Prosecution Insights
Last updated: October 23, 2026
Application No. 18/609,318

OPTICAL MODULE AND FLEXIBLE SUBSTRATE

Final Rejection §103
Filed
Mar 19, 2024
Priority
Mar 31, 2023 — JP 2023-058740
Examiner
WOLDEGEORGIS, ERMIAS T
Art Unit
2893
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Sumitomo Electric Industries Ltd.
OA Round
2 (Final)
71%
Grant Probability
Favorable
3-4
OA Rounds
3m
Est. Remaining
83%
With Interview

Examiner Intelligence

Grants 71% — above average
71%
Career Allowance Rate
543 granted / 766 resolved
+2.9% vs TC avg
Moderate +12% lift
Without
With
+12.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 10m
Avg Prosecution
57 currently pending
Career history
830
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
70.4%
+30.4% vs TC avg
§102
24.5%
-15.5% vs TC avg
§112
4.2%
-35.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 766 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 . Response to Amendment Claims 1, 9 and 10 have been amended; and claims 1-10 are currently pending. Priority Acknowledgment is made of applicant's claim for foreign priority under 35 U.S.C. 119(a)-(d). 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. Claims 1, 2, 3, 6, and 10 are rejected under 35 U.S.C. 103 as being unpatentable over Coult et al. (US 2015/0180580 A1, hereinafter “Coult”) in view of Shirao et al. (US 2022/0057256 A1, hereinafter “Shirao”) In regards to claim 1, Coult discloses (See, for example, Fig. 1) an optical module (90) comprising: a package having a first surface and a second surface parallel to the first surface (base plate/mounting platform supporting heat sinks 106/108, “an optional base plate (not shown0 may be implemented to support the PIC 104 … . The base plate may support the PIC 104 and the modulator drier 102…”, See Par [0037]); a driver IC (102) mounted on the first surface via a heat sink block (108); an optical circuit element (104) mounted on the second surface via a temperature adjustment element (106, “the PIC 104 may be mounted on the heat sink 106 which may be implemented as any desired device configured to remove thermal energy or control the temperature of the PIC 104…”, See Par [0037]); and a flexible substrate (100) mounted on the driver IC (102) and the optical circuit element (104), and electrically connected to the driver IC (102) and the optical circuit element (104), wherein the flexible substrate includes a main body extending in a first direction and a second direction intersecting the first direction and a wiring formed on the main body (substrate 116 carrying impedance-controlled transmission structure 126 with signal lines 131a, 131b, 135a, 135b, See Figs. 2-3). Coult is silent about the main body includes a first end facing the optical circuit element in a plan view seen in a third direction intersecting the first direction and the second direction, the wiring includes a first lead portion protruding from the first end to an outside of the main body along the first direction in the plan view, and the first lead portion is connected to the optical circuit element. Shirao while disclosing an optical module teaches (See, for example, Fig. 9) the main body (70c) includes a first end (end surface on the first side of the base material 70c) facing the optical circuit element (50(50a)) in a plan view seen in a third direction (thickness direction of FPC 70, normal to first main surface 70a and second main surface 70b, See for example, Fig. 4) intersecting the first direction (longitudinal direction of FPC 70, along which signal wiring 71 extends from first end to the second end of base material 70c) and the second direction (width direction of FPC 70, along which signal wiring layer 71, power supply wiring layer 72 and ground wiring layers 76, 77 are arranged in parallel, See Fig. 6), the wiring (signal wiring layer 71) includes a first lead portion (electrode protruding portion 71a) protruding from the first end to an outside of the main body along the first direction in the plan view (signal wiring layer 71 extends from the first end to the second end of base material 70c and further has electrode protruding portion 71a protruding from the end surface on the first end side of base material 70c, beyond the base material, along the extension direction of signal wiring layer 71, See Fig. 9), and the first lead portion is connected to the optical circuit element (an electrode protruding portion 71a in which the signal wiring layer 71 protrudes from an end surface on a first end side of a base material 70c, and by directly connecting the electrode protruding portion 71a to a signal wiring layer 41 formed on a ceramic substrate 40 with solder, See Par [0145]; and See Par [0059] and Fig. 3). Therefore, it would have been obvious to one having ordinary skill in the art before the effective filing date of the invention to modify Coult by Shirao because directly connecting the protruding electrode portion to the optical element side wiring prevents deterioration of high frequency characteristics and enables higher speed signal transmission. In regards to claim 10, Coult discloses (See, for example, Figs. 1-3) a flexible substrate (100) comprising: a main body (116) extending in a first direction and a second direction intersecting the first direction; and a wiring formed on the main body (substrate 116 carrying impedance-controlled transmission structure 126 with signal lines 131a, 131b, 135a, 135b, See Figs. 2-3). Coult is silent about the main body includes a first end facing the optical circuit element in a plan view seen in a third direction intersecting the first direction and the second direction, the wiring includes a first lead portion protruding from the first end to an outside of the main body along the first direction in the plan view, and the first lead portion is connected to the optical circuit element. Shirao while disclosing an optical module teaches (See, for example, Fig. 9) the main body (70c) includes a first end (end surface on the first side of the base material 70c) facing the optical circuit element (50(50a)) in a plan view seen in a third direction (thickness direction of FPC 70, normal to first main surface 70a and second main surface 70b, See for example, Fig. 4) intersecting the first direction (longitudinal direction of FPC 70, along which signal wiring 71 extends from first end to the second end of base material 70c) and the second direction (width direction of FPC 70, along which signal wiring layer 71, power supply wiring layer 72 and ground wiring layers 76, 77 are arranged in parallel, See Fig. 6), the wiring (signal wiring layer 71) includes a first lead portion (electrode protruding portion 71a) protruding from the first end to an outside of the main body along the first direction in the plan view (signal wiring layer 71 extends from the first end to the second end of base material 70c and further has electrode protruding portion 71a protruding from the end surface on the first end side of base material 70c, beyond the base material, along the extension direction of signal wiring layer 71, See Fig. 9), and the first lead portion is connected to the optical circuit element (an electrode protruding portion 71a in which the signal wiring layer 71 protrudes from an end surface on a first end side of a base material 70c, and by directly connecting the electrode protruding portion 71a to a signal wiring layer 41 formed on a ceramic substrate 40 with solder, See Par [0145]; and See Par [0059] and Fig. 3). Therefore, it would have been obvious to one having ordinary skill in the art before the effective filing date of the invention to modify Coult by Shirao because directly connecting the protruding electrode portion to the optical element side wiring prevents deterioration of high frequency characteristics and enables higher speed signal transmission. In regards to claim 2, Coult discloses (See, for example, Fig. 1) that wherein a flexibility of the first lead portion is larger than a flexibility of the main body (the limitation is an inherent property of the lead structure. A lead portion lacking the base film and protection film of the main body is necessarily more flexible than the reinforced main body). In regards to claim 3, Coult as modified above discloses (See, for example, Figs. 1 and 2) the first lead portion (end closer to 124) includes a first coupling portion connected to the optical circuit element (104) via a bump (128b, 128c) formed on the optical circuit element (104). In regards to claim 6, Coult discloses (See, for example, Figs. 1 and 2 and 3) the main body (116) includes a second end (end closer to 122) opposite to the first end (124), the wiring includes a second lead portion (142a, 142b, 128a, 128d, See Fig. 2) protruding from the second end (end closer to 122) to the outside of the main body (116) along the first direction, and the second lead portion (142a, 142b, 128a, 128d, See Fig. 2) is connected to the driver IC (102). Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Coult in view of Shirao and Ozaki et al. (JP 2018-189699 A, hereinafter “Ozaki”). In regards to claim 7, Coult discloses (See, for example, Fig. 1) the first lead portion (138a, 138b, 128b, 128c, See Fig. 2) includes a first coupling portion connected to the optical circuit element (104) via a bump (128b, 128,See Fig. 2) formed on the optical circuit element (104), the second lead portion (142a, 142b, 128a, 128d, See Fig. 2) includes a second coupling portion connected to the driver IC (102) via a bump (128a, 128d, See Fig. 2) formed on the driver IC (102). However, Coult fails to explicitly teach that an inclination of a straight line passing through the first coupling portion and the second coupling portion with respect to the first surface is 10° or less. Ozaki while disclosing an optical transmitter/modulator teaches (See, for example, Fig. 1) an inclination of a straight line passing through the first coupling portion and the second coupling portion with respect to the first surface is 10° or less (See, for example, page 9 third full paragraph). Therefore, it would have been obvious to one having ordinary skill in the art before the effective filing date of the invention to configure the interconnect bridge assembly of Coult such that the inclination through the first and second coupling portions is within ±30 range as taught by Ozaki because this would provide adequate connection strength. Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Coult in view of Shirao and Ozaki as applied to claim 7 above, and further in view of Uemura et al. (US 2012/0045168 A, hereinafter “Uemura”). In regards to claim 8, Coult discloses all limitations of claim 7 above except that wherein the first coupling portion and the second coupling portion are covered with resin. Uemura while disclosing a flexible optical wiring board module teaches (See, for example, Fig. 5) the first coupling portion (43a) and the second coupling portion (43b) are covered with resin (50). Therefore, it would have been obvious to one having ordinary skill in the art before the effective filing date of the invention to cover the bump joints between the interconnect bridge assembly of Coult and both PIC and the driver with underfill resin of Uemura would maintain electrical connection reliability of the bump joints against mechanical and thermal stress. Allowable Subject Matter Claims 4 and 5 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Claim 9 is allowable over the prior art of record. In regards to claim 9, none of the cited references, alone or in combination, provides a teaching or a reasonable motivation to arrive at a lead portion protruding from an end of the flexible substrate facing a driver IC and connected to the driver IC. Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled “Comments on Statement of Reasons for Allowance.” Response to Arguments Applicant’s arguments with respect to claims 1 and 10 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. 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. Correspondence Any inquiry concerning this communication or earlier communications from the examiner should be directed to ERMIAS T WOLDEGEORGIS whose telephone number is (571)270-5350. The examiner can normally be reached on Monday-Friday 8 am - 5 pm E.S.T.. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Britt Hanley can be reached on 571-270-3042. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative or access to the automated information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /ERMIAS T WOLDEGEORGIS/Primary Examiner, Art Unit 2893
Read full office action

Prosecution Timeline

Mar 19, 2024
Application Filed
May 07, 2026
Non-Final Rejection mailed — §103
Aug 05, 2026
Response Filed
Oct 16, 2026
Final Rejection mailed — §103 (current)

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Prosecution Projections

3-4
Expected OA Rounds
71%
Grant Probability
83%
With Interview (+12.1%)
2y 10m (~3m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 766 resolved cases by this examiner. Grant probability derived from career allowance rate.

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