Prosecution Insights
Last updated: July 17, 2026
Application No. 18/813,147

NON-CONTACT COOLING ASSEMBLY FOR COOLING SUBSTRATES

Non-Final OA §102§103
Filed
Aug 23, 2024
Priority
Aug 31, 2023 — provisional 63/535,605
Examiner
NORRIS, JEREMY C
Art Unit
Tech Center
Assignee
ASM IP Holding B.V.
OA Round
1 (Non-Final)
86%
Grant Probability
Favorable
1-2
OA Rounds
5m
Est. Remaining
91%
With Interview

Examiner Intelligence

Grants 86% — above average
86%
Career Allowance Rate
857 granted / 991 resolved
+26.5% vs TC avg
Minimal +4% lift
Without
With
+4.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 4m
Avg Prosecution
15 currently pending
Career history
1008
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
58.5%
+18.5% vs TC avg
§102
37.9%
-2.1% vs TC avg
§112
1.8%
-38.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 991 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 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. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claim(s) 1, 3, and 5-7 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by US 2011/0290185 A1 (Ihara). Ihara discloses, referring primarily to figures 1-3, a non-contact cooling assembly (1) for cooling substrates (W) in equipment front end module in batch, the cooling assembly comprising: a support beam (near R; best seen in figure 2); and a plurality of cooling plates (5), wherein the cooling plates are arranged horizontally stacked and attached to the support beam, wherein the support beam is configured to move horizontally for cooling substrates ([0032]) [claim 1], wherein each of the cooling plates comprising: a thermally conducting plate ([0030]); and micro-channels (6) placed in the thermally conducting plate, wherein a cooling fluid (R) flow through the micro-channels for cooling the thermally conducting plate ([0030]) [claim 3], wherein each of the cooling plates configured to be placed in a very close proximal position of a substrate top when the cooling assembly is in a substrate shelf for cooling substrates [claim 5], wherein shape of each of the cooling plates is one of circle, ellipse, or a polygon with four or more angles (best seen in figure 1) [claim 7]. Regarding claim 6, the Examiner notes that the limitation “wherein the support beam configured to move vertically” [claim 6] is dependent on a particular orientation of the device and not an inherent property. The support beam in the invention of Ihara discloses this claimed feature when oriented 90° relative to the orientation shown in the figures. Claim Rejections - 35 USC § 103 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 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) 2 and 4 is/are rejected under 35 U.S.C. 103 as being unpatentable over Ihara in view of KR 10-0769527 (Kim). Ihara discloses the claimed invention as disclosed above with respect to claim 1, except Ihara does not specifically state that each of the cooling plates comprising: a top substrate; alternating p & n-type semiconductor pillars configured to be placed thermally in parallel to each other and electrically in series; thermally conducting plates configured to join the alternating p & n-type semiconductor pillars; and a down substrate [claim 2]. Ihara does disclose a top substrate and a down substrate ([0025]). Ihara also states that the cooling plates may comprise a Peltier element ([0029]). Kim teaches a Peltier element comprising alternating p & n-type semiconductor pillars (3e-2, 3e-1) configured to be placed thermally in parallel to each other and electrically in series; thermally conducting plates configured to join the alternating p & n-type semiconductor pillars (“Tech Solution” paragraph 24). Therefore, it would have been obvious, to one having ordinary skill in the art, to use the Peltier element taught by Kim in the invention of Ihara. The motivation for doing so would have been to use a known cooling technique. Similarly, regarding claim 4, Ihara discloses the claimed invention as described above with respect to claim 1, except Ihara does not specifically state that at least one of the cooling plates comprising, a top substrate; alternating p & n-type semiconductor pillars configured to be placed thermally in parallel to each other and electrically in series; thermally conducting plates configured to join the alternating p & n-type semiconductor pillars; and a down substrate, and at least one of the cooling plates comprising: a thermally conducting plate; and micro-channels placed in the thermally conducting plate, wherein a cooling fluid flow through the micro-channels for cooling the thermally conducting plate [claim 4]. Ihara does disclose a top substrate and a down substrate ([0025]) and a thermally conducting plate (5, [0030]); and micro-channels (6) placed in the thermally conducting plate, wherein a cooling fluid (R) flow through the micro-channels for cooling the thermally conducting plate. Ihara also states that the cooling plates may comprise a Peltier element ([0029]). Kim teaches a Peltier element comprising alternating p & n-type semiconductor pillars (3e-2, 3e-1) configured to be placed thermally in parallel to each other and electrically in series; thermally conducting plates configured to join the alternating p & n-type semiconductor pillars (“Tech Solution” paragraph 24). Therefore, it would have been obvious, to one having ordinary skill in the art, to also use the Peltier element taught by Kim in the invention of Ihara in the claimed fashion. The motivation for doing so would have been to use a known cooling technique. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to JEREMY C NORRIS whose telephone number is (571)272-1932. The examiner can normally be reached 7:15-15:15 M-F. 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, Timothy Thompson can be reached at (571)272-2342. 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. JEREMY C. NORRIS Examiner Art Unit 2847 /JEREMY C NORRIS/Primary Examiner, Art Unit 2847
Read full office action

Prosecution Timeline

Aug 23, 2024
Application Filed
Feb 28, 2025
Response after Non-Final Action
Jun 03, 2026
Non-Final Rejection mailed — §102, §103 (current)

Precedent Cases

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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
86%
Grant Probability
91%
With Interview (+4.5%)
2y 4m (~5m remaining)
Median Time to Grant
Low
PTA Risk
Based on 991 resolved cases by this examiner. Grant probability derived from career allowance rate.

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