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 .
Claim Objections
Each of the two iterations of claim 17 is objected to because of the following informalities: a typo is present in that the claim 17 label is used twice. The second iteration of the claim 17 label is being interpreted to read “claim 18”. Appropriate correction is required.
Claim Rejections - 35 USC § 102
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 1-16 and 19-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by 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]).
Regarding claim 2, Yu discloses the method of claim 1, comprising a step of forming an optical element (225; 420; 425) in each aperture (175A; 175B) by jetting or molding an epoxy (230) into each aperture, the epoxy transparent to radiation emitted and/or sensed by the optical devices (260; 265) (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 (230); 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 (200) over the optical element (225; 420; 425), 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 (215) over one or both sides of the optical element (225; 420; 425) (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 (215) 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 (175A; 175B) 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 (170) is formed on a portion of an upper and a lower surface of the optical element (225; 420; 425), 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 (170) forms a frame configured to hold the optical element (225; 420; 425), 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 (170) 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 (160; 250) having apertures configured for baffles and/or spacers; and adhering the further apertured substrate to the apertured substrate (170) 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 (170) and the further substrate (255; 420; 425) after the apertured substrate has been coupled to the further substrate (255; 420; 425), to provide a plurality of optical packages (285; 600), each optical package comprising at least one optical device (260; 265) and at least one optical element (225; 420; 425) (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 (285; 600) 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]).
Regarding claim 14, Yu discloses the optical package of claim 13, wherein the optical devices (260; 265) 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 (600) 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 16, Yu discloses the method of claim 1, wherein the mold compound is optically opaque to wavelengths of radiation emitted by and/or sensed by the optical devices (material 8 can include spectrally influencing material, such as absorbing particles or pigments, absorbing light of wavelengths outside a particular range of wavelengths emitted by or detectable by the active optical components 2; paragraph [0474]).
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 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.
Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Yu.
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.
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” – newly 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 February 2, 2026 have been fully considered. Applicant submitted substantive amendments to claim 1 and new claims 16-20 with corresponding arguments. Applicant’s remarks do not consider the full scope of amended claim 1 which includes the interpretation that first and second opposing surfaces are the opposing first and second side surfaces within each aperture of material 8 layer of Fig. 3 of Yu. Therefore, amended claim 1 is disclosed by Yu. New claims 16-20 are disclosed by one or both of Yu and Shi.
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.
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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