertical posture (fig. 1 – (32), [0027]);
and a substrate holder configured to hold the substrates in the vertical posture collectively at a predetermined batch substrate delivery position (fig.1 – (51), fig. 4B, shows vertical storage in the transfer region),
the treating block including:
a batch treatment region whose first end adjoins the transferring block and whose second end extends apart from the transferring block (fig. 1 – (6));
a single-wafer treatment region spaced apart from the batch treatment region in a direction orthogonal to an extension direction of the batch treatment region (fig. 1 – (3));
a single-wafer transport region between the batch treatment region and the single-wafer treatment region (fig. 1 – (5 and 31) – this also serves as transport within single wafer region);
and a batch substrate transport region which is provided along the batch treatment region and whose first end extends to the transferring block and whose second end extends apart from the transferring block (fig. 1 – (61)),
the batch treatment region containing a plurality of batch process tanks configured to perform immersion treatment on the substrates collectively in the extension direction of the batch treatment region (fig. 1 – (6), tanks are shown 63 - 67),
and further containing: a holding tank configured to hold the substrates, aligned in the vertical posture in a predetermined direction orthogonal to the extension direction (fig. 1 – (68)),
in liquid, a lifter configured to move the substrates upward and downward relative to the holding tank (fig. 1 – (81), lifter and driving device that move substrate vertically in holding tank),
and a substrate pick-up unit configured to pick up one substrate from the substrates in the vertical posture held by the holding tank and turn a posture of the substrate from vertical to horizontal (fig. 6B – (54)),
and a rod rotating mechanism configured to turn a posture of the substrate, held by the first gripper and the second gripper, from the vertical posture to the horizontal posture by rotating the one
paired rods to be along the vertical direction while the first gripper and the second gripper holds the one substrate in the vertical posture (Kanagawa – fig. 7 - (54, R5, R6)),
the single-wafer treatment region further containing at least one single-wafer processing chamber configured to process the substrates one by one individually (fig. 1 – (34), [0029]),
the batch substrate transport region containing a batch substrate transport mechanism configured to transport the substrates collectively among the batch substrate delivery position defined in the transferring block, the batch process tank, and the holding tank (fig. 1 – (61), [0034]),
and the transferring block further including:
a returning handling mechanism provided between the single-wafer treatment region in the treating block and the carrier mount shelf in the stocker block (fig. 1 – (32), [0029]),
and configured to transport the substrates in the horizontal posture from the single-wafer treatment region to the carrier mount shelf (fig. 1 – (32), [0029]).
and wherein the rod rotating mechanism configured to turn a posture of the rods to horizontal posture from vertical posture (fig. 7 – rod rotating mechanism turns posture of rods).
Kanagawa, in the embodiment of fig. 1 does not teach,
the single-wafer transport region containing a single-wafer substrate transport mechanism configured to transport the substrates, received from the substrate pick-up unit, to the single-wafer processing chamber
However, Kanagawa in embodiment 1B of fig. 11 explicitly teaches, a single-wafer substrate transport mechanism which receives the substrates from the substrate pick up unit and transports the substrates to the single-wafer processing chamber (fig. 11 – (591,592,593,594), [0126]).
It would have been obvious to someone of ordinary skill in the art before the effective filing date of the claimed invention to have combined both Kanagawa embodiments and include the single-wafer substrate transport mechanism of embodiment 1B in embodiment 1 to improve substrate processing speeds and reduce cost by limiting movement done by 6 or 7 axis robots.
Neither embodiment of Kanagawa teaches, the substrate pick-up unit including:
one-paired rods which are provided above the holding tank and extend along an alignment direction of the substrates in the vertical posture held by the holding tank;
a support base configured to support a base of the one-paired rods;
a first gripper which moves reciprocatively in the alignment direction of the substrates in the vertical posture while being guided by one of the one-paired rods;
a second gripper which moves reciprocatively in the alignment direction of the substrates in the vertical posture while being guided by the other of the one-paired rods;
a gripper moving mechanism configured to bring the first gripper and the second gripper into a stand-by state,
and move the first gripper and the second gripper under the stand-by state horizontally and move relatively to the lifter in the vertical direction, thereby bringing the first gripper and the second gripper into a substrate-gripped state,
the gripper moving mechanism moving the first gripper and the second gripper to a position where the first gripper and the second gripper do not contact the substrate held by the lifter when the first gripper and the second gripper positioned below the substrate held by the lifter move relatively to the lifter in the vertical direction in the stand-by state,
the gripper moving mechanism moving the first gripper and the second gripper to a position where the first gripper and the second gripper contact the substrate held by the lifter when the first gripper and the second gripper positioned below the substrate held by the lifter move relatively to the lifter in the vertical direction,
and causing the first gripper and the second gripper to hold one substrate of the substrates held by the lifter in the substrate-gripped state;
However, Shiomi teaches, the substrate pick-up unit including:
one-paired rods which are provided above the holding tank and extend along an alignment direction of the substrates in the vertical posture held by the holding tank (Shiomi – fig. 9 - (91));
a support base configured to support a base of the one-paired rods (Shiomi – fig. 9 - (92));
a first gripper which moves reciprocatively in the alignment direction of the substrates in the vertical posture while being guided by one of the one-paired rods (Shiomi – fig. 11 - (113);
a second gripper which moves reciprocatively in the alignment direction of the substrates in the vertical posture while being guided by the other of the one-paired rods (Shiomi – fig. 11 - (113);
a gripper moving mechanism configured to bring the first gripper and the second gripper into a stand-by state (Shiomi – fig. 11 - (106),
and move the first gripper and the second gripper under the stand-by state horizontally and move relatively to the lifter in the vertical direction, thereby bringing the first gripper and the second gripper into a substrate-gripped state (Shiomi – fig. 11 - (106), fig. 12, fig. 13)
the gripper moving mechanism moving the first gripper and the second gripper to a position where the first gripper and the second gripper do not contact the substrate held by the lifter when the
first gripper and the second gripper positioned below the substrate held by the lifter move relatively to the lifter in the vertical direction in the stand-by state (Shiomi – fig. 11 - (106), fig. 12, fig. 13),
the gripper moving mechanism moving the first gripper and the second gripper to a position where the first gripper and the second gripper contact the substrate held by the lifter when the first
gripper and the second gripper positioned below the substrate held by the lifter move relatively to the lifter in the vertical direction (Shiomi – fig 11 (106), fig. 12, fig. 13),
and causing the first gripper and the second gripper to hold one substrate of the substrates held by the lifter in the substrate-gripped state (Shiomi – fig 11 (106), fig. 12, fig. 13);
wherein the gripper moving mechanism configured to move the grippers into stand-by state horizontally relative to each other bring the grippers into substrate-gripped state (fig 11 – (91) – gripper moving mechanism rotates to bring grippers into stand by state by moving horizontally),
Kanagawa and Shiomi are both considered analogous to the claimed invention because they are both in the field of substrate processing and treatment. 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 Kanagawa’s substrate pickup unit to include the gripping mechanism taught by Shiomi. Doing so would limit the complexity, size and decrease cost of the substrate pickup unit by decreasing the number of rotation axis needed on the substrate pickup unit and replacing them with linear axis.
Regarding claim 2, Kanagawa in the embodiment of fig.1 teaches,
The substrate pick up unit (fig. 1 – (54)), which transports the substrates in the horizontal
posture (fig. 7 – (541))
Kanagawa, in embodiment 1B of fig.11 teaches,
A single wafer delivery position (fig.11 – (591)),
A single wafer transport mechanism which receives the substrates at the single wafer delivery
Position (fig. 11 – (591)).
Shiomi teaches,
A support base moving mechanism for the substrate pick up unit, which causes the support base to move reciprocatively in the alignment direction of the substrates in the vertical posture held by the holding tank (Shiomi – fig.11 (97)),
transport of the substrates held by the first gripper and second gripper (Shiomi – fig. 9)
Kanagawa and Shiomi are both considered analogous to the claimed invention because they are both in the field of substrate processing and treatment. 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 Kanagawa’s substrate pickup unit to include the gripping mechanism and support moving base taught by Shiomi. Doing so would limit the complexity and decrease the cost of the substrate pick up unit by replacing a rotation axis with a linear axis.
Regarding claim 3, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus according to claim 1,
wherein the substrate pick-up unit causes the first gripper and the second gripper to hold one substrate of the substrates held by the lifter by vertical movement of the lifter and downward
movement of the lifter above the first gripper and the second gripper in the vertical direction (fig. 6B/6C show movement of lifter to engage substrate pickup unit).
Shiomi teaches, a substrate pick-up unit with first and second grippers which holds a substrate (Shiomi – fig.9, shows first and second grippers which engage the substrate)
Regarding claim 4, both Kanagawa embodiments fail to teach,
the gripper moving mechanism in the substrate pick-up unit brings the first gripper and the second gripper into the stand-by state by separating the first gripper and the second gripper apart from each other,
and brings the first gripper and the second gripper into the substrate-gripped state by bringing the first gripper and the second gripper closer to each other.
However, Shiomi teaches,
the gripper moving mechanism in the substrate pick-up unit brings the first gripper and the second gripper into the stand-by state by separating the first gripper and the second gripper apart from each other (Shiomi – fig. 11 (106), fig. 13, shows grippers rotating away and towards each other),
and brings the first gripper and the second gripper into the substrate-gripped state by bringing the first gripper and the second gripper closer to each other (Shiomi – fig. 12).
Regarding claim 5, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus,
wherein the taking handling mechanism in the transferring block is constituted by a robot, which also serves as the return handling mechanism (fig. 1 – (32)).
Regarding claim 6, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus according to claim 1,
wherein the holding tank is provided closer to the transferring block than the batch process tank (fig. 1 – (68)).
Regarding claim 7, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus according to claim 1,
wherein the single wafer treatment region in the treating block has a plurality of single-wafer processing chambers arranged in the extension direction (fig. 1 – (34), [0029], plural number of chambers, processing and drying),
and the single-wafer transportation region in the treating block has a first end adjoining the transferring block and a second end extending in the extension direction (fig. 1 - (3), single wafer region adjoining transfer block).
Regarding claim 8, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus according to claim 1, wherein the batch treatment region in the treating block contains:
a batch process tank configured to store an acid liquid for performing acid treatment on the substrates ([0039] describes the use of acid);
and a batch process tank configured to store deionized water for performing rinse treatment on the substrates, and the holding tank stores a liquid where isopropyl alcohol is mixed or deionized water ([0039], describes the use of deionized water in batch processing tank).
Regarding claim 9, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus according to claim 1,
wherein the single-wafer processing chamber performs dry treatment with supercritical fluid (fig. 1 – (34), [0029], describes drying with supercritical fluid).
Regarding claim 10, Kanagawa in the embodiment of fig. 1 teaches, the substrate treating apparatus according to claim 1,
wherein a plurality of single-wafer processing chambers is provided in the vertical direction in the single-wafer treatment region ([0030], describes chambers stacked in Z-axis direction).
Regarding claim 11, Kanagawa in embodiment 1B of fig. 11 teaches, the substrate treating apparatus according to claim 2,
wherein the treating block further includes a support portion configured to support the substrates, transported to the single-wafer delivery position, from a side adjacent to the single-wafer transport region (fig. 11 – (591), stores/supports substrate at single wafer delivery position until transported to the single wafer processing portion).
Conclusion
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.
/J.S.M./ Examiner, Art Unit 3652
/SAUL RODRIGUEZ/ Supervisory Patent Examiner, Art Unit 3652
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