Prosecution Insights
Last updated: April 19, 2026
Application No. 18/939,812

SUBSTRATE PROCESSING APPARATUS AND SUBSTRATE PROCESSING METHOD

Non-Final OA §102§103
Filed
Nov 07, 2024
Examiner
CARY, KELSEY E
Art Unit
3753
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Semes Co. Ltd.
OA Round
1 (Non-Final)
75%
Grant Probability
Favorable
1-2
OA Rounds
2y 5m
To Grant
99%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allow Rate
397 granted / 532 resolved
+4.6% vs TC avg
Strong +25% interview lift
Without
With
+25.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 5m
Avg Prosecution
29 currently pending
Career history
561
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
40.8%
+0.8% vs TC avg
§102
32.7%
-7.3% vs TC avg
§112
23.4%
-16.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 532 resolved cases

Office Action

§102 §103
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 . Claim Objections Claims 4-7 and 20 are objected to because of the following informalities: claims 4 and 20, use the term “but”, which is narrative; claims 5 and 20 repeat the limitation “before the supply valve”. Appropriate correction is required. Claims not specifically referenced are objected to as being dependent on an objected to base claim. 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)(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. Claim(s) 1-6, 8-10, and 20 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Ogura (JP 2022-139697). PNG media_image1.png 523 878 media_image1.png Greyscale Annotated Figure 8 from Ogura. Regarding claim 1, Ogura discloses: An apparatus (1) for processing a substrate (W), the apparatus (1) comprising: (see translation page 2) a chamber (7) having a processing space for processing a substrate (W; see translation page 2) a support unit (5) disposed in the processing space and for supporting the substrate (W; see translation page 2) a nozzle (31) for discharging a treatment solution onto the substrate (W) when processing the substrate (W; see translation page 2) a liquid supply unit (11) for supplying the nozzle (31) with the treatment solution (see translation page 2) wherein the liquid supply unit (11) includes: a liquid supply source (61) for supplying the treatment solution (see translation page 3) a supply line (15-18) connected between the liquid supply source (61) and the nozzle 31 (see Figure 8) a supply valve (41) installed on the supply line (15-18) and opening and closing a passage of the supply line 15-18 (see Figure 10 a-d) a discharge line (77) connected to the supply line (15-18) downstream of the supply valve (41) and discharging the treatment solution from the supply line 15-18 (see translation page 15) a drain valve (46) installed on the discharge line (77) and opening and closing a passage of the discharge line 77 (see translation page 15) Regarding claim 2, Ogura discloses: wherein the discharge line (77) is connected to the supply line (15-18) so as to extend downwardly from the supply line 15-18 (see annotated figure above) Regarding claim 3, Ogura discloses: wherein the drain valve (46) is disposed at a lower position than the supply valve 41 (see annotated figure above) Regarding claim 4, Ogura discloses: wherein the liquid supply unit (11) further includes an intermediate valve (42) that is installed in the supply line (15-18), the intermediate valve (42) is installed downstream of the supply valve 41 (see translation page 8) Regarding claim 5, Ogura discloses: a controller (65) for controlling the supply valve (41), the drain valve (46), and the intermediate valve (42), wherein the controller (65) controls the intermediate valve (42) and the supply valve (41) such that the intermediate valve (42) is set to a closed state before the supply valve (41) is set from an open state to a closed state (see translation pages 7-8) Regarding claim 6, Ogura discloses: wherein the intermediate valve (42) is disposed at a lower position than the supply valve 41 (see annotated figure above) Regarding claim 8, Ogura discloses: wherein the supply line (15-18) includes: a first line (15) in which the supply valve (41) is installed a second line (16) extending from the first line (15) and positioned lower than the first line (15), and the discharge line (77) is connected to the second line 16 (see annotated figure above) Regarding claim 9, Ogura discloses: wherein the supply line (15-18) further includes a third line (18) connected upwardly from the second line (16) and connected with the nozzle (31), and a top end (14) of the third line (18) is higher than a top end of the first line (15) and a top end of the second line 16 (see annotated figure above) Regarding claim 10, Ogura discloses: a controller (65) for controlling the supply valve (41) and the drain valve (46), wherein when, in the supply line (15-18), the supply line (15-18) is in a closed state and the drain valve (46) is in an open state by the controller (65), an upstream side of the supply valve (41) is sealed and a downstream side of the supply valve (41) is exposed to lower pressure to cause the treatment solution to be drained by free fall (see translation pages 15, 16) Further regarding atmospheric pressure, a recitation with respect to the manner in which a claimed apparatus intended to be employed does not differentiate the claimed apparatus rom a prior art apparatus satisfying the claimed structural limitations. Regarding claim 20, Ogura discloses: An apparatus (1) for processing a substrate (W), the apparatus (1) comprising: (see translation page 2) a chamber (7) having a processing space for processing a substrate (W; see translation page 2) a support unit (5) disposed in the processing space and for supporting the substrate (W; see translation page 2) a nozzle (31) for discharging a treatment solution onto the substrate (W) when processing the substrate (W; see translation page 2) a liquid supply unit (11) for supplying the nozzle (31) with the treatment solution, wherein the liquid supply unit (11) includes: (see translation page 2) a liquid supply source (61) for supplying the treatment solution (see translation page 3) a supply line (15-18) connected between the liquid supply source (61) and the nozzle 31 (see Figure 8) a supply valve (41) installed on the supply line (15-18) and opening and closing a passage of the supply line 15-18 (See Figures 10 a-d) a first discharge line (see annotated figure above) connected to the supply line (15-18), the first discharge line (see annotated figure above) connected downstream of the supply valve (41), and connected with a drain port (see annotated figure above) for discharging the treatment solution, and connected downwardly from the supply line 15-18 (see translation page 15) a second discharge line (75) connected to the drain port (see annotated figure above) to be connected with the first discharge line (see annotated figure above), and discharging the treatment solution through the first discharge line (see annotated figure above), and connected downwardly from the first discharge line (see annotated figure above) a drain valve (46) installed in the first discharge line (see annotated figure above), opening and closing a passage of the first discharge line (see annotated figure above), and disposed at a position lower than the supply valve 41 (see translation page 15) an intermediate valve (42) installed in the supply line (15-18), the intermediate valve (42) installed downstream of the supply valve (41), and set to a closed state before the supply valve (41) is set from an open state to a closed state, and disposed at a lower position than the supply valve 41 (see annotated figure above; see translation page 15) the supply line (15-18) includes: a first line (15) in which the supply valve (41) is installed (see Figure 8) a second line (16) extending from the first line (15) and positioned lower than the first line (15), and connected with the first discharge line (see annotated figure above) a third line (18) extending upwardly from the second line (16) and connected to the nozzle (31), and having a top end (14) higher than a top end of the first line (15) and a top end of the second line 16 (see annotated figure above) Claim Rejections - 35 USC § 103 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. 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. Claim(s) 7 and 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Ogura in view of Nakamizo et al. (U.S. 2018/0308730). Regarding claims 7 and 11, Ogura discloses the invention as essentially claimed and further discloses wherein the supply valve (41) is a diaphragm valve. Ogura fails to disclose wherein the intermediate valve is a diaphragm valve of which opening and closing of a disk is controlled by a solenoid; wherein the supply valve and the drain valve are diaphragm valves of which opening and closing of a disk is controlled by a solenoid. Ogura Figure 3 teaches a valve is a diaphragm valve (see Figure 3). It would have been obvious to one of ordinary skill in the art at the time the invention as effectively filed to have modified Ogura to provide wherein the intermediate valve and the drain valve are diaphragm valves, as taught by Ogura Figure 3. Doing so would provide leak-tight valves. Nakamizo teaches a substrate processing apparatus comprising a liquid supply unit wherein a valve is controlled by a solenoid (see paragraph 0058). It would have been obvious to one of ordinary skill in the art at the time the invention was effectively filed to have modified Ogura to provide wherein the intermediate valve is controlled by a solenoid; wherein the supply valve and the drain valve are controlled by a solenoid, as taught by Nakamizo. Doing so would provide increased accuracy and reliability. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Yamashita et al. (U.S. 2022/0301880) discloses an apparatus for processing a substrate comprising a chamber; a support unit; a nozzle; a liquid supply unit comprising a supply source; a supply line and valve; a discharge line and drain valve. Any inquiry concerning this communication or earlier communications from the examiner should be directed to KELSEY E CARY whose telephone number is (571)272-9427. The examiner can normally be reached Monday-Friday 9:30am-5:30pm. 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 supervisors, Craig Schneider can be reached at (571)-272-3607 or Kenneth Rinehart can be reached at 571-272-4881.. 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. /KELSEY E CARY/Primary Examiner, Art Unit 3753
Read full office action

Prosecution Timeline

Nov 07, 2024
Application Filed
Jan 07, 2026
Non-Final Rejection — §102, §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12584479
VALVE COMPONENT
2y 5m to grant Granted Mar 24, 2026
Patent 12585295
SOLENOID PROPORTIONAL RELIEF VALVE
2y 5m to grant Granted Mar 24, 2026
Patent 12571413
SERVOVALVE
2y 5m to grant Granted Mar 10, 2026
Patent 12565938
SWITCHING VALVE
2y 5m to grant Granted Mar 03, 2026
Patent 12565892
HERMETIC TYPE COMPRESSOR
2y 5m to grant Granted Mar 03, 2026
Study what changed to get past this examiner. Based on 5 most recent grants.

AI Strategy Recommendation

Get an AI-powered prosecution strategy using examiner precedents, rejection analysis, and claim mapping.
Powered by AI — typically takes 5-10 seconds

Prosecution Projections

1-2
Expected OA Rounds
75%
Grant Probability
99%
With Interview (+25.1%)
2y 5m
Median Time to Grant
Low
PTA Risk
Based on 532 resolved cases by this examiner. Grant probability derived from career allow rate.

Sign in with your work email

Enter your email to receive a magic link. No password needed.

Personal email addresses (Gmail, Yahoo, etc.) are not accepted.

Free tier: 3 strategy analyses per month