Prosecution Insights
Last updated: April 19, 2026
Application No. 17/925,733

OPTICAL APPARATUS, OPTICAL CONNECTOR, AND METHOD FOR MANUFACTURING OPTICAL APPARATUS

Non-Final OA §103
Filed
Nov 16, 2022
Examiner
TRAN, HOANG Q
Art Unit
2874
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Sumitomo Electric Industries, Ltd.
OA Round
4 (Non-Final)
68%
Grant Probability
Favorable
4-5
OA Rounds
3y 1m
To Grant
99%
With Interview

Examiner Intelligence

Grants 68% — above average
68%
Career Allow Rate
381 granted / 564 resolved
At TC average
Strong +33% interview lift
Without
With
+33.1%
Interview Lift
resolved cases with interview
Typical timeline
3y 1m
Avg Prosecution
37 currently pending
Career history
601
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
61.1%
+21.1% vs TC avg
§102
33.0%
-7.0% vs TC avg
§112
3.0%
-37.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 564 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 . Continued Examination Under 37 CFR 1.114 A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 12/31/2025 has been entered. 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. Claims 1-6 are rejected under 35 U.S.C. 103 as being unpatentable over US Patent Application Publication to Zbinden 2013/0004120US in view of the US Patent Application Publication to Matsuoka 2019/0317284US and further in view of the US Patent Application Publication Chou 2018/0156990US. In terms of Claim 1, Zbinden teaches an optical apparatus (Figure 4a-c; Figure 3a-c) comprising: a package (Figure 4a or Figure 3c: 20 or Figure 6a: 131) including an integrated circuit (Figure 4c: 22) and an optical device (Figure 4c: 25a) configured to convert an electrical signal from the integrated circuit into an optical signal ([0096] or [0103]); a board (Figure 3c: 23) including a main surface (Figure 3c: top surface of 23), the package (Figure 3c: 20) being disposed on the main surface (Figure 3c: 20 and 23); a plurality of first optical cables (Figure 3c: 26) each including a plurality of optical fibers (Figure 3c), each of the plurality of first optical cables including a first end portion (1st end is located within 25a) and a second end portion on a side opposite thereto (Figure 3c: 26 which is opposite of 25a), and each of a plurality of the first end portions being optically coupled to the optical device (Figure 3c: 26 and 25a); and a first optical connector (Figure 3c: 24a or housing of 25a) to which each of a plurality of the second end portions of the plurality of first optical cables is attached (Figure 3c: 26 has a 2nd end portion that must be coupled to another device wherein the mounting of the 2nd end to another device qualifies as a connector. The examiner notes that although the prior art doesn’t shown the 2nd connector, the examiner considers the connector to be present in order for the device to operate otherwise it cannot transmit any optical signals to the optical engine during operations as disclosed [0097 and 0101]), wherein the first optical connector is disposed on the main surface of the board (Figure 4c: 25a/24a is on the board 23) to be entirely located inside an edge of the board (Figure 3c: 25a/24a and 23). PNG media_image1.png 576 732 media_image1.png Greyscale PNG media_image2.png 586 714 media_image2.png Greyscale Zbinden does not teach such that the electrical signal from the integrated circuit is converted into the optical signal on the board and the converted optical signal is transmitted from the optical device to at least one of the first optical cables on the board since the conversion device 25a is attached cable and not disposed as a structure component on the board itself. Matsuoka does teach the electrical signal from the integrated circuit is converted into the optical signal on the board (Figure 2: 10 is an optical element on the board and is physically attached to the board that is capable of converting electrical to optical signals and vice versa via its TOSA and ROSA structures [0035]) and the converted optical signal is transmitted from the optical device to at least one of the first optical cables on the board ([0035]). It would have been obvious to one of ordinary skill in art before the effective filing date of the claimed invention to modify the device of Zbinden and replace conversion structure with the connector 28 and optical element 10 as disclosed by Matsuoka to improve the optical alignment since the optical engine is attachment to the cable, the optical engine introduces 3 points of alignment that needs to occur in the device of Zbinden (cable to optical engine to circuit board compared to Matsuoka which only has 2 points wherein the cable is coupled aligned with the optical element that is part of the IC board). This modification simplifies the alignment scheme and improve potentially misalignment in the device as whole. Further since the conversion device is part of the IC the conversion is also more protected from being damage during installation since there will be less handling of the optical element compare to the optical engine. Zbinden / Matsuoka do not teach wherein the second portion of each of the plurality of first optical cables and the optical device are located on the main surface of the board. Chou does teach wherein the second portion of each of the plurality of first optical cables (Figure 8: at Po) and the optical device (Figure 8: OCU) are located on the main surface of the board (Figure 8: OCU and Po of which is the location of the second end of the first optical cables are on the main surface of 170). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupling orientation of the fibers relative to the device and the main board wherein the ends are pointing downward on to the main surface of the main board in order to reduce insertion loss (Chou [0037]). PNG media_image3.png 574 794 media_image3.png Greyscale As for Claim 2, Zbinden / Matsuoka / Chou teach the device of claim 1, wherein Zbinden teaches the first optical connector (Figure 3c: 24a or Figure 4c: 24b) is disposed on the main surface (Figure 3c: 23) of the board such that a part of the first optical connector is laid on the package (Figure 3c: 23 and 24a), and is fixed to the package directly or with an intervening component (See Figure 4b: 25d). As for Claim 3, Zbinden / Matsuoka / Chou teach the device of claim 1, wherein Zbinden teaches the first optical connector (Figure 3c: 24a) includes a pair of leg portions to define a region (Figure 6c: 131b), in which intermediate cable portions extending outward from the package (Figure 4c: 26 towards the back) in the plurality of first optical Figure 4c: 26). As for Claim 4, Zbinden / Matsuoka / Chou teach the device of claim 1, wherein Zbinden teaches a ferrule is attached to each of the plurality of second end portions of the plurality of first optical cables (Figure 4a: within 25 or Figure 6c see frontal area where the channels form a ferrule structure), and wherein the first optical connector (Figure 4: 24a) includes a plurality of receiving portions that align and receive the ferrules (See Figure 4c: opening spacing that holds 25 within the area of 24a). As for Claim 5, Zbinden / Matsuoka / Chou teach the device of claim 4, wherein Zbinden teaches the first optical connector (Figure 4c: 24a) includes a front housing( (Figure 4c: 25) that comprises the plurality of receiving portions (Figure 4c: area within 25a wherein fibers are routed) each including a portion configured to restrict forward movement of each ferrule (front wall that limits 25 from moving), and a rear housing (Figure 7a such 135 or [0009]) that comprises a portion configured to restrict rearward movement of each ferrule and is attached to the front housing (Figure 7a and 7b). As for Claim 6, Zbinden / Matsuoka / Chou teach the device of claim 5, wherein Zbinden teaches the rear housing (Shown in Figure 7a: at 135) includes a front side and a rear side (Figure 7a: 135), and wherein the rear housing is provided with a plurality of through holes (Figure 7b: through holes from by the fiber routing path) which respectively correspond to the plurality of first optical cables and through which the plurality of first optical cables are respectively inserted from the rear side toward the front side (Figure 4c: illustrates multiple channels having through holes wherein each fiber 26 is routed into a through hole). Claims 11-16 and 18 are rejected under 35 U.S.C. 103 as being unpatentable over US Patent Application Publication to Ohtsu 2005/0271328US in view of US Patent Application Publication to Matsuoka 2019/0317284US and further in view of the US Patent Application Publication Chou 2018/0156990US. In terms of Claim 11, Ohtsu teaches an optical connector (Figure 2) comprising: a front housing (Figure 2: 100) including a mounting surface and provided with a plurality of receiving portions (front face of 108) to receive a plurality of ferrules (Figure 2: within 104; [0023]) provided at tip end portions of a plurality of optical cables (Figure 2: ferrules within 104/128; [0023], [0039]) in order in a first direction (Figure 2: See First direction extending from front to back of front housing 100); and a rear housing (Figure 2: 4) provided with a plurality of through holes (Figure 2: 46) which extend in a second direction intersecting with the first direction (Figure 2: the holes are rectangular and extend both front to back of 4 and up and down via its vertical dimensions) and through which the plurality of optical cables are able to be inserted in order in the first direction (Figure 2: along the front to back direction within 46), the rear housing being able to be attached to the front housing (Figure 1: 4 and 100), wherein each of the plurality of through holes has a slit shape (Figure 2: 46 has a slit configuration) that opens toward a surface of the rear housing (Figure 2: 46 has opening at the top surface), the surface extending along the mounting surface (Figure 2: the top surface wherein opening 46 opens extending horizontal along the housing of 4 to mate with 100). Ohtsu does not teach wherein the optical connector is provided on a board along with an integrated circuit, such that an electrical signal from the integrated circuit is converted into an optical signal on the board (and is transmitted via at least one of the optical cables that are inserted into the through holes of the rear housing. Matsuoka does teach wherein the optical connector (Figure 2: 28) is provided on a board (Figure 2: 16; [0038]) along with an integrated circuit (Figure 2: 12; [0037]), such that an electrical signal from the integrated circuit is converted into an optical signal on the board Figure 2: 10 on 16; [0037]) and is transmitted via at least one of the optical cables (Figure 2: 26) that are inserted into the through holes of the rear housing (Figure 1: 26 and rear portion of housing 16). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Ohtsu to be attached to a circuit board having an optical to electrical conversion device to allow the optical signals to be process by an electrical processing unit. This modification allows the connector of Ohtsu to be operated with more complex electrical to optical or optical to electrical processing systems. Ohtsu / Matsuoka do not teach wherein the optical connector is provided on the board such that the first tip end portion of the plurality of optical cables and the integrated circuits are disposed on a main surface of the board. Chou does teach wherein the optical connector (Figure 8: 120) is provided on the board (Figure 8: 170) such that the first tip end portion (Figure 8: Po) of the plurality of optical cables (Figure 8: 140) and the integrated circuits (Figure 8: OCU) are disposed on a main surface of the board (Figure 8: OCU/120/tip of fibers 140 at Po are on 170). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the coupling orientation of the fibers relative to the device and the main board wherein the ends are pointing downward on to the main surface of the main board in order to reduce insertion loss (Chou [0037]). PNG media_image3.png 574 794 media_image3.png Greyscale As for Claim 12, Ohtsu / Matsuoka / Chou teach the device of claim 11, wherein Ohtsu teaches the front housing (Figure 2: 100) includes a main body portion (Figure 2: body of 100) provided with a plurality of receiving holes (Figure 2: 104) which are the plurality of receiving portions (Figure 2: 104/ Figure 7: 128; [0023], [0039]), and a pair of leg portions (Figure 8: within 100 element 1208 extends from inner sidewalls of 110 ) extending in the second direction from both ends of the main body portion in the first direction (Figure 8: 120b extending from both ends top and bottom surface of inner side wall of 110 which is part of the main body of 100). As for Claim 13, Ohtsu / Matsuoka / Chou teach the device of claim 11, wherein Ohtsu teaches each of the plurality of receiving portions includes a step that restricts forward movement of each of the ferrules (Figure 8: 100: ledge 150 restricts the ferrule housing movement by abutting with 120b). As for Claim 14, Ohtsu / Matsuoka / Chou teach the device of claim 11, wherein Ohtsu teaches the rear housing (Figure 2: 4) includes a plate portion (Figure 2: 44) including a front surface (Figure 3: “Front surface” on plate 44 below) and a rear surface (Figure 3: “rear surface” on plate 44 below), and a plurality of protruding portions (Figure 3: 40) that respectively correspond to the plurality of through holes and protrude from the front surface of the plate portion (Figure 3: 40 and holes area 46), wherein the plurality of protruding portions are able to be received in the plurality of receiving portions of the front housing from a rear end thereof (Figure 13: 100 being received by 2 via components such as 140b, 108 which is part of 100 receiving portions is being inserted into grooves within 2). PNG media_image4.png 608 760 media_image4.png Greyscale As for Claim 15, Ohtsu / Matsuoka / Chou teach optical connector according to claim 11, wherein Ohtsu teaches a plurality of elastic members (Figure 6: spring 78) to respectively urge the plurality of ferrules forward (See Figure 6: 78 push ferrules forward; [0031]) are provided between the respective steps (Figure 6: between steps structure 53) in the plurality of receiving portions (spacing that houses 51) and the rear housing (Figure 6: 4). In regards to Claim 16, Ohtsu / Matsuoka teach a method of manufacture an optical apparatus by attaching the optical connector according to claim 11, wherein Ohtsu teaches the method comprising: receiving the plurality of ferrules provided at the tip end portions of the plurality of optical fibers in the receiving portions of the front housing (Figure 2: in the area of 104 of front housing 100; [0023], [0039]), covering intermediated cable portions of the plurality of optical cables extending outward from the package with the plurality of through holes (Figure 2: 46), each having the slit shape from above (Figure 2: 46) the bottom surface (Figure 2: see 46 is elevated from the bottom surface of 4); and attaching the rear housing (Figure 2: 4) by relatively moving the rear housing toward the front housing (Figure 2: 4 and 100). Ohtsu does not teach wherein the package includes an integrated circuit, and an optical device configured to convert an electrical signal from the integrated circuit into an optical signal, a board disposing the package on a main surface thereof, and a plurality of optical cables extending to the outside of the package from the optical device. Matsuoka does teach wherein the package includes the integrated circuit (Figure 2: 12), and the optical device (Figure 2: 10) configured to convert an electrical signal from the integrated circuit into an optical signal ([0037]), the board (Figure 2: 16) disposing the package on a main surface thereof (Figure 2: 16), and the plurality of optical cables (Figure 2: 16) extending to the outside of the package from the optical device (Figure 8: 26). It would have been obvious to one of ordinary skill in art before the effective filing date of the claimed invention to modify the teachings of Ohtsu to be attached to an optical circuit board having OE components to created fiber input / output channels for optical network devices having connectorized ends with external devices. The modification allows for devices such Ohtsu to be used in combination with integrated optical devices of Matsuoka to created input/output interfaces for large scale connectorized systems with multiple inputs and outputs. Ohtsu / Matsuoka do not teach wherein the first tip end portions of the plurality of optical cables being drawn out to an outside of the package from the optical device. Chou does teach wherein the first tip end portions of the plurality of optical cables being drawn out to an outside of the package from the optical device (Figure 8: below see location of s3 and s2). It would have been obvious to one of ordinary skill in the art to postion the first tip end to be drawn outside of the optical device in order to remove the fiber connector and cable easily in situation wherin the cables needs to be disconnected from the optical device (OCU). PNG media_image3.png 574 794 media_image3.png Greyscale As for Claim 18, Ohtsu / Matsuoka / Chou teach the connector according to claim 11, wherein Ohtsu teaches the tip end portions of the plurality optical fibers that are inserted in the plurality of through holes are to be optical connected to a plurality of different optical cables via the optical connector (See Figure 11: wherein fibers cables from 4 are shown to be 80b of which are different than fibers of 168b from 100). Claims 7-10, and 17 are rejected under 35 U.S.C. 103 as being unpatentable over Zbinden / Matsuoka as applied to claim 1 above, and further in view of US Patent Application Publication to Ohtsu 2005/0271328. In regards to Claims 7-10 and 17, Zbinden / Matsuoka / Chou teach the device of Claim 1. Zbinden further teaches the second portions of the plurality of first optical cables are optically connected (fibers are connected to 25a first 2nd end portions). However, Zbinden does not teach wherein each of the plurality of through holes has a slit shape, and the slit shape opens toward the main surface of the board on which the first optical connector is mounted; wherein each of the plurality of through holes has a cross-sectional area smaller than a cross- sectional area of each of the ferrules and larger than a cross-sectional area of each of the plurality of first optical cables; wherein at least one elastic member configured to urge a plurality of the ferrules forward is provided between the rear housing and the plurality of ferrules; further comprising: a plurality of second optical cables each including a plurality of optical fibers wherein the first plurality of optical cables are different than the second optical fiber cables; and a second optical connector configured to receive tip end portions of the plurality of second optical cables and being able to be connected to the first optical connector; wherein a plurality of elastic members to respectively urge the plurality of ferrules forward are provided between respective steps in the plurality of receiving portions and the rear housing, and wherein each of the plurality of elastic members includes a slit into which one of the optical cables is able to be inserted. PNG media_image1.png 576 732 media_image1.png Greyscale Ohtsu does teach wherein each of the plurality of through holes (Figure 2: 46) has a slit shape (Figure 2: 46), and the slit shape opens toward the main surface of the board on which the first optical connector is mounted (Figure 2: 46 opens along a top area which is toward the main surface or top surface of 2); wherein each of the plurality of through holes (46) has a cross-sectional area smaller than a cross- sectional area of each of the ferrules (Figure 6: wherein the cross sectional area between 53 is smaller than the ferrule body 50) and larger than a cross-sectional area of each of the plurality of first optical cables (Figure 6: 50 is larger than 80b); wherein at least one elastic member (Figure 6: 78) configured to urge a plurality of the ferrules forward is provided between the rear housing and the plurality of ferrules ([0031]); further comprising: a plurality of second optical cables each including a plurality of optical fibers, wherein the first plurality of optical cables are different than the second optical fiber cables (Figure 11” fibers on 168 are different than 80b); and a second optical connector configured to receive tip end portions of the plurality of second optical cables and being able to be connected to the first optical connector (Figure 11: connector housing 168b); wherein a plurality of elastic members (Figure 6: 78) to respectively urge the plurality of ferrules ([0031]) forward are provided between respective steps in the plurality of receiving portions and the rear housing (Figure 6: spring is located within the spacing between the step area 53), and wherein each of the plurality of elastic members (78) includes a slit into which one of the optical cables is able to be inserted (spring 78 are housed in the slit of 46; [0031] thus forming a shape of a slit similar to 46). It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to modify the mounting components to be the component shown by Ohtsu wherein slits, and ferrules are fitted within the slits or slots having urging members such 78 to keep the ferrules in place. The sizing of the cross-sectional relationship between the slots/slits and the ferrules allows the ferrule to be fit tightly in place and to prevent misalignment. This modification will result in the device of Zbinden to be able to handle a lot more input/output connections for large scale applications. Response to Arguments Applicant’s arguments with respect to claims 1, 11, and 16 have been considered but are moot because the new ground of rejection does not rely on any of the combination of references applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. Newly amended limitations were rejected in view of the newly cited prior art to Chou as detailed above. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US Patent Application Publication to Tracy 20180116063 teaches a vertical coupled connector coupled to an OE converting device wherein the optical engine is on the PCB. Any inquiry concerning this communication or earlier communications from the examiner should be directed to HOANG Q TRAN whose telephone number is (571)272-5049. The examiner can normally be reached 9:30 am - 5:30pm Monday - Friday. 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, Uyen-Chau Le can be reached at 5712722397. 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. /HOANG Q TRAN/Examiner, Art Unit 2874 /UYEN CHAU N LE/Supervisory Patent Examiner, Art Unit 2874
Read full office action

Prosecution Timeline

Nov 16, 2022
Application Filed
Nov 16, 2024
Non-Final Rejection — §103
Dec 27, 2024
Interview Requested
Jan 21, 2025
Applicant Interview (Telephonic)
Jan 21, 2025
Examiner Interview Summary
Feb 14, 2025
Response Filed
May 28, 2025
Non-Final Rejection — §103
Aug 11, 2025
Interview Requested
Aug 26, 2025
Applicant Interview (Telephonic)
Sep 01, 2025
Examiner Interview Summary
Sep 03, 2025
Response Filed
Sep 17, 2025
Final Rejection — §103
Dec 15, 2025
Request for Continued Examination
Jan 03, 2026
Response after Non-Final Action
Jan 04, 2026
Non-Final Rejection — §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12596232
Systems and Methods Including Procedural Barrier-Breaching Connectors and Connection-Establishing Devices
2y 5m to grant Granted Apr 07, 2026
Patent 12585074
OPTICAL CABLE
2y 5m to grant Granted Mar 24, 2026
Patent 12535643
COOPERATION BETWEEN LASER AND OPTICAL FIBER
2y 5m to grant Granted Jan 27, 2026
Patent 12529859
ANISOTROPIC CABLE SEALING GELS; AND METHODS FOR FABRICATING CABLE SEALING GELS
2y 5m to grant Granted Jan 20, 2026
Patent 12494403
PRESERVING ACCESS TO OPTICAL COMPONENTS ON A WAFER PACKAGE WITH SACRIFICIAL DIE
2y 5m to grant Granted Dec 09, 2025
Study what changed to get past this examiner. Based on 5 most recent grants.

AI Strategy Recommendation

Get an AI-powered prosecution strategy using examiner precedents, rejection analysis, and claim mapping.
Powered by AI — typically takes 5-10 seconds

Prosecution Projections

4-5
Expected OA Rounds
68%
Grant Probability
99%
With Interview (+33.1%)
3y 1m
Median Time to Grant
High
PTA Risk
Based on 564 resolved cases by this examiner. Grant probability derived from career allow rate.

Sign in with your work email

Enter your email to receive a magic link. No password needed.

Personal email addresses (Gmail, Yahoo, etc.) are not accepted.

Free tier: 3 strategy analyses per month