Prosecution Insights
Last updated: April 19, 2026
Application No. 18/461,215

ENDOTRACHEAL TUBE RETAINER

Non-Final OA §102§103
Filed
Sep 05, 2023
Examiner
RHEE, KELSEY
Art Unit
3785
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Wichita State University
OA Round
1 (Non-Final)
28%
Grant Probability
At Risk
1-2
OA Rounds
3y 2m
To Grant
72%
With Interview

Examiner Intelligence

Grants only 28% of cases
28%
Career Allow Rate
7 granted / 25 resolved
-42.0% vs TC avg
Strong +44% interview lift
Without
With
+43.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
26 currently pending
Career history
51
Total Applications
across all art units

Statute-Specific Performance

§101
5.4%
-34.6% vs TC avg
§103
48.5%
+8.5% vs TC avg
§102
22.3%
-17.7% vs TC avg
§112
22.0%
-18.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 25 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. Priority Acknowledgement is made to Applicant's claim to priority to PCT/US2022/020972 filed 3/18/2022 and U.S. Provisional App. No. 63/162,880. Claim Objections Claim 11 is objected to because of the following informalities: Claim 11 reads “The method of claim 9” in line 1. This should read --The method of claim 10--. Appropriate correction is required. Claim Rejections - 35 USC § 102 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. 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) 1-4 and 12-16 is/are rejected under 35 U.S.C. 102 (a)(1) as being anticipated b y Phillips et al. (US 20140261441 A1), hereafter Phillips . Regarding claim 1, Phillips discloses an endotracheal tube retainer for retaining an endotracheal tube in an intubated position on a subject (ET tube retention system 20; Fig. 44, par. 0155) , the endotracheal tube retainer comprising a clip (stationary clip 120; Fig. 35-44) configured to be supported on a head of a subject such that the clip is spaced apart in front of a mouth of the subject (Fig. 44 shows clip spaced apart in front of the mouth of subject; par. 0159) , the clip being repeatably adjustable between an open configuration and a closed configuration (Figs. 35 and 39 show an open and closed configuration; fastening portions 50 and 52 removably couple, par. 0205) , the clip in the closed configuration defining a tube retention channel (curved inner contours 126 and 128 define a tube retention channel; Fig. 35-36, 39) , the clip in the closed configuration being configured to receive the endotracheal tube in the tube retention channel such that the clip grips a longitudinal segment of the endotracheal tube to retain the endotracheal tube in substantially fixed relation with respect to the clip (clip 120 clamps down on the ET tube in a substantially immovable manner; par. 39-40, par. 0155) , the clip in the open configuration being configured to release the endotracheal tube such that the endotracheal tube is movable relative to the clip (open configuration in Fig. 35-36 would allow for movement of the ET tube) . Regarding claim 2, Phillips discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip is adjustable from the closed configuration to the open configuration by a one-handed operation (clip is releasably fastened by clasp 50 and 52 which would be capable of being opened with one hand; Fig. 35-41, par. 0205 ) . Regarding claim 3, Phillips discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip is adjustable from the open configuration to the closed configuration by a one-handed operation (Fig. 36 shows that clasp 50, 52 could be closed with one hand). Regarding claim 4, Phillips discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip comprises a fastener (clasp 50, 52; Fig. 36) configured to releasably retain the clip in the closed configuration (clasp 50, 52 holds the two parts 38, 40 together; Fig. 36, par. 0156) , the fastener being releasable by a one-handed operation (clasp 50, 52 is removably coupled, par. 0205; clasp 50, 52, as shown in Fig. 36, would be capable of being opened with one hand) . Regarding claim 12, Phillips discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip comprises a first portion (second part 40; Fig. 35-36, par. 0156) and a second portion (first part 38; Fig. 35-36, par. 0156) movable with respect to the first portion between an open position and a closed position (Fig. 35 and 41 show open and closed position of first part 38) to adjust the clip from the open configuration to the closed configuration (Fig. 35 and 41 show open and closed position of clip 120) . Regarding claim 13, Phillips discloses the endotracheal tube retainer of claim 12 (shown above) , wherein each of the first portion and the second portion comprises a first longitudinal edge margin (front left edge of second part 40 and first part 38; Fig. 35) and a second longitudinal edge margin (right back edge of second part 40 and first part 38; Fig. 35) , wherein when the second portion is in the closed position, the first longitudinal edge margins of the first and second portions engage one another at a first longitudinal edge interface (front left edges engage in the closed position; Fig. 39) and the second longitudinal edge margins of the first and second portions engage one another at a second longitudinal edge interface (right back edges engage in the closed position; Fig. 39) , the tube retention channel being spaced apart between the first and second longitudinal edge interfaces (ET tube 22 is retained in the channel between the front left edge and right back edge; Fig. 39) . Regarding claim 14, Phillips discloses the endotracheal tube retainer of claim 13 (shown above) , wherein the clip comprises a hinge portion connecting the first longitudinal edge margins of the first and second portions (hinge 48 connects left front edge and right back edge of clip 120; Fig. 35-36, par. 0156) and defining a hinge axis (axis running along hinge 48; Fig. 35) , the second portion being generally rotatable about the hinge axis with respect to the first portion between the open position and the closed position (first part 38 rotates about hinge 48 from open to closed positions seen in Fig. 35 and 39) . Regarding claim 15, Phillips discloses the endotracheal tube retainer of claim 13, (shown above) wherein the first and second portions of the clip comprise mutual latch elements (clasp 50, 52; Fig. 36) configured to latch together to releasably retain the second portion in the closed position (hook 52 engages groove 50 to hold parts 38 and 40 together; par. 0156) . Regarding claim 16, Phillips discloses the endotracheal tube retainer of claim 15 (shown above) , wherein the mutual latch elements are configured to snap together as the second portion of the clip moves from the open position to the closed position (hook 52 mates with groove 50 to hold parts 38, 40 together; Fig. 39, par. 0156) . Claim(s) 1, 5- 10 , 12-13, 15, 17-19, and 24 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Strong et al. (WO 2020061311 A1), hereafter Strong. Regarding claim 1, Strong discloses an endotracheal tube retainer for retaining an endotracheal tube in an intubated position on a subject (endotracheal tube stabilizer 100; Fig. 1, par. 015) , the endotracheal tube retainer comprising a clip configured to be supported on a head of a subject such that the clip is spaced apart in front of a mouth of the subject (tube cradle 112; Fig. 1, par. 018) , the clip being repeatably adjustable between an open configuration and a closed configuration (Fig. 1 and 4 show closed and open configurations; clip can be opened to adjust tube position, par. 052 ) , the clip in the closed configuration defining a tube retention channel (aperture 124; Fig. 2, par. 025) , the clip in the closed configuration being configured to receive the endotracheal tube in the tube retention channel such that the clip grips a longitudinal segment of the endotracheal tube to retain the endotracheal tube in substantially fixed relation with respect to the clip (aperture 124 adapted to receive and secure ET tube; Fig. 2, par. 025) , the clip in the open configuration being configured to release the endotracheal tube such that the endotracheal tube is movable relative to the clip (clip can be opened to move ET tube as needed; par. 052) . Regarding claim 5, Strong discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip has a longitudinal axis (axis of aperture 124; par. 028) , the clip being configured to retain the endotracheal tube in the tube retention channel such that the tube extends longitudinally through the tube retention channel generally along the longitudinal axis (ET tube is meant to be secured along aperture 124 in the same direction as the axis; Fig. 1-4, par. 035 ) . Regarding claim 6, Strong discloses the endotracheal tube retainer of claim 5 (shown above) , further comprising a stabilizer extension extending from the clip along the longitudinal axis (portion of 114 extending beyond 116 to the left; Fig. 1-2) . Regarding claim 7, Strong discloses the endotracheal tube retainer of claim 6 (shown above) , wherein said longitudinal segment of the endotracheal tube is a first longitudinal segment (segment of tube within aperture 124; Fig. 2) , wherein the stabilizer extension is configured to extend along a second longitudinal segment of the endotracheal tube spaced apart from the first longitudinal segment when the clip grips the first longitudinal segment of the endotracheal tube (segment of tube extending out the back of aperture 124 and along groove of 114; Fig. 1) . Regarding claim 8, Strong discloses the endotracheal tube retainer of claim 7 (shown above) , wherein the stabilizer extension is configured to extend in side-by-side relation with a first perimeter portion of the second longitudinal segment of the endotracheal tube (left portion of 114 extending beyond 116 extends along a bottom perimeter portion of the ET tube extending out of the aperture 124; Fig. 1-2) and to expose a second perimeter portion of the second longitudinal segment diametrically opposite the first perimeter portion (upper perimeter portion of ET tube would be exposed since the left end of 114 only runs along the bottom of the tube; Fig. 1) . Regarding claim 9, Strong discloses the endotracheal tube retainer of claim 8 (shown above) , wherein the stabilizer extension is configured to support and stabilize the endotracheal tube such that a user can manually press the second perimeter portion of the second longitudinal segment toward the stabilizer extension to hold the second longitudinal segment against the stabilizer extension (the stabilizer extension structure of Strong is capable of supporting and stabilizing the ET tube such that a user can press and hold a section of the ET tube against it; Fig. 1, 4) . Regarding claim 10, Strong discloses a method of adjusting an intubated endotracheal tube retained by the endotracheal tube retainer of claim 9 (par. 047, 050-052) , the method comprising: manually pressing a longitudinal segment of the endotracheal tube against the stabilizer extension to stabilize the endotracheal tube against the stabilizer extension (positioning the ET tube within concave portion 118; par. 047) ; while manually pressing the longitudinal segment of the endotracheal tube against the stabilizer extension, opening the clip (par. 051-052 discusses opening the clip while the ET tube is in the concave portion) ; after opening the clip, adjusting the endotracheal tube (clip can be opened to adjust positioning of the ET tube; par. 052) ; and after adjusting the endotracheal tube, closing the clip to retain the endotracheal tube in an adjusted position (after positioning ET tube, 114 and 116 are secured together to hold the ET tube; par. 047) . Regarding claim 12, Strong discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip comprises a first portion (first component 114; Fig. 1-4, par. 020) and a second portion (second component 116; Fig. 2-4, par. 020) movable with respect to the first portion between an open position and a closed position to adjust the clip from the open configuration to the closed configuration (Fig. 1-2 shows 116 in a closed position and Fig. 4 shows 116 in an open position) . Regarding claim 13, Strong discloses the endotracheal tube retainer of claim 12 (shown above) , wherein each of the first portion (first component 114) and the second portion (second component 116) comprises a first longitudinal edge margin (left edges of 114 and 116 as seen in Fig. 2) and a second longitudinal edge margin (right edges of 114 and 116 as seen in Fig. 2) , wherein when the second portion is in the closed position (Fig. 3 shows the closed position) , the first longitudinal edge margins of the first and second portions engage one another at a first longitudinal edge interface (left edges of 114 and 116 engage at a first longitudinal edge interface; Fig. 3) and the second longitudinal edge margins of the first and second portions engage one another at a second longitudinal edge interface (right edges of 114 and 116 engage at a second longitudinal edge interface; Fig. 3) , the tube retention channel being spaced apart between the first and second longitudinal edge interfaces (aperture 124 for holding tube is between the right and left edge interfaces; Fig. 3) . Regarding claim 15, Strong discloses the endotracheal tube retainer of claim 13 (shown above) , wherein the first and second portions of the clip comprise mutual latch elements configured to latch together to releasably retain the second portion in the closed position (post 130 and recess 132 engage to keep first and second components relatively fixed and can be released as necessary; Fig. 1-2, 4, par. 036-037, 047, 052) . Regarding claim 17, Strong discloses the endotracheal tube retainer of claim 15 (shown above) , wherein the second portion (second component 116) of the clip further comprises a secondary retention feature (tab 138 extends from at least one of 114 and 116 ; Fig. 1-2, 4, par. 044) and the clip further comprises a retention flap hingedly connected to the first portion of the clip (engagement element 134; Fig. 1-2, 4, par. 044) and configured to be selectively engaged with the secondary retention feature when the second portion is in the closed position such that the retention flap holds the second portion in the closed position ( engagement element 134 engages with tab 138 to secure 114 and 116 together; par. 044) . Regarding claim 18, Strong discloses the endotracheal tube retainer as set forth in claim 12 (shown above) , wherein each of the first portion comprises a first half-tube portion and the second portion comprises a second half- tube portion (concave portions 118 and 120 of first and second components 114 and 116 form two half-tubes; Fig. 2-4) , and in the closed configuration of the clip the first and second half-tube portions are brought together to form a generally tube-shaped body (Fig. 3 shows the half-tube portions brought together in a closed position to form a tube shaped body) . Regarding claim 19, Strong discloses the endotracheal tube retainer as set forth in claim 18 (shown above) , wherein the generally tube- shaped body comprises a generally cylindrical inner surface defining the tube retention channel and one or more gripping protrusions formed on the generally cylindrical inner surface (concave portions 118, 120 include elements 126 to enhance grip with the ET tube; Fig. 3, par. 029-031) . Regarding claim 24, Strong discloses the endotracheal tube retainer of claim 1 (shown above) , wherein the clip comprises a first fastener for releasably retaining the clip in the closed configuration (engagement element 134 and tab 138 engage to secure the clip 112; Fig. 1-2, 4, par. 044) and a second fastener for releasably retaining the clip in the closed configuration independently of the first fastener (post 130 and recess 132 are aligned to engage components 114 and 116; Fig. 1-2, 4, par. 036-037) . Claim(s) 1, 20, and 22-23 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Jockel et al. (US 20200222651 A1), hereafter Jockel. Regarding claim 1, Jockel discloses an endotracheal tube retainer for retaining an endotracheal tube in an intubated position on a subject (tube holder 34; Fig. 1, par. 0071) , the endotracheal tube retainer comprising a clip (body 56 and strap 70; Fig. 1, par. 0078-0079) configured to be supported on a head of a subject such that the clip is spaced apart in front of a mouth of the subject (device for holding and securing ET tube to a patient, par. 0071, as seen in Fig. 29) , the clip being repeatably adjustable between an open configuration and a closed configuration (Fig. 1-2 and 5-6 show an open and closed configuration; strap 70 can be engaged/disengaged to reposition; par. 0080) , the clip in the closed configuration defining a tube retention channel (body 56 and strap 70 form a channel for ET tube 31; Fig. 1) , the clip in the closed configuration being configured to receive the endotracheal tube in the tube retention channel such that the clip grips a longitudinal segment of the endotracheal tube to retain the endotracheal tube in substantially fixed relation with respect to the clip (body 56 and strap 70 form a channel for ET tube 31 wherein the inner surface of the strap 70 is textured to restrain the ET tube from movement; Fig. 1, par. 0079) , the clip in the open configuration being configured to release the endotracheal tube such that the endotracheal tube is movable relative to the clip (when in the open configuration seen in Fig. 2, tube 31 may be moved relative to 56 since strap 70 is not restraining the tube 31) . Regarding claim 20, Jockel discloses an endotracheal tube holder comprising (device 30 for holding and securing an ET tube; Fig. 1, par. 0071) : a support bar having a length and a middle portion along the length (elongated central beam 32; Fig. 1, par. 0071) , the support bar being configured to be attached to a head of a subject such that the support bar extends lengthwise in a generally ear-to-ear direction (beam 32 is attached via cheek plates 50 onto patient’s face; Fig. 1, 29, par. 0075) and the middle portion of the support bar is spaced apart in front of the mouth ( beam 32 is positioned along patient’s upper lip; par. 0071) ; a platform extending transversely from the middle portion of the support bar (rail 42; Fig. 1, par. 0072) ; and the endotracheal tube retainer as set forth in claim 1 supported on the platform (tube holder 34 is coupled to rail 42; Fig. 1, par. 0072) . Regarding claim 22, Jockel discloses the endotracheal tube holder as set forth in claim 20 (shown above) , wherein the endotracheal tube retainer is separately attached to the platform (tube holder 34 may be coupled or mounted onto rail 42; Fig. 1, par. 0072) . Regarding claim 23, Jockel discloses the endotracheal tube retainer of claim 1 (shown above) , further comprising a platform coupling (positioning member 46; Fig. 1, par. 0072) for attaching the endotracheal tube retainer to a platform of a separate endotracheal tube holder (positioning member 46 attaches tube holder 34 to rail 42 of device 30 for holding and securing a tube; Fig. 1, par. 0071-0072) . 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) 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Strong . Regarding claim 11, Strong discloses the method of claim 10 (shown above). Strong does not explicitly disclose wherein said manually pressing is conducted with only an individual's first hand and at least one of said opening and said closing is conducted with only the individual's second hand . However, it would have been obvious to one having ordinary skill in the art before the effective filing date of the invention to modify the method such that the manual pressing is conducted with one hand and the opening and closing is conducted with the other hand since during the operation of such an ET tube retainer, an individual is likely to have arrived at such a method for the purpose of keeping the ET tube stabilized while the clip is opened and closed since Strong teaches the ET tube is to be maintained at a relatively static position with respect to the patient (par. 051). Claim(s) 21 is/are rejected under 35 U.S.C. 103 as being unpatentable over Jockel. Regarding claim 21, Jockel discloses the endotracheal tube holder as set forth in claim 20 (shown above). Jockel does not disclose wherein the endotracheal tube retainer and the platform are integrally formed from a single piece of monolithic material . However, it would have been obvious to one having ordinary skill in the art before the effective filing date of the invention to modify the endotracheal tube holder of Jockel to make the endotracheal tube retainer and the platform integral as a matter of obvious design choice since Applicant seems to place no criticality on this feature through disclosure of an embodiment in which the components are separately attached. Jockel also discloses that the endotracheal tube retainer may be non-slidably mounted (par. 0072) which would allow for an integral construction. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT KELSEY RHEE whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (703)756-5954 . The examiner can normally be reached FILLIN "Work Schedule?" \* MERGEFORMAT Monday through Friday, 10:00 AM to 6:00 PM EST . 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 BRANDY LEE can be reached at FILLIN "SPE Phone?" \* MERGEFORMAT (571) 270-7410 . 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. /K.R./ Examiner, Art Unit 3785 /BRANDY S LEE/ Supervisory Patent Examiner, Art Unit 3785
Read full office action

Prosecution Timeline

Sep 05, 2023
Application Filed
Feb 21, 2026
Non-Final Rejection — §102, §103 (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
28%
Grant Probability
72%
With Interview (+43.9%)
3y 2m
Median Time to Grant
Low
PTA Risk
Based on 25 resolved cases by this examiner. Grant probability derived from career allow rate.

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