Prosecution Insights
Last updated: April 18, 2026
Application No. 18/564,870

DOUBLE-SIDE POLISHING APPARATUS AND DOUBLE-SIDE POLISHING METHOD FOR WORKPIECES

Non-Final OA §103
Filed
Nov 28, 2023
Examiner
CHANG, SUKWOO JAMES
Art Unit
3723
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Sumco Corporation
OA Round
1 (Non-Final)
57%
Grant Probability
Moderate
1-2
OA Rounds
2y 9m
To Grant
98%
With Interview

Examiner Intelligence

Grants 57% of resolved cases
57%
Career Allow Rate
59 granted / 104 resolved
-13.3% vs TC avg
Strong +41% interview lift
Without
With
+41.0%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
74 currently pending
Career history
178
Total Applications
across all art units

Statute-Specific Performance

§101
2.2%
-37.8% vs TC avg
§103
53.3%
+13.3% vs TC avg
§102
18.5%
-21.5% vs TC avg
§112
22.8%
-17.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 104 resolved cases

Office Action

§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. Information Disclosure Statement The information disclosure statement (IDS) submitted on 01/29/2024, 01/16/2025, 06/13/2025, and 03/20/2026 are in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. Drawings The drawings submitted on 11/28/2023 are being considered by the examiner. Claim Objections Claim 1 is objected to because of the following informalities: In claim 1, line 35 , the phrase may be amended as “ the computing section is configured to terminate s the double-side polishing …” in order to prevent the termination from being an intended use. Appropriate correction is required. 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 . Claims 1 , 3-8, and 10-14 are rejected under 35 U.S.C. 103 as being unpatentable over Kubota et al. (JP 2020015122A, cited on 01/29/2024 IDS, hereinafter Kubota), in view of Sato (WO 2017073265A1) and Takahashi et al. (CN 101006562A, hereinafter Takahashi) . Regarding claim 1, Kubota discloses a double-side polishing apparatus for workpieces (fig. 1, double-side polishing apparatus 1 ) , comprising: rotating plates including an upper plate and a lower plate, one of the upper plate and the lower plate having one or more monitoring holes that penetrate from an upper surface to a lower surface of the one of the upper plate and the lower plate; a sun gear provided at a center portion of the rotating plates; an internal gear provided at a peripheral portion of the rotating plates (Kubota English translation, p. 4:21-24, a rotary platen 4 [corresponds to the recited rotating plates] has an upper plate n 2 [corresponds to the recited upper plate] and a lower plate n 3 [corresponds to the recited lower plate] opposed thereto. A sun gear 5 is provided at a center of rotation of the rotary platen 4. An internal gear 6 is provided in an annular shape on an outer peripheral portion of the rotary platen 4; p. 5:8-23, the upper platen 2 is provided with one or more holes 10 penetrating from the upper surface of the upper platen 2 to the lower surface. The polishing apparatus 1 can measure thickness of a wafer from the one or more holes 10, thus the holes 10 are monitoring holes. Examiner notes that the English translation of Kubota presents platen, plate, or tool interchangeably for the recited upper/lower plate ) ; a carrier plate provided between the upper plate and the lower plate and having one or more wafer holding holes for holding a workpiece (Kubota English translation, p. 4:29-34 and fig. 2, a carrier plate 9 is provided between the upper plate 2 and the lower plate 3, and is provided with one or more holes 8 for holding a workpiece) ; one or more workpiece thickness measuring devices configured to measure a thickness of each workpiece through the one or more monitoring holes in real time during double-side polishing of the workpiece (Kubota English translation, p. 5:20-22, the polishing apparatus 1 can measure the thickness of the wafer in real time from the one or more holes 10 [correspond to the recited monitoring holes] while polishing the wafer on both sides) ; and a computing section configured to determine a timing of terminating the double-side polishing of the workpiece during the double-side polishing of the workpiece (Kubota English translation, p. 5:39-6:2, a calculation unit 13 [corresponds to the recited computing section] determines a timing to end the double-side polishing of the workpiece) , wherein the computing section is configured to perform: a first step of grouping thickness data of workpieces measured by the one or more workpiece thickness measuring device s , for each workpiece (Kubota English translation, p. 17:17-18, a first step of classifying workpiece thickness data measured by the workpiece thickness measuring device for each workpiece) ; a second step of extracting, for each workpiece, shape components of the workpiece from thickness data of the workpiece (Kubota English translation, p. 14:7-8, a second step of extracting a workpiece shape component from the thickness data for each workpiece) ; a third step of identifying, for each of the extracted shape components of the workpiece, a position on the workpiece in a workpiece radial direction at which the shape component is measured (Kubota English translation, p. 14:12-13, a third step of specifying the measured position in the workpiece radial direction for each of the extracted workpiece shape components) ; a fourth step of calculating a shape distribution of the workpiece from the identified positions on the workpiece in the workpiece radial direction and the shape components of the workpiece (Kubota English translation, p. 14:27-28, a fourth step of calculating a workpiece shape distribution from the specified workpiece radial position and the workpiece shape component) ; a fifth step of obtaining a shape index of the entire workpiece from the calculated shape distribution of the workpiece (Kubota English translation, p. 14:31-32, a fifth step of obtaining a workpiece shape index from the calculated workpiece shape distribution) ; and a sixth step of determining, as the timing of terminating the double-side polishing of the workpiece, a timing at which the shape index of the entire workpiece obtained for each workpiece is a set value of the shape index of the entire workpiece determined based on a difference between a target value of the shape index of the entire workpiece in a current batch and an actual value of the shape index of the entire workpiece in a preceding batch (Kubota English translation, p. 14:35-38, a sixth step of determining the timing to end the double-side polishing of the workpiece. The timing at which the calculated shape index of each workpiece becomes a set value of the workpiece shape index based on difference between a target value and an actual value of the workpiece shape index in the previous batch) , and the computing section is configured to terminate the double-side polishing of the workpiece at the determined timing of terminating the double-side polishing of the workpiece (Kubota English translation, p. 15:12-13, a seventh step of ending the double-side polishing at the timing when the double-side polishing is determined to end) . However, Kubota does not disclose, in the sixth step, the set value calculation considers shape of a peripheral portion of the workpiece. Sato teaches, in an analogous double-side polishing field of endeavor, shape of an outer peripheral portion of a wafer is associated with end point detection (Sato English translation, p. 8:19-20). The Kubota reference is a document from the same applicant of the instant application, and Kubota presents the double-side polishing termination calculation without considering the shape factor of the peripheral portion of the workpiece. Thus, applicant teaches the double-side polishing termination timing can be calculated without considering the shape factor of the peripheral portion of the workpiece. But Kubota can be combined with Sato to teach the shape factor of the peripheral portion of the workpiece can be considered for the polishing termination calculation. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the double-side polishing termination calculation to include the shape index of the peripheral portion of the workpiece as taught by Sato so that it may prevent the excessive polishing of the outer peripheral portion of the wafer (Sato English translation, p. 8:14-15). Kubota as modified by Sato still does not disclose the set value calculation includes a deviation of an actual value of a shape index of a peripheral portion of the workpiece in the preceding batch from a target range of the shape index of the peripheral portion of the workpiece in the current batch . Takahashi teaches, in an analogous polishing apparatus field of endeavor, the set value calculation includes a deviation of an actual value of a shape index of a peripheral portion of the workpiece in the preceding batch from a target range of the shape index of the peripheral portion of the workpiece in the current batch (Takahashi English translation, p. 30:7-22, polishing end point detection includes shape data of a peripheral portion of a wafer . Captured data [correspond to the recited actual value] of the peripheral portion of the wafer are compared with the reference data [correspond to the recited target range of the shape index]. The data include inclined angle and curvature of the peripheral portion of the wafer, thus they are the shape data, and the captured data are the data from a preceding batch . Takahashi teaches how the peripheral shape data of a workpiece can be used in determining the polishing end point ). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the double-side polishing termination calculation of Kubota as modified by Sato to include deviation of actual periphery shape data from the target range as taught by Takahashi so that the polishing can be stopped at an appropriate time without over-polishing the workpiece. Regarding claim 8, Kubota discloses a double-side polishing method for workpieces (Kubota English translation, p. 3:11-12, Kubota presents a double-side polishing method) , wherein a workpiece is held in a carrier plate having one or more wafer holding holes for holding the workpiece, the workpiece is sandwiched between rotating plates composed of an upper plate and a lower plate (Kubota English translation, p. 4:21-5:7 and 18:38-19:5 , a rotary platen 4 [corresponds to the recited rotating plates] has an upper platen 2 [corresponds to the recited upper plate] and a lower platen 3 [corresponds to the recited lower plate] opposed thereto. Polishing pads 7 are attached to the opposing surfaces of the upper platen 2 and the lower platen 3, and a wafer would be sa ndwiched between the upper platen and the lower platen. The wafer is held in the holes 8 of a carrier plate 9) , and rotation and revolution of the carrier plate are controlled by rotation of a sun gear provided at a center portion of the rotating plates and rotation of an internal gear provided at a peripheral portion of the rotating plates to thereby rotate the rotating plates and the carrier plate relative to each other and polish both sides of the workpiece simultaneously (Kubota English translation, p. 4:21-24 , 5:35-38, and 18:38-19:5, a sun gear 5 is provided at a center of rotation of the rotary platen 4. An internal gear 6 is provided in an annular shape on an outer peripheral portion of the rotary platen 4 . A control unit 12 is connected to a sun gear 5 and the internal gear 6. The rotation of the rotation plate and the rotation of the internal gear control the rotation and revolution of the carrier plate, thereby rotating the rotation plate and the carrier plate relatively in a method for the simultaneous double-side polishing) , one of the upper plate and the lower plate having one or more monitoring holes that penetrate from an upper surface to a lower surface of the one of the upper plate and the lower plate ( Kubota English translation, p. 5:8-23, the upper platen 2 is provided with one or more holes 10 penetrating from the upper surface of the upper platen 2 to the lower surface. The polishing apparatus 1 can measure thickness of a wafer from the one or more holes 10, thus the holes 10 are monitoring holes ) , the double-side polishing method for workpieces comprises, during double-side polishing of the workpiece a first step of grouping thickness data of workpieces measured by a workpiece thickness measuring device, for each workpiece (Kubota English translation, p. 17:17-18, a first step of classifying workpiece thickness data measured by the workpiece thickness measuring device for each workpiece); a second step of extracting, for each workpiece, shape components of the workpiece from thickness data of the workpiece (Kubota English translation, p. 14:7-8, a second step of extracting a workpiece shape component from the thickness data for each workpiece); a third step of identifying, for each of the extracted shape components of the workpiece, a position on the workpiece in a workpiece radial direction at which the shape component is measured (Kubota English translation, p. 14:12-13, a third step of specifying the measured position in the workpiece radial direction for each of the extracted workpiece shape components); a fourth step of calculating a shape distribution of the entire workpiece from the identified positions on the workpiece in the workpiece radial direction and the shape components of the workpiece (Kubota English translation, p. 14:27-28, a fourth step of calculating a workpiece shape distribution from the specified workpiece radial position and the workpiece shape component); a fifth step of obtaining a shape index of the workpiece from the calculated shape distribution of the workpiece (Kubota English translation, p. 14:31-32, a fifth step of obtaining a workpiece shape index from the calculated workpiece shape distribution); and a sixth step of determining, as a timing of terminating the double-side polishing of the workpiece, a timing at which the shape index of the entire workpiece obtained for each workpiece is a set value of the shape index of the entire workpiece determined based on a difference between a target value of the shape index of the entire workpiece in a current batch and an actual value of the shape index of the entire workpiece in a preceding batch (Kubota English translation, p. 14:35-38, a sixth step of determining the timing to end the double-side polishing of the workpiece. The timing at which the calculated shape index of each workpiece becomes a set value of the workpiece shape index based on difference between a target value and an actual value of the workpiece shape index in the previous batch), and the double-side polishing of the workpiece is terminated at the determined timing of terminating the double-side polishing of the workpiece (Kubota English translation, p. 15:12-13, the double-side polishing end s at the timing when the double-side polishing is determined to end). However, Kubota does not disclose, in the sixth step, the set value calculation considers shape of a peripheral portion of the workpiece. Sato teaches, in an analogous double-side polishing field of endeavor, shape of an outer peripheral portion of a wafer is associated with end point detection (Sato English translation, p. 8:19-20). The Kubota reference is the document from the same applicant of the instant application, and Kubota presents the double-side polishing termination calculation without considering the shape factor of the peripheral portion of the workpiece. Thus, applicant teaches the double-side polishing termination timing can be calculated without considering the shape factor of the peripheral portion of the workpiece. But Kubota can be combined with Sato to teach the shape factor of the peripheral portion of the workpiece can be considered for the polishing termination calculation. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the double-side polishing termination calculation to include the shape index of the peripheral portion of the workpiece as taught by Sato so that it may prevent the excessive polishing of the outer peripheral portion of the wafer (Sato English translation, p. 8:14-15). Kubota as modified by Sato still does not disclose the set value calculation includes a deviation of an actual value of a shape index of a peripheral portion of the workpiece in the preceding batch from a target range of the shape index of the peripheral portion of the workpiece in the current batch. Takahashi teaches, in an analogous polishing apparatus field of endeavor, the set value calculation includes a deviation of an actual value of a shape index of a peripheral portion of the workpiece in the preceding batch from a target range of the shape index of the peripheral portion of the workpiece in the current batch (Takahashi English translation, p. 30:7-22, polishing end point detection includes shape data of a peripheral portion of a wafer. Captured data [correspond to the recited actual value] of the peripheral portion of the wafer are compared with the reference data [correspond to the recited target range of the shape index]. The data include inclined angle and curvature of the peripheral portion of the wafer, thus they are the shape data, and the captured data are the data from a preceding batch. Takahashi teaches how the peripheral shape data can be used in determining the polishing end point). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the double-side polishing termination calculation of Kubota as modified by Sato to include deviation of actual periphery shape data from the target range as taught by Takahashi so that the polishing can be stopped at an appropriate time without over-polishing the workpiece. Regarding claims 3 and 10, Kubota as modified by Sato and Takahashi teaches the double-side polishing apparatus for workpieces (as to claim 3) and the double-side polishing method for workpieces (as to claim 10) as in the rejections of claims 1 and 8 above respectively, wherein in the third step, the position on the workpiece in the workpiece radial direction at which each of the shape components is measured is identified by actually measuring a distance between a center of the sun gear and a center of the monitoring hole, a rotation angle of the carrier plate, and a revolution angle of the carrier plate, or by calculating by simulation a measurable interval during which the thickness of the workpiece is measurable with respect to various conditions of a rotation speed of the upper plate, a revolution number of the carrier plate, and a rotation number of the carrier plate and identifying the rotation speed of the upper plate, the revolution number of the carrier plate, and the rotation number of the carrier plate at which the calculated measurable interval and an interval during which measurement is actually possible best match (Kubota English translation, p. 14:12-26, in the third step, for each of the extracted work shape components, the measured position in the work piece radial direction on the work piece is specified. E ach of the shape components was measured by actually measuring the distance between the center of the sun gear 5 and the center of the hole 10, the rotation angle of the carrier plate 9, and the revolution angle of the carrier plate 9. It is possible to specify the position of the workpiece in the radial direction of the workpiece or to measure the thickness of the workpiece under various conditions such as the number of revolutions of the upper platen 2, the number of revolutions of the carrier plate 9, and the number of revolutions of the carrier plate 9. The sections are calculated by simulation, and the number of revolutions of the upper stool 2, the number of revolutions of the carrier plate 9, and the number of rotations of the carrier plate 9 at which the calculated measurable section and the section where the actual measurement was most closely match ed are specified. Thus, the position in the wafer radial direction on the wafer where each of the shape components has been measured can be specified ). Regarding claims 4 and 11, Kubota as modified by Sato and Takahashi teaches the double-side polishing apparatus for workpieces (as to claim 4) and the double-side polishing method for workpieces (as to claim 11) as in the rejections of claims 1 and 8 above respectively, wherein in the sixth step, a relationship between the shape index of the entire workpiece and a polishing time is linearly approximated and, from an approximated straight line, a polishing time at which the shape index of the entire workpiece is the set value is determined as the timing of terminating the double-side polishing of the workpiece (Kubota English translation, p. 14:35-15:2, in the sixth step, t he timing is determined to end the double-side polishing of the work. T he timing at which the calculated shape index of each work becomes the set value of the work shape index is determined. In this step, the relationship between the work shape index and the polishing time is approximated by a straight line, and the polishing time at which the work shape index becomes a predetermined value from the approximated straight line is determined by the timing at which the double-side polishing of the work is finished ). Regarding claims 5 and 12, Kubota as modified by Sato and Takahashi teaches the double-side polishing apparatus for workpieces (as to claim 5) and the double-side polishing method for workpieces (as to claim 12) as in the rejections of claims 1 and 8 above respectively, wherein in the fifth step, a relationship between the shape components of the workpiece and the positions on the workpiece in the workpiece radial direction is approximated by an even function, and the shape index of the entire workpiece is determined based on a maximum value and a minimum value of the approximated even function (Kubota English translation, p. 18:25-28, in the fifth step, a relationship between the shape component of the work and the position in the work radial direction on the work is approximated by an even function, and the shape index of the work piece is based on the maximum value and the minimum value of the approximated even function ). Regarding claims 6 and 13, Kubota as modified by Sato and Takahashi teaches the double-side polishing apparatus for workpieces (as to claim 6) and the double-side polishing method for workpieces (as to claim 13) as in the rejections of claims 1 and 8 above respectively, wherein in the first step, the thickness data of the workpieces is grouped for each workpiece based on a time interval during which the thickness data of the workpiece is continuously measured (Kubota English translation, p. 18:30-32, in the first step, the thickness data is classified for each work piece based on a time interval in which the thickness data of the work piece is continuously measured ). Regarding claims 7 and 14, Kubota as modified by Sato and Takahashi teaches the double-side polishing apparatus for workpieces (as to claim 7) and the double-side polishing method for workpieces (as to claim 14) as in the rejections of claims 1 and 8 above respectively, wherein in the second step, a relationship between the thickness data of the workpiece and a polishing time is approximated by a quadratic function, and a difference between the thickness data of the workpiece and the approximated quadratic function is taken to be a shape component of the workpiece (Kubota English translation, p. 18:33-36, in the second step, a relationship between the thickness data of the work piece and the polishing time is approximated by a quadratic function, and a difference between the thickness data of the work piece and the approximated quadratic function is defined as a shape component of the work piece). Allowable Subject Matter Claim s 2 and 9 are objected to as being dependent upon rejected base claims, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Regarding claim s 2 and 9 , Kubota, Sato, and Takahashi are the closest art of record and disclose the double-side polishing apparatus of claim 1 and the double-side polishing method of claim 8, as described above respectively , wherein Kubota discloses the same formula for a set value Y as the instant application except for a correction amount E. However, Kubota, alone or in combination with Sato and Takahashi, does not teach , suggest, or make obvious that the formula of the set value Y includes the correction amount E, wherein the formula of the E includes three scenarios when G ≤ F ≤ H, F < G, and F >H, wherein F is the actual value of the shape index of the peripheral portion of the workpiece in the preceding batch, G is a lower limit of the target range of the shape index of the peripheral portion of the workpiece in the current batch , and H is an upper limit of the target range . In other words, t he three scenarios are when the actual index value is within the upper and lower target range, when the actual index value is lower than the lower target range, and when the actual index value is greater than the upper target range. Masaki is a reference not cited for rejection s , but Masaki teaches in processing periphery of a lens, correction value is considered when an average value exceeds the specified range or when the average value falls below the specified range, but it does not disclose the correction value when the average value is within the specified range. Therefore, Kubota as modified by Sato, Takahashi, and Masaki does not teach the correction amount E regarding the shape index of the peripheral portion of the workpiece , in combination with the additional elements of the claim. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Park (US 2017/0355060) discloses a double-side polishing wherein the apparatus measure thickness of a wafer and acquires shape information of the wafer by calculating a GBIR (global backside reference indicate reading) to determine an end point. Masaki (JP 5153894B2) discloses a lens processing system that performs processing of peripheral portion of the lens wherein a circumference of the lens is corrected based on relation between an average value of the circumference difference data and the specified range. Any inquiry concerning this communication or earlier communications from the examiner should be directed to FILLIN "Examiner name" \* MERGEFORMAT SUKWOO JAMES CHANG whose telephone number is FILLIN "Phone number" \* MERGEFORMAT (571)272-7402 . The examiner can normally be reached FILLIN "Work Schedule?" \* MERGEFORMAT M-F 8:00a-5:00p . 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 David Posigian can be reached at FILLIN "SPE Phone?" \* MERGEFORMAT (313) 446-6546 . 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. /SUKWOO JAMES CHANG/ Examiner, Art Unit 3723
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Prosecution Timeline

Nov 28, 2023
Application Filed
Apr 01, 2026
Non-Final Rejection — §103 (current)

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