Prosecution Insights
Last updated: July 17, 2026
Application No. 18/613,360

Optical Module and Optical Communication Device

Non-Final OA §103
Filed
Mar 22, 2024
Priority
Sep 24, 2021 — CN 202111124268.2 +2 more
Examiner
PAPE, ZACHARY
Art Unit
2835
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Huawei Technologies Co., Ltd.
OA Round
1 (Non-Final)
72%
Grant Probability
Favorable
1-2
OA Rounds
1m
Est. Remaining
92%
With Interview

Examiner Intelligence

Grants 72% — above average
72%
Career Allowance Rate
801 granted / 1106 resolved
+4.4% vs TC avg
Strong +19% interview lift
Without
With
+19.2%
Interview Lift
resolved cases with interview
Typical timeline
2y 5m
Avg Prosecution
36 currently pending
Career history
1137
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
81.7%
+41.7% vs TC avg
§102
9.6%
-30.4% vs TC avg
§112
7.2%
-32.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1106 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 . Email Communication Applicant is encouraged to authorize the Examiner to communicate via email by filing form PTO/SB/439 either via USPS, Central Fax, or EFS-Web. See MPEP 502.01, 502, 502.05. Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. Information Disclosure Statement The information disclosure statements filed 1/9/2025, 3/31/2025 have been fully considered and are attached hereto. Election/Restrictions Applicant's election with traverse of Species XII in the reply filed on 3/31/2026 is acknowledged. The traversal is on the ground(s) that species XII and species XXII, XXV, and XXVI include common characteristics/features and are related and/or not distinct that will require a serious search and/or examination burden. This is not found persuasive because species XXII, XXV, and XXVI all have distinct features which are a search and examination burden. For example, XII (Fig 13) requires fins on four faces of the module, whereas XXII, XXV, and XXVI do not. XXII (Fig 26) requires a cooler (14) and a conducting plate (12) with airflow channels (121) therein, whereas XII, XXV, and XXVI (Figs 13, 28 and 29) do not. And XXVI (Fig 29) requires a first housing (111) and a second housing (112) which are detachable, whereas XII, XXII, and XXV do not. The requirement is still deemed proper and is therefore made FINAL. Note: On page 2 of the election dated 3/31/2026, Applicant notes that claim 16 reads on Species XIII (Fig 13) however the Examiner respectfully disagrees. There is nothing in the drawings or written description that discloses the limitations of claim 16 with respect to elected Fig 13. Claim 16 does appears to have explicit support with respect to Fig 17 (See Fig 17 and ¶ 0163 of the written description). Accordingly, claim 16 is believed to be drawn to unelected Species XVI and has been withdrawn from consideration. Specification The title of the invention is not descriptive. A new title is required that is clearly indicative of the invention to which the claims are directed. A new title should be provided which references the heat dissipation aspects of the claimed invention. 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. This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention. Claims 1, 13, 23, 26 are rejected under 35 U.S.C. 103 as being unpatentable over Sharf et al. (US 9,509,102 – hereinafter, “Sharf”) in view of Yamashita et al. (US 6,529,374 – hereinafter, “Yamashita”). With respect to claims 1, 13 Sharf teaches (In Fig 6) an optical module (106, Col. 3, ll. 43-45) comprising: a body (130) comprising: a first end face comprising at least one of an optical interface or an electrical interface (Interface of 106 that connects to 147); a second end face (See Fig 6) opposite the first end face; and at least one side face (See Fig 6). Sharf fails to specifically teach or suggest a heat dissipation structure located on the second end face. Yamashita, however, teaches an electronic apparatus (10) which has heat dissipation fins (18) located on a front side thereof (Col. 4, ll. 35-39, “a number of radiating fins 18 formed on the front face 12a”). It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Yamashita with that of Sharf, such that Sharf includes a heat dissipation structure located on its second end face, as taught by Yamashita, since doing so would achieve higher radiation effects (Col. 4, ll. 35-39) on the module of Sharf. With respect to claim 23, Sharf teaches (In Fig 6) an optical communication device (100) comprising: an optical module connector (142); and at least one optical module (106, Col. 3, ll. 43-45) coupled to the optical module connector (142, see Fig 5) and comprising: a body comprising: a first end face (End face of 106 that is adjacent to 142 when plugged into 104) comprising at least one of an optical interface or an electrical interface (106 has a connector interface which connects to 142); a second face (Front face) opposite the first end face; and at least one side face (See Fig 6, side face with 220 thereon) Sharf fails to specifically teach or suggest a heat dissipation structure located on the second end face. Yamashita, however, teaches an electronic apparatus (10) which has heat dissipation fins (18) located on a front side thereof (Col. 4, ll. 35-39, “a number of radiating fins 18 formed on the front face 12a”). It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teachings of Yamashita with that of Sharf, such that Sharf includes a heat dissipation structure located on its second end face, as taught by Yamashita, since doing so would achieve higher radiation effects (Col. 4, ll. 35-39) on the module of Sharf. With respect to claim 26, Sharf further teaches a heat dissipation structure (220) located on the at least one side face (See Fig 6). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US 2013/0046475 to Cook et al. which teaches a module with fins disposed on a front surface (¶ 0013); GB 2578781 to Tittenhofer et al. which teaches an optical module (310) with heat dissipation fins on a front side of the module (310, see Fig 3A); CN 204666874 to Zhang et al. which teaches a light receiving and sending module with heat dissipation device; CN 113710060 to Zhou et al. which teaches a double-layer optical module with heat dissipation device; and KR 20130084870 to Byun which teaches a pluggable optical transceiver with heat sink. Any inquiry concerning this communication or earlier communications from the examiner should be directed to ZACHARY M PAPE whose telephone number is (571)272-2201. The examiner can normally be reached M-F: 9am - 6pm 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, Jayprakash N Gandhi can be reached at 571-272-3740. 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. /ZACHARY PAPE/Primary Examiner, Art Unit 2835
Read full office action

Prosecution Timeline

Mar 22, 2024
Application Filed
Apr 15, 2024
Response after Non-Final Action
Apr 20, 2026
Non-Final Rejection mailed — §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12684734
IMMERSION COOLING SYSTEM FOR INTEGRATED CIRCUIT
3y 6m to grant Granted Jul 14, 2026
Patent 12684737
Sealed Rack Server Unit
2y 4m to grant Granted Jul 14, 2026
Patent 12684743
THERMAL MANAGEMENT SYSTEM INCLUDING AN OVERMOLDED LAYER AND A CONDUCTIVE LAYER OVER A CIRCUIT BOARD
2y 2m to grant Granted Jul 14, 2026
Patent 12672266
ELECTRONIC CONTROL DEVICE
2y 2m to grant Granted Jun 30, 2026
Patent 12666579
ELECTRONIC DEVICE
2y 5m to grant Granted Jun 23, 2026
Study what changed to get past this examiner. Based on 5 most recent grants.

Strategy Recommendation AI-generated — please review before filing

Get a prosecution strategy drawn from examiner precedents, rejection analysis, and claim mapping.
Typically takes 5-10 seconds — AI-generated, attorney review required before filing

Prosecution Projections

1-2
Expected OA Rounds
72%
Grant Probability
92%
With Interview (+19.2%)
2y 5m (~1m remaining)
Median Time to Grant
Low
PTA Risk
Based on 1106 resolved cases by this examiner. Grant probability derived from career allowance 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