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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 10 February 2026 has been entered.
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)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim(s) 1, 3, and 14-16 is/are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Shimizu et al. (US 12485534; 102(a)(2) date: Sep. 4, 2020) (“Shimizu”).
Claim 1: a hand (3) configured to transfer a substrate (W) from a cassette (7) that accommodates substrates in multiple stages in a vertical direction (FIG. 4);
a moving mechanism including
at least one arm (2) that is connected to the hand; and
a lift portion (11) connected to an end of the at least one arm and rotatable around a rotational axis of the lift portion, the lift portion being movable in the vertical direction along the rotational axis of the lift portion, the moving mechanism being configured to move the hand;
a controller (9) configured to control the moving mechanism; and
a first detector (6) provided on the hand and configured to quantitatively detect at least one of a thickness and a deflection amount of the substrate,
wherein the controller is further configured to change an offset amount, according to at least one of the thickness and the deflection amount of the substrate detected by the first detector,
by which the hand is moved up and down from a substrate support height of the cassette when the hand loads and unloads the substrate with respect to the cassette,
such that the hand is allowed to be advanced into a clearance between adjacent substrate support heights during loading and unloading of the substrate (col. 10-11, esp. col. 10, lines 26-45);
Claim 3: wherein the first detector is a reflective sensor (col. 5, lines 45-46), and
the controller changes the offset amount based on an actual deflection amount of the substrate detected by the reflective sensor when the hand is moved in at least one of a vertical direction and a horizontal direction by the moving mechanism (col. 10-11, esp. col. 10, lines 26-45);
Claim 14: providing a substrate transfer apparatus including:
a hand (3) configured to transfer a substrate (W) from a cassette (7) that accommodates substrates in multiple stages in a vertical direction (FIG. 4);
a moving mechanism including an arm (2) that is connected to the hand (FIG. 4);
a lift portion (11) connected to an end of the arm and rotatable around a rotational axis of the lift portion, the lift portion being movable in the vertical direction along the rotational axis of the lift portion,
the moving mechanism being configured to move the hand;
a controller (9) configured to control the moving mechanism; and
a first detector (6) provided on the hand and configured to detect at least one of a thickness and a deflection amount of the substrate; and
changing an offset amount, according to at least one of the thickness and the deflection amount of the substrate detected by the first detector, by which the hand is moved up and down from a substrate support height of the cassette when the hand loads and unloads the substrate with respect to the cassette, according to at least one of the thickness and the deflection amount of the substrate detected by the first detector such that the hand is allowed to be advanced into a clearance between adjacent substrate support heights during loading and unloading of the substrate (col. 10-11, esp. col. 10, lines 26-45);
Claim 15: wherein the reflective sensor is configured to perform at least one of a vertical scanning and a horizontal scanning (col. 5, lines 45-46);
Claim 16: wherein the controller is further configured to control the moving mechanism such that the hand is retreated from the clearance between substrate support heights based on at least one of the thickness and the deflection amount of the substrate detected by the first detector (col. 10-11, esp. col. 10, lines 26-45).
Claim Rejections - 35 USC § 103
Claim(s) 2 and 4-12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shimizu in view of Ishizawa et al. (US 6144926) (“Ishizawa”). Shimizu discloses all the limitations of the claims as discussed above.
Shimizu does not directly show:
Claim 2: wherein the offset amount includes when the substrate is unloaded from the cassette, a downward offset amount that is an amount by which the hand is moved up to the substrate support height, and an upward offset amount that is an amount by which the hand is moved up from the substrate support height, and
when the substrate is loaded to the cassette, an upward offset amount that is an amount by which the hand is moved down to the substrate support height, and a downward offset amount that is an amount by which the hand is moved down from the substrate support height;
Claim 4: wherein the controller changes the offset amount based on an estimated deflection amount of the substrate estimated from the thickness of the substrate detected by the first detector;
Claim 5: wherein the controller stores, in advance, substrate information that defines at least a relationship between the thickness of the substrate and the deflection amount of the substrate for each type of the substrate, and
estimates the estimated deflection amount based on the substrate information;
Claim 6: wherein the controller changes the offset amount based on a larger value of the actual deflection amount of the substrate obtained using the first detector and the estimated deflection amount;
Claim 7: wherein the controller changes the offset amount based on at least one of a deflection amount of an immediately-above substrate positioned immediately above a target substrate that is loaded and unloaded by the hand, and a deflection amount of an immediately-below substrate positioned immediately below the target substrate;
Claim 8: wherein the controller changes the offset amount based on a hand characteristic value including at least one of a deflection amount and a vibration width of the hand when the hand is moved up and down;
Claim 9: wherein the controller changes the offset amount based on a hand characteristic value including at least one of a deflection amount and a vibration width of the hand when the hand is raised or lowered;
Claims 10-11: wherein when the target substrate is loaded to the substrate support height of the target substrate by the hand, the controller changes the upward offset amount based on an actual deflection amount of the immediately-above substrate, a thickness of the hand, and the hand characteristic value, so that the hand is allowed to be advanced into a clearance between a substrate support height of the target substrate and the substrate support height of the immediately-above substrate;
Claim 12: wherein the cassette includes a plurality of supports each configured to support the substrate at a plurality of locations for each stage, when viewed from a front side of the cassette,
when the actual deflection amount of the immediately-above substrate is less than a thickness of a support that supports the immediately-above substrate, the controller changes the upward offset amount based on the thickness of the support instead of the actual deflection amount of the immediately-above substrate.
Ishizawa shows a similar device having:
Claim 2: wherein the offset amount includes when the substrate is unloaded from the cassette, a downward offset amount that is an amount by which the hand is moved up to the substrate support height, and an upward offset amount that is an amount by which the hand is moved up from the substrate support height, and
when the substrate is loaded to the cassette, an upward offset amount that is an amount by which the hand is moved down to the substrate support height, and a downward offset amount that is an amount by which the hand is moved down from the substrate support height (steps shown in FIG. 12A-20);
Claim 4: wherein the controller changes the offset amount based on an estimated deflection amount of the substrate estimated from the thickness of the substrate detected by the first detector (steps shown in FIG. 12A-20);
Claim 5: wherein the controller stores, in advance, substrate information that defines at least a relationship between the thickness of the substrate and the deflection amount of the substrate for each type of the substrate, and
estimates the estimated deflection amount based on the substrate information (stores at scanning via 20a);
Claim 6: wherein the controller changes the offset amount based on a larger value of the actual deflection amount of the substrate obtained using the first detector and the estimated deflection amount (steps shown in FIG. 12A-20);
Claim 7: wherein the controller changes the offset amount based on at least one of a deflection amount of an immediately-above substrate positioned immediately above a target substrate that is loaded and unloaded by the hand, and a deflection amount of an immediately-below substrate positioned immediately below the target substrate (steps shown in FIG. 12A-20);
Claim 8: wherein the controller changes the offset amount based on a hand characteristic value including at least one of a deflection amount and a vibration width of the hand when the hand is moved up and down (steps shown in FIG. 12A-20; deflection about; a7, col. 5, line 65);
Claim 9: wherein the controller changes the offset amount based on a hand characteristic value including at least one of a deflection amount and a vibration width of the hand when the hand is raised or lowered (steps shown in FIG. 12A-20; deflection about; a7, col. 5, line 65);
Claims 10-11: wherein when the target substrate is loaded to the substrate support height of the target substrate by the hand, the controller changes the upward offset amount based on an actual deflection amount of the immediately-above substrate, a thickness of the hand, and the hand characteristic value, so that the hand is allowed to be advanced into a clearance between a substrate support height of the target substrate and the substrate support height of the immediately-above substrate (steps shown in FIG. 12A-20 shows that this is allowed);
Claim 12: wherein the cassette includes a plurality of supports each configured to support the substrate at a plurality of locations for each stage, when viewed from a front side of the cassette,
when the actual deflection amount of the immediately-above substrate is less than a thickness of a support that supports the immediately-above substrate, the controller changes the upward offset amount based on the thickness of the support instead of the actual deflection amount of the immediately-above substrate (steps shown in FIG. 12A-20);
(It is noted that at least FIG. 12B, S22-S23 disclose evaluating substrate thickness, or “The mapping process and the arm access position sensing process will be described by reference to the flowcharts shown in FIGS. 12A, 12B, and 12C and to FIG. 13.”);
with a reasonable expectation of success for the purpose of preventing damage to wafers and/or improving transfer efficiency (column 2, lines 28-35). 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 Shimizu as taught by Ishizawa and include Ishizawa’s similar device having:
Claim 2: wherein the offset amount includes when the substrate is unloaded from the cassette, a downward offset amount that is an amount by which the hand is moved up to the substrate support height, and an upward offset amount that is an amount by which the hand is moved up from the substrate support height, and
when the substrate is loaded to the cassette, an upward offset amount that is an amount by which the hand is moved down to the substrate support height, and a downward offset amount that is an amount by which the hand is moved down from the substrate support height;
Claim 4: wherein the controller changes the offset amount based on an estimated deflection amount of the substrate estimated from the thickness of the substrate detected by the first detector;
Claim 5: wherein the controller stores, in advance, substrate information that defines at least a relationship between the thickness of the substrate and the deflection amount of the substrate for each type of the substrate, and
estimates the estimated deflection amount based on the substrate information;
Claim 6: wherein the controller changes the offset amount based on a larger value of the actual deflection amount of the substrate obtained using the first detector and the estimated deflection amount;
Claim 7: wherein the controller changes the offset amount based on at least one of a deflection amount of an immediately-above substrate positioned immediately above a target substrate that is loaded and unloaded by the hand, and a deflection amount of an immediately-below substrate positioned immediately below the target substrate;
Claim 8: wherein the controller changes the offset amount based on a hand characteristic value including at least one of a deflection amount and a vibration width of the hand when the hand is moved up and down;
Claim 9: wherein the controller changes the offset amount based on a hand characteristic value including at least one of a deflection amount and a vibration width of the hand when the hand is raised or lowered;
Claims 10-11: wherein when the target substrate is loaded to the substrate support height of the target substrate by the hand, the controller changes the upward offset amount based on an actual deflection amount of the immediately-above substrate, a thickness of the hand, and the hand characteristic value, so that the hand is allowed to be advanced into a clearance between a substrate support height of the target substrate and the substrate support height of the immediately-above substrate;
Claim 12: wherein the cassette includes a plurality of supports each configured to support the substrate at a plurality of locations for each stage, when viewed from a front side of the cassette,
when the actual deflection amount of the immediately-above substrate is less than a thickness of a support that supports the immediately-above substrate, the controller changes the upward offset amount based on the thickness of the support instead of the actual deflection amount of the immediately-above substrate;
with a reasonable expectation of success for the purpose of preventing damage to wafers and/or improving transfer efficiency.
Claim(s) 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shimizu in view of Tanoue. Shimizu discloses all the limitations of the claims as discussed above.
Shimizu does not directly show:
Claim 13: wherein the controller changes a transfer speed of the substrate by the hand according to the thickness of the substrate.
Tanoue shows a similar device having:
Claim 13: wherein the controller changes a transfer speed of the substrate by the hand according to the thickness of the substrate (column 14, lines 55-59 and column 15, lines 21-34 suggest changing the transfer speed based on the thickness of the substrate which is based on the processing conditions for each substrate with different thicknesses);
with a reasonable expectation of success for the purpose of providing smooth processing, increasing processing efficiency and safety by reduced damage to substrates of different thicknesses, and easily set transfer conditions (column 15, lines 21-34). 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 Shimizu as taught by Tanoue and include Tanoue’s similar device having:
Claim 13: wherein the controller changes a transfer speed of the substrate by the hand according to the thickness of the substrate;
with a reasonable expectation of success for the purpose of providing smooth processing, increasing processing efficiency and safety by reduced damage to substrates of different thicknesses, and easily set transfer conditions.
Response to Arguments
Applicant’s arguments, see 8-15, filed 10 February 2026, with respect to the rejection(s) of claim(s) 1-15 under Hertgens et al. 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 Shimizu et al. Also, the previous claim interpretations have been withdrawn.
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)).
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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.
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/Gerald McClain/Primary Examiner, Art Unit 3652