DETAILED ACTION
Response to Arguments
Applicant's arguments, see pages 8-11, filed December 30, 2025, with respect to the 35 USC 103 rejection of Claims 1-6 and 9-10, have been fully considered but they are not persuasive:
Applicant has amended independent Claim 1 to recite two new features directed to:
The “positioning unit including a positioning member configured to be capable of contacting an end surface of the substrate and configured to position the substrate by abutting the positioning member on an end surface of the substrate supported by the plurality of support pins at a positioning position separated upward from the suction pad contact position”
The “suction pad configured to come into to come into contact with a peripheral portion of the substrate, which descends as the plurality of support pins are moved down, at a pad contact position located above the mounting surface and to contract in conjunction with further descent of the substrate”.
Applicant has amended independent method Claim 10 to include similar limitations that are presented within the method steps of this claim.
Applicant argues that neither JP ‘980 nor JP ‘197 teach or suggest these newly added claimed features. However, these arguments fail for the following reasons:
With regard to the new feature directed to the positioning unit/member, Applicant cites step “S108” in Fig. 9 of JP ‘197, and argues that the positioning member/alignment pin (21) is located at the contact position and not “at a positioning position separated upward from the pad contact position” (see Applicant’s Response, page 10). However, a review of steps S108 and S109 of Fig. 9 of JP ‘197, and its corresponding disclosure (see paragraphs [0029]-[0030]), shows that the positioning member/alignment pin is located at (H2), which is defined as a “temporary pressing height” that is above the pad contact position (H1). Paragraph [0030] confirms that temporary pressing height (H2) is located above the contact position (H1):
When the provisional pressing of the substrate S is completed, the air supply unit 112 starts air blowing from the vent hole of stage 11 to the lower surface of the substrate S and placement surface 110 (step S107). As a result, the lower surface of the substrate S is slightly away from the placement surface 110, and the frictional force between the lower surface of the substrate S and the placement surface 110 is reduced. In step S108, each alignment pin 21 is moved to the contact position P1, and the position of the substrate S on the placement surface 110 is adjusted (position adjustment processing). When the position adjustment process is completed [at position H2 and P1, as shown in step S108 of Fig. 9]), the four pressing members 31 descend to the full pressing pressure H1 (step S109).
(Emphasis added in underlining and [ ].) Moreover, step S108 of Fig. 9 clearly shows that the top of positioning member/alignment pin 21 is at H2, while step S109 shows the top of positioning member/alignment pin 21 above H1, thereby showing that H2 is above H1. In addition, JP ‘197, Fig. 9 also shows that the additional pressing member 31 descends from an evacuation height H3 to the temporary pressing height H2 during step S202 and presses on the peripheral portion of the substrate S, on which warpage has occurred against the placement surface 110, and warpage is corrected somewhat ([0029]). As such, it is clear that both positioning members (21) and (31) press against the substrate at the temporary pressing height H2, which is a “positioning position separated upward from the pad contact position” (i.e., the pad contact position is at position H1, which is below the temporary pressing height H2), as now recited in Claim 1.
With further regard to the new feature directed to the positioning unit/member abutting the end surface of the substrate at a positioning position that is separated upward from the contact position, JP 2006-073931 (“JP ‘931”; cited by Applicant in the October 27, 2025 IDS) discloses that it is well-known to bring an alignment pin (148, 150, Figs. 5-16) into contact with an end of a substrate (G) that is being supported on lift pins (132) at a position separated upward (i.e., above) from the mounting surface (Figs. 12-13).
With regard to the new feature directed to “positioning position separated upward from the suction pad contact position”, the rejection is being modified to now use JP 2020-088181, as provided by Applicant in the October 27, 2026 IDS.
For at least the reasons provided above, the 35 USC 103 rejection of Claims 1-6 and 9-10 is maintained.
However, Applicant’s amendment of Claim 1 has introduced a new 35 USC 112(b) rejection, as shown below.
New Claims 11-13 are allowable.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claims 1-9 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention.
Claim 1 recites, “A substrate holding device comprising:
a mounting table having a mounting surface on which a substrate is to be mounted;
an up-down unit including a plurality of support pins capable of supporting the substrate from below and configured to mount the substrate on the mounting surface by moving down a plurality of support pins supporting the substrate from below;
a suction pad configured to come into to come into contact with a peripheral portion of the substrate, which descends as the plurality of support pins are moved down, at a pad contact position located above the mounting surface and to contract in conjunction with further descent of the substrate, and configured to suck and hold a peripheral part of the substrate from below;
a positioning unit including a positioning member configured to be capable of contacting an end surface of the substrate and configured to position the substrate by abutting the positioning member on an end surface of the substrate supported by the plurality of support pins at a positioning position separated upward from the pad contact position; and
a controller configured to control the up-down unit, the suction pad , and the positioning unit so as to cause the up-down unit to mount the substrate on the mounting surface and to cause the suction pad to hold the substrate under suction while the substrate is positioned by the positioning unit.”
Claim 1 is indefinite because of the duplicative phrase “to come into” as shown above in the “suction pad” limitation.
Claims 2-9 are also rejected under 35 USC 112(b) because of their dependence on Claim 1.
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 1-6 and 9-10 are rejected under 35 U.S.C. 103 as being unpatentable over JP 2013-192980 (“JP ‘980”; cited by Applicant) in view of JP 2020-088181 (“JP ‘181”; cited by Applicant in the October 27, 2025 IDS), and JP 2017-112197 (“JP ‘197”; cited by Applicant).
JP ‘980 discloses a substrate holding device, a substrate processing apparatus, and substrate holding method (Figs. 1-9, [0020]-[0043]; see also Applicant’s admission on pages 1-3 that this reference teaches a substrate holding device, a substrate processing apparatus, and substrate holding method) that includes:
a mounting table (11, Figs. 1-5, 8-9, [0020]-[0023]) having a mounting surface on which a substrate (100) is to be mounted (Figs. 1-2);
an up-down unit configured to mount the substrate on the mounting surface by moving down a plurality of support pins supporting the substrate from below ([0020]);
a suction unit/pad (41, 42, Figs. 3-5, [0026[-[0029]) configured to suck and hold a peripheral part of the substrate from below using a suction pad (41, Figs. 3-5) ; and
a controller (51, Fig. 7, [0032]-[0033]) configured to control the up-down unit and the suction unit so as to cause the up-down unit to mount the substrate on the mounting surface and to cause the suction unit to hold the substrate under suction;
a slit nozzle (13, Figs. 1-2, 4, 8-9) configured to apply a processing liquid to a surface of the substrate by moving relative to the substrate in a horizontal direction while the substrate is mounted on the mounting surface and is held under suction on the mounting table by the suction pad (Fogs. 8-9, [0022]-[0023]); and
the method for holding a substrate includes (a) sucking and holding a substrate on a mounting surface of a mounting table using a suction pad of a suction unit (Figs. 8-9).
While JP ‘980 discloses a suction unit/pads that hold(s) a peripheral part of the substrate from below, the suction unit/pads of JP ‘980 fail(s) to teach suction pads which descends as the plurality of support pins are moved down. JP ‘181 discloses a substrate holding device, a substrate processing apparatus, and substrate holding method (Figs. 1-9, [0012]-[0050]) that includes a mounting table (2, Figs. 7-9, [0038]-[0044]) having a mounting surface on which a substrate (S) is to be mounted (Fig. 9c), an up-down unit having a plurality of pins (32, Figs. 7-9) that support the substrate from below, suction pads (41, Figs. 7-9) that come into contact with a peripheral portion of the substrate (Fig. 9), the suction pads descending as the plurality of support pins are moved down (Figs. 9a-9c), at a pad contact position located above the mounting surface (suction pad (41) extends a height (h) above the mounting surface P1, as shown in Figs. 9a-9c and as described in paragraphs [0039], [0040], and [0042]), and to contract in conjunction with further descent of the substrate (suction pad (41) contracts as shown in Figs. 9b to 9c and described in paragraph [0042]), and the suction unit/pad being configured to suck and hold a peripheral part of the substrate from below (Fig. 9c). It would have been obvious to one of ordinary skill in the art, before the effective filing date of Applicant’s invention, to position the suction unit/pads of JP ‘980 above the mounting surface because it would provide additional points located on the edge of the substrate that make contact before the substrate is completely lowered to the mounting surface and further allow the suction unit/pads to begin to pull on the peripheral edges of the substrate as it is being lowered, thereby beginning the process of removing any warpage that may be present on the edges of the substrate while also securing the substrate in place during the final stages of the lowering process of the substrate, as shown and described by JP ‘181 (Figs. 9a-9c, [0038]-[0042]).
JP ‘980 fails to teach a positioning unit. JP ‘197 discloses a substrate holding device and substrate holding method (Figs. 1-14, [0011]-[0088} that includes a mounting table/surface (11, Figs. 1, 14, [0013]), an up-down unit for moving pins up and down (12, 112, [0014]), a controller (10, Figs. 2, [0012]), a positioning unit (2) configured to position the substrate by abutting on an end surface of the substrate supported by the plurality of support pins at a positioning position separated upward from the suction pad (Figs. 1, 3-5, 8-9, [0015]-[0017]), the positioning unit including a positioning member (21) that abuts an end surface of the substrate at a positioning position (H2, Figs. 9, steps S202 and S108) that is separated upward from the contact position (H1, Fig. 9, step S109), and a pressure unit (3) from which pressure is applicable from above to the peripheral part of the substrate supported by the plurality of support pins in the positioning position (Figs. 1, 3-5, 8-9, [0018]-[0026)). Applicant further admits that JP ‘197 teaches all of the features of the positioning unit and pressure unit; See pages 2-3, and 8-9 of the Specification of the present Application, the latter pages where Applicant states:
“In the present embodiment, the positioning unit and the pressure unit are provided by employing configurations similar to the position adjusting mechanism and the pressure mechanism shown in Japanese Patent Application Laid-Open No. 2017-112197. Thus in the following, detailed descriptions of the configurations of the positioning unit 8 and the pressure unit 9 will be omitted and the configurations of these units will be described briefly by referring to Figs 2 and 3."
In view of this admission, JP ‘197 discloses the following features of Claims 3-6 and 10:
Claim 3 - an abutment region where the positioning unit abuts on the end surface of the substrate and a pressure region where the pressure unit applies pressure to the peripheral part of the substrate differ from each other in a peripheral direction of the substrate (Figs. 1, 3-5, 9, [0015]- [0026].
Claim 4 - the controller (10) is configured to control the positioning unit (2) and the pressure unit (3) so as to cause the positioning unit to abut on the end surface of the substrate to position the substrate while causing the pressure unit to keep applying pressure to the peripheral part of the substrate (Figs. 3-9, [0027]-[0039])
Claim 5 -the controller is configured to control the positioning unit and the up-down unit so as to cause the positioning unit to move farther from the end surface of the substrate after positioning of the substrate and to cause the up-down unit to move down the plurality of support pins to mount the substrate on the mounting surface (Figs. 3-9, [0027]-[0039]).
Claim 6 - the controller is configured to control the pressure unit so as to cause the pressure unit to move down together with downward movement of the plurality of support pins to sandwich the peripheral part of the substrate mounted on the mounting surface between the pressure unit and the mounting surface (Figs. 3-9, [0027]-[0039]).
Claim 10 – the substrate holding method including positioning the substrate above the mounting surface and the suction pad by causing a positioning member to abut on an end surface of the substrate while supporting the substrate from below using a plurality of support pins (Figs. 3-9, [0027]-[0039]).
It would have been obvious to one of ordinary skill in the art, before the effective filing date of Applicant’s invention, to modify the JP ‘980/JP ‘181 substrate holding apparatus and method to include a positioning unit and pressure unit because the addition of these units will assist in suppressing the influence of warp of a substrate on position adjustment of a substrate on a mounting table, as taught by JP ‘197 ([0005]-[0009]). It would have been obvious to one of ordinary skill in the art, before the effective filing date of Applicant’s invention, to modify the JP ‘980/JP ‘181 substrate holding apparatus and method to provide the positioning unit/member as abutting the edge of the substrate to position the substrate at a location above the mounting position, with this positioning position also being the point where the suction unit/pads make first contact with the substrate without being under a negative pressure (see paragraphs [0039] and [0042] of JP ‘181) because this sequence of operations will allow the substrate to also be supported by the suction unit/pads without the presence of a negative pressure, as taught by JP ‘181, thereby allowing a more secure way to reposition the substrate (since there would be more contact points) and also prevent the generation of dust, which is a concern as noted by Applicant:
“Simply combining the invention shown in Japanese Patent Application Laid-Open No. 2013-192980 and the invention shown in Japanese Patent Application Laid-Open No. 2017-112197 described above causes a problem as follows. During the positioning process described above, each suction cup is in contact with the substrate. Hence, the substrate rubs against the suction cup when the substrate is moved horizontally by the alignment pins. This horizontal movement causes dust generation from the suction cup and wear of the suction cup, leading to quality reduction in the substrate process.”
(Emphasis added; See page 3 of the Specification of the present Application.)
Allowable Subject Matter
Claims 7-8 would be allowable if rewritten to overcome the rejection(s) under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), 2nd paragraph, set forth in this Office action and to include all of the limitations of the base claim and any intervening claims.
Claims 11-13 are allowed.
Conclusion
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/LYNN E SCHWENNING/Primary Examiner, Art Unit 3652
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