CTNF 18/784,593 CTNF 78859 Notice of Pre-AIA or AIA Status 07-03-aia AIA 15-10-aia 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 07-06 AIA 15-10-15 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. 07-07-aia AIA 07-07 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 – 07-08-aia AIA (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. 07-12-aia AIA (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. 07-15 AIA Claim s 1-2, are rejected under 35 U.S.C. 102( a)(1)(2 ) as being anticipated by Azumano (US 8,434,993) . Re claim 1, Azumano teaches a swapper assembly, comprising: a housing 1,3 comprising an internal region (not numbered); at least two swappers 11a,11b at least partially disposed within the internal region of the housing, each swapper including a body 31, a first arm 47, a second arm 48, and wherein the body 31 is rotatable relative to the housing, and the first arm 47 and second arm 48 are rotatable relative to the body; and a motor assembly 15 coupled to the at least two swappers, wherein actuation of one or more motors 15a within the motor assembly causes the position of the first arm 47 and second arm 48 of each of the at least two swappers to simultaneously change. Re claim 2, Azumano teaches each swapper of the at least two swappers comprises: a first pulley 41,42,45 coupled to the body; and the motor assembly further comprises: a second pulley 38 coupled to a shaft 17of the motor; and a belt 43 coupling the first pulley of each swapper to the second pulley . Claim Rejections - 35 USC § 103 07-06 AIA 15-10-15 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. 07-20-aia AIA 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. 07-20-02-aia AIA This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention. 07-21-aia AIA Claim s 3,20, are rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Kurita (US 7,735,710) . Re claims 3,20, Azumano does not mention radiant heat sources but Kurita (figures 1,2) teaches one or more overhead heat sources 212 configured to deliver radiation to the internal region of 100, wherein the one or more heat sources comprise a radiant heat source 212 allowing pre-heating prior to transfer to the process chambers 132. It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano in view of Kurita as claimed in order to allow pre-heating prior to transfer to the process chambers . 07-21-aia AIA Claim 4 is rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Ikeya (US 6,413,888) and Caveney (US 2019/0172746) . Re claim 4, Azumano does not mention a pre-heat assembly or rotary electrical connectors. Ikeya teaches a pre-heat assembly comprising: a power supply 134; and a heating element 388 disposed in the delivery arm 124 wherein the heating element receives electrical power from the power supply through a connection (not numbered nor described, figure 9). Caveney teaches use of rotary electrical connectors 531 to supply power to (end effector) arms (figure 5D). Duplication of parts is known to be an obvious modification (MPEP 2144, In re Harza, 274 F.2d 669, 124 USPQ 378 (CCPA 1960) ). It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano as claimed with as many heating elements as desired to meet a desired heating ability in the swapper arms with rotary connections as needed to connect and power and control the device . 07-21-aia AIA Claim s 5,12,19, are rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Tamai (US 5,046,992) . Re claim 5, Azumano teaches the actuation of the motor within the motor assembly causes a substrate support surface of the first arm 47 and a substrate support surface of the second arm 48 to what appears to be translation along a linear trajectory (see arrows in figure 5) but Azumano does not explicitly mention it is linear translation as claimed. However, linear translation along a linear trajectory is already known as shown by Tamai (figure 3, motor 13 and 1:2 gearing allows for linear radial motion of arm 10) to allow for more direct movement of substrates. It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano in view of Tamai as claimed in order to have linear translation allowing more direct movement of substrates. Re claims 12,19, Azumano teaches the actuation of the motor within the motor assembly causes a substrate support surface of the first arm 47 and a substrate support surface of the second arm 48 to what appears to be translation along parallel linear trajectory for each swapper & associated substrate (see arrows in figure 5) but Azumano does not explicitly mention it is linear translation as claimed. However, linear translation along a linear trajectory is already known as shown by Tamai (figure 3, motor 13 and 1:2 gearing allows for linear radial motion of arm 10) to allow for more direct movement of substrates. It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano in view of Tamai as claimed in order to have linear translation allowing more direct movement of substrates . 07-21-aia AIA Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Zhao (US 2004/0018070) . Re claim 6, Azumano does not teach a gear assembly but instead a similar pulley drive assembly with a stationary central pulley 38, wherein the body 31 is rotatable relative to the central pulley; a first idler pulley 45 and a second idler 45 pulley connected to the body, wherein the first and second idler pulleys orbit the stationary central pulley as the body rotates relative to the central gear; and a first arm pulley 41 attached to the first arm and a second arm pulley 42 attached to the second arm, wherein the first arm pulley is rotatable in response to the rotation of the first idler pulley to rotate the first arm, and wherein the second arm pulley is rotatable in response to the rotation of the second idler pulley to rotate the second arm. Zhao teaches a similar swapper with a gear drive assembly (figures 9-11) with arm 232, a central drive gear 280, intermediate gears 282,284,286 & distal gears 292,294,296 & substrate support arms 242,244,246. It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano in view of Zhao as claimed in order to have a gear rather than pulley assembly to have an equivalent alternative means to increase efficiency and allow versatility in manufacturing . 07-21-aia AIA Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Zhao (US 2004/0018070), Ikeya (US 6,413,888) and Caveney (US 2019/0172746) . Re claim 7, Azumano does not mention a pre-heat assembly or rotary electrical connectors. Ikeya teaches a pre-heat assembly comprising: a power supply 134; and a heating element 388 disposed in the delivery arm 124 wherein the heating element receives electrical power from the power supply through a connection (not numbered nor described, figure 9). Caveney teaches use of rotary electrical connectors 531 to supply power to (end effector) arms (figure 5D). Duplication of parts is known to be an obvious modification (MPEP 2144, In re Harza, 274 F.2d 669, 124 USPQ 378 (CCPA 1960) ). It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano as claimed to have as many heating elements as desired to meet a desired heating ability in the swapper arms with rotary connections as needed to connect and power and control the device . 07-21-aia AIA Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Zhao (US 2004/0018070) and Tamai (US 5,046,992) . Re claim 8, Azumano does not mention a specific gearing ratio. However, use of gearing ratios to achieve desired movement profiles is known as shown by Tamai (figure 3, motor 13 and 1:2 gearing ratio of gears 24 & 29 allows for linear radial motion of arm 10, column 5 line 21) to allow for more direct movement of substrates. It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano in view of Tamai as claimed in order to allow for more direct movement of substrates or any other desired movement profile to best fit the needs of varied systems & situational needs . 07-21-aia AIA Claim s 9,11,17, are rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) . Re claim 9, Azumano teaches a swapper assembly, comprising at least two swappers 11a,11b but does not explicitly mention at least two swappers comprise four swappers. Duplication of parts is known to be an obvious modification (MPEP 2144, In re Harza, 274 F.2d 669, 124 USPQ 378 (CCPA 1960) ). It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano as claimed to have as many swappers as desired to meet a desired swapping ability as needed to achieve desired throughput and backup capability. Re claims 11,17, Azumano teaches (figures 1,3,5,etc.) a system and associated inherent method of operating a cluster tool 1,100, comprising: placing a first substrate U,W on a first arm of a first swapper 11a (with motors 15a part of an unnumbered overall motor assembly), the first arm being positioned in a first load lock 2; placing a second substrate U,W on a second arm of the first swapper 11a, the second arm being positioned within a first processing chamber 4a; placing a third substrate U,W on a third arm of a second swapper 11b, the third arm being located in a [second] load lock 2; placing a fourth substrate U,W on a fourth arm of the second swapper 11b, the fourth arm being positioned within a second processing chamber 4b; and actuating the first swapper and the second swapper simultaneously to move the first substrate on the first arm into the first processing chamber, the second substrate on the second arm into the first load lock, the third substrate on the third arm into the second processing chamber, and the fourth substrate on the fourth arm into the [second] load lock. Azumano does not teach separate first and second load locks. However, duplication of parts & making items separable are known to be an obvious modifications (MPEP 2144, In re Harza, 274 F.2d 669, 124 USPQ 378 (CCPA 1960); In re Dulberg, 289 F.2d 522, 523, 129 USPQ 348, 349 (CCPA 1961) ). It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano as claimed to have separate load locks in order to reduce cross contamination . 07-21-aia AIA Claim s 10,13,16,18, are rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Hosek (US 9,330,951) . Re claims 10,13,16,18, Azumano does not appear to teach the one or more motors of the motor assembly is a single motor that is configured to drive both the first swapper and the second swapper. However, driving multiple arms/ linkages by a single motor is known as shown for example by Hosek (figures 35,37,etc. via motor, belts and pulleys) in order to consolidate and reduce space requirements. It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano in view of Hosek as claimed in order to consolidate and reduce space requirements . 07-21-aia AIA Claim s 14,15 are rejected under 35 U.S.C. 103 as being unpatentable over Azumano (US 8,434,993) in view of Ikeya (US 6,413,888) . Re claims 14,15, Azumano does not mention a pre-heat assembly or electrical powering of heating elements. Ikeya teaches a pre-heat assembly comprising: a power supply 134; and a heating element 388 disposed in the delivery arm 124 wherein the heating element receives electrical power from the power supply through a connection (not numbered nor described, figure 9). It would have been obvious to one of ordinary skill in the art prior to filing to have modified Azumano as claimed to meet a desired heating ability in the swapper arms with rotary connections as needed to connect, power and control the device to achieve a desired processing for varied given situational needs . Conclusion 07-96 AIA The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Wi teaches (figures 35-50) a electric motorized multi-arm swapper system. Kondoh (figures 3,5) teaches a swapper arm with electric heaters 61a,b. Any inquiry concerning this communication or earlier communications from the examiner should be directed to MICHAEL S LOWE whose telephone number is (571)272-6929. The examiner can normally be reached Hoteling M,Th,F & alternating W 6:30am-6:30pm. 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 5712727097. 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. MICHAEL S. LOWE Primary Examiner Art Unit 3652 /MICHAEL S LOWE/Primary Examiner, Art Unit 3652 Application/Control Number: 18/784,593 Page 2 Art Unit: 3652 Application/Control Number: 18/784,593 Page 3 Art Unit: 3652 Application/Control Number: 18/784,593 Page 4 Art Unit: 3652 Application/Control Number: 18/784,593 Page 5 Art Unit: 3652 Application/Control Number: 18/784,593 Page 6 Art Unit: 3652 Application/Control Number: 18/784,593 Page 7 Art Unit: 3652 Application/Control Number: 18/784,593 Page 8 Art Unit: 3652 Application/Control Number: 18/784,593 Page 9 Art Unit: 3652 Application/Control Number: 18/784,593 Page 10 Art Unit: 3652 Application/Control Number: 18/784,593 Page 11 Art Unit: 3652 Application/Control Number: 18/784,593 Page 12 Art Unit: 3652 Application/Control Number: 18/784,593 Page 13 Art Unit: 3652
Prosecution Insights