Prosecution Insights
Last updated: April 19, 2026
Application No. 18/287,996

FRAME SYSTEM FOR HOLDING A SUBSTRATE

Non-Final OA §102§112
Filed
Oct 23, 2023
Examiner
OSTERHOUT, BENJAMIN LEE
Art Unit
1711
Tech Center
1700 — Chemical & Materials Engineering
Assignee
LAM RESEARCH SALZBURG GMBH
OA Round
1 (Non-Final)
82%
Grant Probability
Favorable
1-2
OA Rounds
3y 0m
To Grant
58%
With Interview

Examiner Intelligence

Grants 82% — above average
82%
Career Allow Rate
824 granted / 1011 resolved
+16.5% vs TC avg
Minimal -23% lift
Without
With
+-23.3%
Interview Lift
resolved cases with interview
Typical timeline
3y 0m
Avg Prosecution
20 currently pending
Career history
1031
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
39.5%
-0.5% vs TC avg
§102
24.9%
-15.1% vs TC avg
§112
26.3%
-13.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1011 resolved cases

Office Action

§102 §112
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 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 appl icant regards as his invention. Claim s 9- 11 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. Regarding claim 9, claim 9 recites the limitation "the fingertip" in line 3. There is insufficient antecedent basis for this limitation in the claim. Regarding claims 10 and 11, the term “preferably” in claims 10 and 11 renders the claim indefinite as Examiner is unsure if the limitations after said term are required or merely optional , and at the very least for the purposes of Examination be treated as optional . 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- 7, 9-10, and 12-16 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by WO 2015158390 to Br ü ning et al. ( Brüning ) . Regarding claim 1, Brüning discloses a frame system for holding a substrate (see Abstract; Figs. 1A-2C, generally) during a chemical and/or electrolytic surface treatment (paragraphs 1-3) of the substrate (Fig. 1A, part 101) , comprising: a frame element (Fig. 1A -1D , part 160) , and several finger units (Figs. 1A-2C, parts 120) arranged at the frame element (Figs. 1A-2C, part 160) , wherein the frame element (Figs. 1A-2C, part 160) is configured to at least partially surround lateral edges of the substrate (Figs. 1A-2C, part 1 01 ) and to spare at least a first surface or a second surface of the substrate to be accessible for the surface treatment ( see Figs. 1A-2C, generally ) , wherein each finger unit (Figs. 1A-2C, part 120 ) comprises a first finger (Fig . 2C, part 125/125a) and a second finger (Figs. 2A-2C, part 124 ) , wherein the first finger (Fig. 2C, part 125/125a) is configured to contact the first surface (Fig. 2C, part 103) of the substrate (Fig. 2C, part 101) and the second finger (Figs. 2A-2C, part 124) is configured to contact the second surface (Fig. 2C, part 102) of the substrate (Fig. 2C, part 101) opposite to the first surface of the substrate, and wherein the first finger (Fig. 2C, part 125/125a) is movable relative to the frame element (Fig. 1A-1D, part 160) to clamp the substrate between the first finger and the second finger (Fig. 2C, parts 125/125a, 124, 101, and 120; paragraph 34) . Regarding claim 2, Brüning discloses wherein the second finger is unmovable (Fig. 2C, part 124, unmovable relative to the first finger part 125/125a) . Regarding claim 3, Brüning discloses wherein the second finger is movable relative to the frame element ( paragraph 34; Fig. 2A-2C, parts 123/124, movable relatively to the frame part Fig. 1D, part 160) Regarding claim 4 , Brüning discloses wherein the several finger units are distributed along the frame element with distances between adjacent finger units (Fig. 1B-1D, parts 120) . Regarding claim 5, Brüning discloses further comprising an actuation unit configured to move the first finger between an open position for receiving and/or releasing the substrate and a closed position for holding the substrate (paragraph 34; Fig. 2C, generally) . Regarding claim 6, Brüning discloses further comprising a pretension unit configured to keep the first finger in a rest position, which is the closed position (paragraph 37) . Regarding claim 7, Brüning discloses wherein the first finger and/or the second finger comprise an elastic fingertip element to contact the substrate (paragraph 34, rubber like part; Fig. 2C, part 125a) . Regarding claim 9 , one of ordinary skill in the art envisage s wherein the finger units, the first finger, the second finger and/or a fingertip are exchangeable /replaceable should maintenance be required thereof (see also, paragraphs 25, 27, and 32) . Regarding claim 10, Brüning discloses wherein an outer edge of the frame element is pointed (see at corners, Fig. 1A-1D, part 160) Regarding claim 12, Brüning does not teach that the frame elements and/or finger units have an undercut (see Fig. 1A-1D, parts 160 and 120). Regarding claim 13, one of ordinary skill in the art realizes that in the balance all materials are hydrophobic or hydrophilic, therefore one of ordinary skill realizes that the frame element and/or the finger units are hydrophobic or hydrophilic. Regarding claim 14, Brüning discloses c omprising only one or two finger units per 500 mm length of substrate (paragraph 27). Regarding claim 1 5 , Brüning discloses wherein the frame element further comprises at least one resting unit arranged at a bottom edge of the frame element and configured to support the substrate (Fig. 1D, part 151). Regarding claim 16, Brüning discloses comprising only one unitary frame element (paragraphs 48-49; Fig. 1A-1D, 4). Allowable Subject Matter Claim 8 is objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Claim 11 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. The closest prior art of record is that of WO 2015158390 to Brüning et al. (Brüning) . The prior art to Brüning fails to disclose the limitations of claims 8 and 11, depending upon claim 1, claiming wherein at least one of the finger units comprises an electrically conductive grounding path for an electrical grounding of the substrate or wherein the frame element and/or the finger units comprise a fluid guiding system configured to guide a fluid away from the substrate, preferably in a direction to the bottom of the frame system , respectively. The advantage of the current invention over that of Brüning is that of the grounding configuration and fluid guiding configuration wherein this minimizes electrostatic charging or reintroducing contaminated fluid to the substrate, respectively, thereby preventing damage to a substrate thereof. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT BENJAMIN LEE OSTERHOUT whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (571)270-7379 . The examiner can normally be reached FILLIN "Work Schedule?" \* MERGEFORMAT 9:00am-5:00pm . 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, FILLIN "SPE Name?" \* MERGEFORMAT Michael Barr can be reached at FILLIN "SPE Phone?" \* MERGEFORMAT 571-272-1414 . 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. FILLIN "Examiner Stamp" \* MERGEFORMAT BENJAMIN LEE OSTERHOUT Primary Examiner Art Unit 1711 /BENJAMIN L OSTERHOUT/ Primary Examiner, Art Unit 1711
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Prosecution Timeline

Oct 23, 2023
Application Filed
Mar 16, 2026
Non-Final Rejection — §102, §112 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
82%
Grant Probability
58%
With Interview (-23.3%)
3y 0m
Median Time to Grant
Low
PTA Risk
Based on 1011 resolved cases by this examiner. Grant probability derived from career allow rate.

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