Prosecution Insights
Last updated: October 27, 2026
Application No. 18/541,718

SWITCHING PLATES IN AN OPTICAL SYSTEM

Non-Final OA §102§103
Filed
Dec 15, 2023
Examiner
LEE, BENEDICT E
Art Unit
2665
Tech Center
2600 — Communications
Assignee
Hid Global Corp.
OA Round
3 (Non-Final)
88%
Grant Probability
Favorable
3-4
OA Rounds
0m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 88% — above average
88%
Career Allowance Rate
108 granted / 123 resolved
+25.8% vs TC avg
Moderate +13% lift
Without
With
+13.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
17 currently pending
Career history
148
Total Applications
across all art units

Statute-Specific Performance

§101
7.7%
-32.3% vs TC avg
§103
52.7%
+12.7% vs TC avg
§102
27.4%
-12.6% vs TC avg
§112
8.5%
-31.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 123 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 . Response to Arguments In re Applicant’s argument, Examiner thanks Applicant filed a Request for Continued Examination (RCE) to expedite patent prosecution. To determine whether the instant application is in condition for allowance, Examiner completed comprehensive searches in accordance with the amendment. Upon completion of a search of the pertinent prior art, Examiner found that a new ground of rejection has been arisen in view of Ishihara (U.S. 9,435,982 B2). 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. Claims 1–3, 5–6, 9–13, 15–16 and 18 are rejected under 35 U.S.C. § 102(a)(1) as being anticipated by Ishihara U.S. 9,435,982. Regarding claim 1, Ishihara discloses an optical system comprising: an object plane to receive an object to be imaged; (Fig. 1, 12 an aperture plate) a lens to direct light beams from the object plane; (Fig. 1, 13 an objective lens) a sensor to convert the directed light beams into an image; and (Fig. 1, 17 an image sensor) a plurality of switching plates, (a plurality of switching plates construed as optical path changing pieces 31) each switching plate of the plurality of switching plates being comprised a light-transmissive material through which the directed light beam pass,1 (Per Fig. 2, Ishihara discloses a plurality of optical path changing pieces 31 corresponding to a plurality of light beam passing portions 35. Ishihara col. 5 lines 1–15. [t]he plurality of optical path changing pieces 31 are formed as through openings in the rotating plate 32,) configured to be selectively inserted into a single optical path between the object plane and the sensor defining different optical path lengths (different optical path lengths construed as different range of movement of a focal point under a broadest reasonable interpretation (BRI)) to account for changes in a location of the object plane,2 (Per Fig. 2, Ishihara discloses that each optical change piece 31 has a different range of movement of a focal point as his rotating plate 32 revolves with a motor. Ibid. col. 4 lines 36–50. [t]he optical path changing pieces 31, each of which has a different range of movement of the focal point, are arranged on a rotating plate 32 at regular intervals along the rotation direction of the rotating plate 32.) wherein a selected one of the plurality of switching plates is positioned in the single optical path to transmit the directed light beams through the selected switching plate (Per Fig. 4, Ishihara discloses that a light beam passing portion 35 directs the beam through a rotating plate 32 such that lateral deviation of images is prevented. Ibid. col. 7 lines 8–21. [t]he optical path changing piece 31 is provided on the measurement object side surface 37 of the rotating plate 32 and at the position corresponding to the light beam passing portion 35.) while a remaining one or more switching plates of the plurality of switching plates are positioned outside the single optical path (positioned outside the single optical path construed as linearly displaced in an optical axis direction). (Per Fig. 7, Ishihara’s confocal optical apparatus 10B discloses that his aperture plate 12 is linearly displaced by his plate displacement portion 60. Ibid. col. 8 lines 42–55. [t]he aperture plate 12 is linearly displaced by an aperture plate displacement portion 60 in a predetermined direction perpendicular to the optical axis direction.) Regarding claim 10, Ishihara discloses a skin topology scanning system comprising: a platen surface to receive at least one object having a skin topology; (Fig. 1, 12 an aperture plate) a lens to direct light beams from the object plane; (Fig. 1, 13 an objective lens) a sensor to convert the directed light beams into an image; and (Fig. 1, 17 an image sensor) a plurality of switching plates, (a plurality of switching plates construed as optical path changing pieces 31) each switching plate of the plurality of switching plates being comprised a light-transmissive material through which the directed light beam pass, (Per Fig. 2, Ishihara discloses a plurality of optical path changing pieces 31 corresponding to a plurality of light beam passing portions 35. Ishihara col. 5 lines 1–15. [t]he plurality of optical path changing pieces 31 are formed as through openings in the rotating plate 32,) configured to be selectively inserted into a single optical path between the object plane and the sensor defining different optical path lengths (different optical path lengths construed as different range of movement of a focal point under a broadest reasonable interpretation (BRI)) to account for changes in a location of the object plane, (Per Fig. 2, Ishihara discloses that each optical change piece 31 has a different range of movement of a focal point as his rotating plate 32 revolves with a motor. Ibid. col. 4 lines 36–50. [t]he optical path changing pieces 31, each of which has a different range of movement of the focal point, are arranged on a rotating plate 32 at regular intervals along the rotation direction of the rotating plate 32.) wherein a selected one of the plurality of switching plates is positioned in the single optical path to transmit the directed light beams through the selected switching plate (Per Fig. 4, Ishihara discloses that a light beam passing portion 35 directs the beam through a rotating plate 32 such that lateral deviation of images is prevented. Ibid. col. 7 lines 8–21. [t]he optical path changing piece 31 is provided on the measurement object side surface 37 of the rotating plate 32 and at the position corresponding to the light beam passing portion 35.) while a remaining one or more switching plates of the plurality of switching plates are positioned outside the single optical path (positioned outside the single optical path construed as linearly displaced in an optical axis direction). (Per Fig. 7, Ishihara’s confocal optical apparatus 10B discloses that his aperture plate 12 is linearly displaced by his plate displacement portion 60. Ibid. col. 8 lines 42–55. [t]he aperture plate 12 is linearly displaced by an aperture plate displacement portion 60 in a predetermined direction perpendicular to the optical axis direction.) Regarding claim 2, Ishihara discloses the optical system, wherein the plurality of switching plates include flat optical elements having different optical properties. (Per Fig. 2, Ishihara discloses optical changing pieces 31. These pieces can be adjusted by refractive index and thickness thereof. Ishihara col. 4 lines 28–35. The range of the movement of the focal point can be controlled by the refractive index and the thickness of the optical path changing piece 31.) Regarding claim 3, Ishihara discloses the optical system, wherein the optical properties include thickness of the plurality of switching plates. (Per Fig. 2, Ishihara discloses optical changing pieces 31. These pieces can be adjusted by refractive index and thickness thereof. Ishihara col. 4 lines 28–35. The range of the movement of the focal point can be controlled by the refractive index and the thickness of the optical path changing piece 31.) Regarding claim 5, Ishihara discloses the optical system, wherein the plurality of switching plates are positioned in an image space of the optical system between the lens and the sensor. (Per Fig. 1, Ishihara’s confocal optical apparatus 10 comprises the aperture plate 12 perpendicular to an illumination optical system 11, which space exists. Ishihara col. 3 lines 39–53. [a]n aperture plate 12 arranged so that the main surface thereof is perpendicular to the optical axis direction of the illumination optical system 11,) Regarding claim 6, Ishihara discloses the optical system, wherein the plurality of switching plates are positioned in an object space of the optical system between the object plane and the lens. (Per Fig. 1, Ishihara discloses that his object lens 13 is directed into a measurement object 15 such that a light is focused at a spot. Ishihara col. 4 lines 1–13. The light beam is then irradiated by the objective lens 13 onto the measurement object 15 so as to be converged at a spot (object side converging point) conjugate with the aperture 25. Each of the object side converging points is located on the surface (hereinafter referred to as object side converging surface) which is formed at a predetermined position in the Z-axis direction so as to be perpendicular to the optical axis direction.) Regarding claim 9, Ishihara discloses the optical system, further comprising: a solenoid motor to move the plurality of switching plates. (Per Fig. 2, Ishihara discloses a motor such that his objective lens 13 moves in optical axis. Ishihara col. 4 lines 36–50. [s]uch as a motor, the position of the object side converging surface of the objective lens 13 can be moved discretely (stepwise) in the Z direction (optical axis direction) each time each of the optical path changing pieces 31 crosses the optical axis of the objective lens 13.) Regarding claim 11, Ishihara discloses the skin topology scanning system, wherein a first configuration, the platen surface is a top surface of a prism, (Fig. 1, 12 an aperture plate) and wherein in a second configuration, the platen surface is a membrane surface on the top surface of the prism. (Fig. 2, 17 a plurality of photo-detectors 17) Regarding claim 12, it has been rejected in the same manner as claim 2. Regarding claim 13, it has been rejected in the same manner as claim 3. Regarding claim 15, it has been rejected in the same manner as claim 5. Regarding claim 16, it has been rejected in the same manner as claim 6. Regarding claim 18, it has been rejected in the same manner as claim 9. 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. Claims 4 and 14 are rejected under 35 U.S.C. § 103 as being unpatentable over Ishihara in view of He et al. (U.S. 11,320,693 B2). Regarding claim 4, Ishihara fails to specifically disclose the optical system, wherein the optical system is included in a fingerprint scanner and the object is a finger. In related art, He discloses the optical system, wherein the optical system is included in a fingerprint scanner and the object is a finger. (Per Fig. 2A, He discloses finger sensing areas in a device screen. He col. 10 line 51 – col. 11 line 3. [F]IG. 2A shows a fingerprint sensing zone in the device screen for a finger to touch which may be illuminated as a visibly identifiable zone or area for a user to place a finger for fingerprint sensing.) Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date to incorporate the teachings of He into the teachings of Ishihara to make mobile devices that sense robust and reliable fingerprint. Id. col. 4 lines 16–30. Regarding claim 14, it has been rejected in the same manner as claim 4. Claims 7–8 and 17 are rejected under 35 U.S.C. § 103 as being unpatentable over Ishihara in view of Scott et al. (U.S. 7,808,712 B2). Regarding claim 7, Ishihara fails to specifically disclose the optical system, wherein the plurality of switching plates include a first set of switching plates positioned in an image space of the optical system between the lens and the sensor and second set of switching plates positioned in an object space of the optical system between the object plane and the lens. In related art, Scott discloses the optical system, wherein the plurality of switching plates include a first set of switching plates positioned in an image space of the optical system between the lens and the sensor and second set of switching plates positioned in an object space of the optical system between the object plane and the lens. (Per Fig. 2, Scott discloses first and second object planes between a lens and a camera to capture first and second images. Scott col. 5 lines 44–59. [s]o to enable images of axially spaced first and second object planes on path 2 to be brought into focus on surface 13.) Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date to incorporate the teachings of Scott into the teachings of Ishihara to provide different output beams in each optical path. Ibid. col. 3 lines 3–23. Regarding claim 8, Ishihara fails to specifically disclose the optical system, wherein the object plane is defined by a platen surface of a prism to receive the object in a first configuration and is defined by a membrane on the platen surface of the prism to receive the object in a second configuration. In related art, Scott discloses the optical system, wherein the object plane is defined by a platen surface of a prism to receive the object in a first configuration and is defined by a membrane on the platen surface of the prism to receive the object in a second configuration. (Per Fig. 2, Scott discloses a first mirror by reflection and a second mirror by transmission. Scott col. 5 lines 44–59. [e]mbodied as a cube beam splitter, along a first path 3 to a first mirror by reflection and along a second path 4 to a second mirror 11 by transmission.) Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date to incorporate the teachings of Scott into the teachings of Ishihara to provide different output beams in each optical path. Ibid. col. 3 lines 3–23. Regarding claim 17, it has been rejected in the same manner as claim 7. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to BENEDICT LEE whose telephone number is (571)270-0390. The examiner can normally be reached 10:00-17:00 (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, Stephen R. Koziol can be reached at (408) 918-7630. 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. /BENEDICT E LEE/Examiner, Art Unit 2665 /Stephen R Koziol/Supervisory Patent Examiner, Art Unit 2665 1 Examiner construed that a plurality of switching plates as optical change pieces 31 as Ishihara can also change optical path with his rotating plate 32 in Fig. 2. Further, Examiner notes that Applicant fails to specifically disclose that the switching paths have different thickness. It is also noteworthy that Applicant uses a plate for changing the optical path length. [i]t may be beneficial to have a switching plate rotated with respect to the optical axis since rotation of a plate will affect the optical path length. See Applicant’s Spec. ¶23. 2 Examiner alleges Applicant does not definitely teach how different optical path lengths are defined to demonstrate changes in terms of a plane location in light of specification.
Read full office action

Prosecution Timeline

Dec 15, 2023
Application Filed
Jan 26, 2026
Non-Final Rejection mailed — §102, §103
Apr 24, 2026
Response Filed
Jun 02, 2026
Final Rejection mailed — §102, §103
Aug 03, 2026
Request for Continued Examination
Aug 05, 2026
Response after Non-Final Action
Sep 02, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Prosecution Projections

3-4
Expected OA Rounds
88%
Grant Probability
99%
With Interview (+13.1%)
2y 9m (~0m remaining)
Median Time to Grant
High
PTA Risk
Based on 123 resolved cases by this examiner. Grant probability derived from career allowance rate.

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