Prosecution Insights
Last updated: April 19, 2026
Application No. 17/559,040

OPTICAL APPARATUS AND SOLID IMMERSION LENS

Final Rejection §103
Filed
Dec 22, 2021
Examiner
HALL, ELIZABETH MARY CAMPBEL
Art Unit
2872
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Hamamatsu Photonics K K
OA Round
4 (Final)
73%
Grant Probability
Favorable
5-6
OA Rounds
3y 3m
To Grant
99%
With Interview

Examiner Intelligence

Grants 73% — above average
73%
Career Allow Rate
19 granted / 26 resolved
+5.1% vs TC avg
Strong +30% interview lift
Without
With
+30.4%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
45 currently pending
Career history
71
Total Applications
across all art units

Statute-Specific Performance

§103
45.4%
+5.4% vs TC avg
§102
22.1%
-17.9% vs TC avg
§112
30.2%
-9.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 26 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 . 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. Response to Amendment Applicant's arguments with respect to claims 1-9 as they pertain to the prior art have been considered but are moot in view of the new ground(s) of rejection, as necessitated by amendment. 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 1-9 are rejected under 35 U.S.C. 103 as being unpatentable Shin et. al US 20190049632 (hereinafter “Shin”) in view of Terada et. al US 20100202041 (hereinafter “Terada”) Regarding claim 1, Shin teaches an optical apparatus comprising: a support part configured to support an object (Shin fig. 2 – shows a microscope including a support part for supporting a subject); a solid immersion lens (Shin fig. 1a-3c, see also para. 0151) configured to be brought into contact with the object supported by the support part (Shin para. 0015 and 0151); and an optical device disposed at a position opposite to the support part with respect to the solid immersion lens on an optical path passing through the solid immersion lens (Shin fig. 2 – shows a conventional microscope including a subject, an objective lens, and a light source; see also para. 0011, 0044, and figure 3b), wherein the solid immersion lens (Shin fig. 1a-b, see also para. 0151) includes: a base part having a surface to be brought into contact with the object and a second surface opposite to the first surface (see annotated Shin fig. 1B below for the base part, second surface, and first surface, and fig. 3b shows that the surface with the meta-lens may face the objective lens; see also para. 0011 and 0015); and PNG media_image1.png 402 613 media_image1.png Greyscale a meta-lens disposed only on a part of the second surface (Shin fig. 1b – meta-lens only on a part of the second surface, see also para. 0011), and having a plurality of antennas disposed two-dimensionally and periodically (Shin fig. 1b – shows the plurality of antennas disposed two-dimensionally and periodically, see also fig. 4a-b – shows the plurality of antennas in detail), wherein each of the plurality of antennas is formed integrally with the base part (Shin fig. 1b – antennae formed integrally with base part, see also fig. 4a-b – shows details of the plurality of antennas), the second surface is a flat surface (see Shin fig. 1b above – the labeled second surface is flat), with the meta-lens disposed on the flat surface (see Shin fig. 1b above – the meta-lens is disposed on the second surface, see also para. 0151). Shin does not specify that the solid immersion lens has a first surface of a first portion that is a protruding part extending from a flat surface of the base part, however Shin does teach a flat base part as shown in the annotated Shin fig. 1b above. In a similar field of endeavor, Terada teaches a solid immersion lens (Terada fig. 5 – 6) where the first surface (Shin fig. 5 – 6b) is a surface of a first portion that is a protruding part extending from a flat surface of the base part (Shin fig. 5 – 6b is a surface of a protruding part extending from a flat surface) for the purpose of acquiring a magnified observed image of the surface of a semiconductor device (Terada para. 0043). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a solid immersion lens with a first surface extending from a flat surface in order to acquire a magnified observed image of the surface of a semiconductor device (Terada para. 0043). Regarding claim 2, Shin and Terada teach the optical apparatus according to claim 1, and Terada further teaches wherein the optical device is a photodetector (Terada para. 0036). Regarding claim 3, Shin and Terada teach the optical apparatus according to claim 1, and Shin further teaches wherein the optical device is a light source (Shin para. 0044). Regarding claim 4, Shin and Terada teach the optical apparatus according to claim 1, and both further teach wherein an area of the first surface (Terada 6b) is smaller than an area of the second surface (Shin fig. 1b – the second surface with the meta-lens would have a larger area than 6b of Terada). Regarding claim 5, Shin and Terada teach the optical apparatus according to claim 1, and both further teach wherein the base part includes a first portion having the first surface and a second portion having the second surface (see annotated Shin fig. 1b below for the base part and second portion, and annotated Terada fig. 5a below showing the base part having a first portion with a first surface), PNG media_image2.png 402 782 media_image2.png Greyscale PNG media_image3.png 406 668 media_image3.png Greyscale an outer edge periphery of the second portion is positioned outside an outer edge periphery of the first portion when viewed from a direction parallel to an optical axis of the meta-lens (when combining the shape of the planar meta-lens of Shin with the bottom of the solid immersion lens of Terada, the outer edge periphery of the second portion would be positioned outside an outer edge periphery of the first portion when viewed form a direction parallel to the optical axis, as shown in figure 1b of Shin and figure 5a of Terada above), and the first portion and the second portion are integrally formed (the first surface of Terada would be integrally formed with the the solid immersion lens of Shin). Regarding claim 6, Shin and Terada teach the optical apparatus according to claim 1, further comprising an objective lens (Shin fig. 3b – objective lens) disposed at a position between the solid immersion lens (Shin fig. 3b – planar meta-lens) and the optical device on the optical path. Regarding claim 7, Shin and Terada teach the optical apparatus according to claim 1, and Shin further teaches wherein the object is a semiconductor device (Shin para. 0013 and 0146). Regarding claim 8, a solid immersion lens (Shin fig. 1a-3c, see also para. 0151) comprising: a base part having a surface to be brought into contact with the object and a second surface opposite to the first surface (see annotated Shin fig. 1B below for the base part, second surface, and first surface, and fig. 3b shows that the surface with the meta-lens may face the objective lens; see also para. 0011 and 0015); and PNG media_image1.png 402 613 media_image1.png Greyscale a meta-lens disposed only on a part of the second surface (Shin fig. 1b – meta-lens only on a part of the second surface, see also para. 0011), and having a plurality of antennas disposed two-dimensionally and periodically (Shin fig. 1b – shows the plurality of antennas disposed two-dimensionally and periodically, see also fig. 4a-b – shows the plurality of antennas in detail), wherein each of the plurality of antennas is formed integrally with the base part (Shin fig. 1b – antennae formed integrally with base part, see also fig. 4a-b – shows details of the plurality of antennas), the second surface is a flat surface (see Shin fig. 1b above – the labeled second surface is flat), with the meta-lens disposed on the flat surface (see Shin fig. 1b above – the meta-lens is disposed on the second surface, see also para. 0151). Shin does not specify that the solid immersion lens has a first surface of a first portion that is a protruding part extending from a flat surface of the base part, and an area of the first surface is smaller than an area of the second surface, however Shin does teach a flat base part and the second surface as shown in the annotated Shin fig. 1b above. In a similar field of endeavor, Terada teaches a solid immersion lens (Terada fig. 5 – 6) where the first surface (Shin fig. 5 – 6b) is a surface of a first portion that is a protruding part extending from a flat surface of the base part (Shin fig. 5 – 6b is a surface of a protruding part extending from a flat surface), and an area of the first surface (Terada 6b) is smaller than an area of the second surface (Shin fig. 1b – the second surface with the meta-lens would have a larger area than 6b of Terada) for the purpose of acquiring a magnified observed image of the surface of a semiconductor device (Terada para. 0043). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a solid immersion lens with a first surface extending from a flat surface in order to acquire a magnified observed image of the surface of a semiconductor device (Terada para. 0043). Regarding claim 9, Shin and Terada teach the solid immersion lens according to claim 8, and both further teach wherein the base part includes a first portion having the first surface and a second portion having the second surface (see annotated Shin fig. 1b below for the base part and second portion, and annotated Terada fig. 5a below showing the base part having a first portion with a first surface), PNG media_image2.png 402 782 media_image2.png Greyscale PNG media_image3.png 406 668 media_image3.png Greyscale an outer edge periphery of the second portion is positioned outside an outer edge periphery of the first portion when viewed from a direction parallel to an optical axis of the meta-lens (when combining the shape of the planar meta-lens of Shin with the bottom of the solid immersion lens of Terada, the outer edge periphery of the second portion would be positioned outside an outer edge periphery of the first portion when viewed form a direction parallel to the optical axis, as shown in figure 1b of Shin and figure 5a of Terada above), and the first portion and the second portion are integrally formed (the first surface of Terada would be integrally formed with the solid immersion lens of Shin). Conclusion Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a). A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to ELIZABETH M HALL whose telephone number is (703)756-5795. The examiner can normally be reached Mon-Fri 9-5:30 pm PST. 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, Ricky Mack can be reached on (571)272-2333. 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. /ELIZABETH M HALL/Examiner, Art Unit 2872 /RICKY L MACK/Supervisory Patent Examiner, Art Unit 2872
Read full office action

Prosecution Timeline

Dec 22, 2021
Application Filed
Sep 27, 2024
Non-Final Rejection — §103
Dec 10, 2024
Response Filed
Jan 07, 2025
Final Rejection — §103
Apr 07, 2025
Interview Requested
Apr 10, 2025
Examiner Interview Summary
Apr 10, 2025
Applicant Interview (Telephonic)
Apr 11, 2025
Request for Continued Examination
Apr 15, 2025
Response after Non-Final Action
Apr 18, 2025
Non-Final Rejection — §103
Jul 02, 2025
Interview Requested
Jul 09, 2025
Examiner Interview Summary
Jul 09, 2025
Applicant Interview (Telephonic)
Jul 11, 2025
Response Filed
Oct 17, 2025
Final Rejection — §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

5-6
Expected OA Rounds
73%
Grant Probability
99%
With Interview (+30.4%)
3y 3m
Median Time to Grant
High
PTA Risk
Based on 26 resolved cases by this examiner. Grant probability derived from career allow rate.

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