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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 August 18, 2026 has been entered.
Claim Objections
Claim 1 is objected to because of the following informalities: the second indented limitation of claim 1 recites “a further substrate comprising optical devices (260; 265)” which includes reference numerals that Applicant seemingly intended to delete.
Appropriate correction is required.
Note - Claim 21 is labeled “not entered” which is not a proper status identifier. Because it was not entered in the after final, it would have been entered with the RCE filed, but it appears as if the applicant has taken it off the record as “‘not labeled’ with no claim limitations” it is not part of the official file. In a future amendment, if Applicant desires a claim 21, it would be considered a “new claim”.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claims 13-15 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention.
Claim 13 is rejected because it includes at least language “an apertured substrate”, “a process of vacuum injection molding”, “a mold compound including a first and a second surface”, “an optical element”, and “a further substrate” that was introduced in claim 1, from which this claim includes all the limitations from, so are these limitations the same as the ones introduced in claim 1 or “a second apertured substrate, etc….”
Claims 14 and 15 includes all the limitations of claim 13 and are rejected for the same reason (please review all the introduced limitations in claims 13=15 and see if they have antecedent basis from claim 13).
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 1-15, 17 and 19-20 are rejected under 35 U.S.C. 103 as being unpatentable over US 2019/0051762 A1 to Yu (hereinafter “Yu” – previously cited reference).
Regarding claim 1, Yu discloses a method of wafer-level manufacturing of an optical package (285) (forming wafer-sized optical package; abstract; paragraphs [0001], [0387], [0412]), the method comprising:
forming an apertured substrate (170; 405) by a process of vacuum injection molding (forming encapsulation material 8 layer having apertures and formed by vacuum injection molding; Fig. 3; paragraphs [0477], [0484]), the apertured substrate comprising a mold compound having a first surface and a second surface opposite the first surface and having a plurality of apertures (apertured material 8 layer comprises curably epoxy with opposite first and second side surfaces within each aperture; Fig. 3; paragraph [0480]), each aperture extending from the first surface to the second surface (apertures of material 8 extend between opposing first and second side surfaces formed by aperture; Fig. 3), each aperture (175A; 175B) in the apertured substrate configured to include an optical element (225; 420; 425) (each aperture within encapsulation material 8 layer includes optical component 9; Fig. 3; paragraph [0477]); and
coupling the apertured substrate to a further substrate (255) comprising optical devices (260; 265) aligned with the apertures in the apertured substrate (encapsulation material 8 layer coupled to substrate 3 having active optical components 2 which are aligned with apertures of encapsulation material 8 layer; Fig. 3; paragraphs [0477]-[0478]),
wherein the first surface comprises a top surface of the mold compound and the second surface comprises a bottom surface of the mold compound, the top and bottom surfaces of the mold compound defining a thickness of the apertured substrate (first surface comprises a top surface of apertured material 8 layer and second surface comprises a bottom surface of apertured material 8 layer, where the top and bottom surfaces of apertured material 8 layer defines a thickness dimension of a part of apertured material 8 layer; Fig. 3), each aperture is a stop hole defined by sidewalls extending between the top and bottom surfaces of the mold compound (each aperture disposed partially through material 8 layer and defined by sidewalls of material extending between top and bottom surfaces of the layer; Fig. 3),
wherein the apertured substrate is formed prior to coupling to the further substrate (encapsulation material 8 layer coupled to auxiliary layer 53 after material 8 layer is formed; Figs. 3 and 10), and
wherein the mold compound is optically opaque to wavelengths of radiation emitted by and/or sensed by the optical devices (material 8 layer having apertured opaque coating 23 upon surface 10, where coating 23 has corresponding apertures to that of material 8 layer and is opaque to wavelengths detected/emitted by active optical components 2; Fig. 6B; paragraphs [0529]-[0530]).
Yu fails to explicitly disclose each aperture is a through hole defined by sidewalls extending between the top and bottom surfaces of the mold compound.
However, Yu already discloses trenches 27 and gaps 56 that are disposed through the entirety of apertured material 8 layer (see Figs. 7 and 10). Further, Yu could alternatively be interpreted such that the apertured substrate could be defined as just the partial layer of material 8 that includes the apertures.
Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have modified Yu in this manner in order to potentially provide thinner modules with reduced optical paths and accurate alignment between active and passive optical components.
Regarding claim 2, Yu discloses the method of claim 1, comprising a step of forming an optical element in each aperture by jetting or molding an epoxy into each aperture, the epoxy transparent to radiation emitted and/or sensed by the optical devices (encapsulation material 8 having optical component 9 in aperture formed therein and fabricated by molding using clear curable epoxy material which is transparent to light emitted from optical components 2; paragraphs [0401]-[0404], [0480]).
Regarding claim 3, Yu discloses the method of claim 2, further comprising at least one of: curing the epoxy; and/or grinding and/or polishing the epoxy after hardening of the epoxy (material 8 made from epoxy that is cured; paragraph [0480]).
Regarding claim 4, Yu discloses the method of claim 1, comprising a step of forming at least one layer of material over the optical element, the at least one layer of material configured as: a filter; a polarizer; an anti-reflective coating; and/or a diffuser (spectral filter 52 disposed over optical components; Fig. 10; paragraph [0670]).
Regarding claim 5, Yu discloses the method of claim 1, comprising adhering or forming a lens over one or both sides of the optical element (optical component 9 has a lens surface formed thereover as a part of a lens element; paragraphs [0477], [0612]).
Regarding claim 6, Yu discloses the method of claim 5, wherein the lens is formed by a process of replication (optical components 9 may be formed by a replication process; paragraphs [0484]-[0485]).
Regarding claim 7, Yu discloses the method of claim 1, wherein each aperture is formed around the optical element (apertures of material 8 layer are each formed around an optical element 9; Fig. 3).
Regarding claim 8, Yu discloses the method of claim 7, wherein the apertured substrate is formed on a portion of an upper and a lower surface of the optical element, such that the optical element is retained by the apertured substrate (encapsulation material 8 layer has an upper portion that is formed on a portion of top and bottom surfaces of the optical components 9 which retain it; Fig. 3).
Regarding claim 9, Yu discloses the method of claim 7, wherein the apertured substrate forms a frame configured to hold the optical element, the frame arranged around at least a portion of a perimeter of the optical element (encapsulation material 8 layer apertures frame the optical components 9 by being disposed around a perimeter thereof; Fig. 3).
Regarding claim 10, Yu discloses the method of claim 1, wherein the apertured substrate is formed to comprise at least one of: an optical baffle; a spacer; and/or a cap structure (encapsulation material 8 layer forms a cap structure; Fig. 3).
Regarding claim 11, Yu discloses the method of claim 1, comprising at least one step of: forming a further apertured substrate having apertures configured for baffles and/or spacers; and adhering the further apertured substrate to the apertured substrate such that apertures in both substrates are aligned (additional wafer with optical components 9 for lenses or baffles may be stacked upon existing substrate where apertures would be aligned in order to function; paragraphs [0013], [0017]).
Regarding claim 12, Yu discloses the method of claim 1, comprising a step of singulating the apertured substrate and the further substrate after the apertured substrate has been coupled to the further substrate, to provide a plurality of optical packages, each optical package comprising at least one optical device and at least one optical element (material 8 layer and substrate 3 may be singulated to provide a plurality of optical modules each which may have one optical component 2 and one optical component 9; Fig. 9; paragraphs [0013], [0017], [0657]-[0659]).
Regarding claim 13, Yu discloses an optical package formed according to the method of claim 1 (forming wafer-sized optical package; abstract; paragraphs [0001], [0387], [0412]), comprising: an apertured substrate formed by a process of vacuum injection molding (forming encapsulation material 8 layer having apertures and formed by vacuum injection molding; Fig. 3; paragraphs [0477], [0484]), the apertured substrate comprising a mold compound having a first surface and a second surface opposite the first surface and having apertures (apertured material 8 layer comprises curably epoxy with opposite first and second side surfaces within each aperture; Fig. 3; paragraph [0480]), each aperture extending from the first surface to the second surface (apertures of material 8 extend between opposing first and second side surfaces formed by aperture; Fig. 3), each aperture in the apertured substrate configured to include an optical element (each aperture within encapsulation material 8 layer supports optical component 9; Fig. 3; paragraph [0477]) and a further substrate comprising optical devices aligned with the apertures in the apertured substrate, wherein the apertured substrate and the further substrate are coupled to each other (encapsulation material 8 layer coupled to substrate 3 having active optical components 2 which are aligned with apertures of encapsulation material 8 layer; Fig. 3; paragraphs [0477]-[0478]),
wherein the first surface comprises a top surface of the mold compound and the second surface comprises a bottom surface of the mold compound, the top and bottom surfaces of the mold compound defining a thickness of the apertured substrate (first surface comprises a top surface of apertured material 8 layer and second surface comprises a bottom surface of apertured material 8 layer, where the top and bottom surfaces of apertured material 8 layer defines a thickness dimension of a part of apertured material 8 layer; Fig. 3), each aperture is a stop hole defined by sidewalls extending between the top and bottom surfaces of the mold compound (each aperture disposed partially through material 8 layer and defined by sidewalls of material extending between top and bottom surfaces of the layer; Fig. 3), and
wherein the mold compound is optically opaque to wavelengths of radiation emitted by and/or sensed by the optical devices (material 8 layer having apertured opaque coating 23 upon surface 10, where coating 23 has corresponding apertures to that of material 8 layer and is opaque to wavelengths detected/emitted by active optical components 2; Fig. 6B; paragraphs [0529]-[0530]).
Yu fails to explicitly disclose each aperture is a through hole defined by sidewalls extending between the top and bottom surfaces of the mold compound.
However, Yu already discloses trenches 27 and gaps 56 that are disposed through the entirety of apertured material 8 layer (see Figs. 7 and 10). Further, Yu could alternatively be interpreted such that the apertured substrate could be defined as just the partial layer of material 8 that includes the apertures.
Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have modified Yu in this manner in order to potentially provide thinner modules with reduced optical paths and accurate alignment between active and passive optical components.
Regarding claim 14, Yu discloses the optical package of claim 13, wherein the optical devices comprise: a device configurable to emit infrared radiation; and/or a radiation-sensitive device configurable to sense infrared radiation (optical components 2 may emit infrared light; paragraph [0404]).
Regarding claim 15, Yu discloses an apparatus comprising the optical package according to claim 13, wherein the apparatus is one of: a smartphone; a cellular telephone; a tablet; or a laptop device (optical package may take form of smartphones, gaming systems, laptop computers, tablets, and wearable technology; paragraph [0001]).
Regarding claim 17, Yu discloses the method of claim 1, wherein the first surface and the second surface are flat (first and second side surfaces are flat; Fig. 3). Yu fails to disclose wherein each optical element is flush with the first surface and the second surface of the apertured substrate and have a same thickness as the apertured substrate.
However, another interpretation of Yu discloses wherein each optical element is flush with the first surface and the second surface of the apertured substrate and have a same thickness as the apertured substrate (substrate member 61 having devices 2 flush with sidewalls of apertures and extending from top and bottom outer surfaces of member 61; Fig. 12D; paragraphs [0707], [0730]).
Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have modified the first interpretation of Yu to incorporate the teaching of the second interpretation of Yu in order to potentially provide greater planarity of the encapsulation material layer disposed thereover in order to provide enhanced optical coupling with the optical component.
Regarding claim 19, Yu discloses the method of claim 5, wherein forming a lens comprises providing a mold having a plurality of patterned cavities corresponding to a negative of a plurality of lenses and providing epoxy into the cavities, wherein the plurality of patterned cavities correspond to and align with the plurality of optical elements (replication tool 11 having plurality of patterned cavities which are negative of lens shape of component 9, where curable epoxy material 8 is provided in cavity in order to form lens shapes aligned with component 9; Fig. 4; paragraph [0491]).
Regarding claim 20, Yu discloses the method of claim 8, wherein a diameter of the optical element is greater than a diameter of the aperture above and below the optical element (aperture extending above and below a portion of component 9, where component is lens-shaped having a diameter value whereas aperture has planar shape; Fig. 3).
Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Yu in view of US 2010/0060157 A1 to Shi (hereinafter “Shi” – previously cited reference).
Regarding claim 18, Yu discloses the method of claim 1. Yu fails to disclose wherein the optical devices and the optical elements are separated by air gaps.
However, Shi discloses wherein the optical devices and the optical elements are separated by air gaps (lens 300 and encapsulated LED dies separated by air gap 404; Fig. 4; paragraphs [0032]-[0033]).
Yu and Shi are both considered to be analogous to the claimed invention because they are in the same field of optical packages having radiation-emitting devices and optical elements. Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to have modified Yu to incorporate the teaching of Shi in order to potentially provide additional refractive interfaces for desired beam shaping, improved light extraction efficiency and uniformity, thermal isolation and protection of the passive elements, additional chip heat dissipation paths, and stress reduction on the active element.
Response to Arguments
Applicant's arguments filed August 18, 2026 have been fully considered. Applicant submitted substantive amendments to claims 1 and 18 along with corresponding arguments. Specifically, Applicant again asserts the same arguments regarding canceled claim 16 as in the Response After Final of 07/13/2026. In the Advisory Action of 07/21/2026, Examiner noted that:
“Regarding amended claims 1 and 13, Applicant has amended in the content of canceled claim 16. During initial examination of newly added and now canceled claim 16, Examiner read this limitation as requiring the opposite of what is actually claimed, as pointed out by Applicant. However, had Examiner read the limitation of claim 16 as intended by Applicant, then Examiner would have cited to material 8 layer having apertured opaque coating 23 upon surface 10, where coating 23 has corresponding apertures to that of material 8 layer and is opaque to wavelengths detected/emitted by active optical components 2 (see Fig. 6B and paragraphs [0529]-[0530] of Yu). While Applicant amended this limitation into claims 1 and 13 in order to highlight Examiner’s misreading of claim 16, Applicant also states that, upon review of Yu, it fails to disclose this limitation. However, a cursory review of Yu (including the abstract) would reveal that this opaque coating is mentioned hundreds of times and is disclosed to be used in nearly an identical manner to that of Applicant’s mold compound 140 recited in paragraph [0086] of Applicant’s published application. Therefore, Yu discloses newly added and now canceled claim 16 and corresponding amended claims 1 and 13.”
Therefore, Examiner utilized the teaching of Fig. 6B and paragraphs [0529]-[0530] of Yu to disclose this limitation. Further, Applicant asserts that the further amendments are not disclosed by Yu in their totality, and Examiner agrees. However, after slightly adjusting the mapping of Yu, the only limitation not explicitly disclosed by Yu is “each aperture is a through hole defined by sidewalls extending between the top and bottom surfaces of the mold compound” which is rendered obvious by Yu as outlined above. Therefore, Yu discloses amended claims 1 and 13. Finally, Applicant asserts that Yu does not disclose the limitation of claim 2 related to forming the optical elements within each aperture. However, Examiner notes that the ‘aperture’ mapped from Yu includes the space that the component 9 is disposed within, which then meets the limitation of claim 2 and accounts for the assertions raised by Applicant regarding formation of the components 9 within the replication tool 11.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to IAN DEGRASSE whose telephone number is (571) 272-0261. The examiner can normally be reached Monday through Friday 8:30a until 5:00p.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, JEFF NATALINI can be reached on (571) 272-2266. The fax phone number for the organization where this application or proceeding is assigned is (571) 273-8300.
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/IAN DEGRASSE/Examiner, Art Unit 2818
/JEFF W NATALINI/Supervisory Patent Examiner, Art Unit 2818
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