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 .
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.
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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 9/4/2026 has been entered.
Claim Rejections - 35 USC § 102/103
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1-4, 6-10, 12-15, and 18-20 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by US 12,055,775 (Cheng) or, in the alternative, under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) in view of web.archive.org/web/20200619220632/https://celsiainc.com/technology/vapor-chamber/ (celsiainc).
For claim 1, Cheng teaches an optical sub-assembly (fig. 1A-4B), comprising:
a housing that defines an enclosure (fig. 1B/3A, 111/112, col. 3, l. 7-9), wherein the housing comprises sidewalls (fig. 1B/3A, short vertical sides of 111 and 112) and a base that extends between the sidewalls (fig. 1B, top of 111; fig. 3A, bottom of 111), and wherein one of the sidewalls comprises an optical port configured to at least one of receive a receive optical signal or transmit a transmit optical signal (fig. 1A, 104, col. 3, l. 11);
an optical chip integrated directly within the enclosure, wherein the optical chip is configured to generate heat during operation (fig. 1B, laser diode of laser package 118a; col. 3, l. 32-33 and 53-54); and
an integrated heat spreader that extends at least partially between the sidewalls,
wherein the integrated heat spreader is integrated within the housing (fig. 1B, 120),
wherein the integrated heat spreader is thermally coupled to the optical chip to receive heat from the optical chip (fig. 1B, 118a),
wherein the integrated heat spreader contains a phase change material that is configured to undergo phase transitions between a first phase state and a second phase state, and
wherein the integrated heat spreader is configured to utilize the phase transitions to spread heat throughout the integrated heat spreader (Col. 3, l. 60-67, due to the two dimensional spread of heat provided by the heat spreader, the even spread is an inherent property of the device),
wherein the integrated heat spreader is configured to equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure (col. 3, l. 60-67; spreading heat in two dimensions effectively equalizes a heat load and minimizes a temperature gradient, for example the temperature gradient of the heat spreader, throughout the enclosure resulting from heat generation components 118a and 118b).
Further, the integrated heat spreader is substantially the same and configured similarly to the integrated heat spreader of the instant application and is therefore expected to inherently spread heat throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure based on the structural and configuration being similar to that in the claimed invention.
If it is determined that Cheng does not inherently teach the integrated heat spreader spreads throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure based on the structural and configuration being similar to that in the claimed invention then it is noted that Cheng teaches the vapor chamber may include the type available from Celsia Inc (col. 3, l. 65-67).
Celsiainc teaches a vapor chamber similar to the one used in Cheng where the vapor chamber spreads heat in two dimensions to transfer heat to a heatsink opposite the heat source (second figure, left configuration) in order to allow better isothermalization (i.e. spread heat evenly) and equalize a heat load or minimize a temperature gradient in order to reduce heat spots (see the general advantages listed in the section titles “Vapor Chamber benefits vs Heat Pipe” general advantages).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use the vapor chamber of celsiainc as a suitable integrated heat spreader/vapor chamber in the device of Cheng as suggested by Cheng such that the integrated heat spreader spreads heat evenly or substantially evenly throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout. The vapor chamber of celsiainc has the advantage of reducing heat spots.
For claim 2, Cheng teaches the integrated heat spreader forms the base (fig. 1B, top of 111 and 120 collectively form a base), and wherein the integrated heat spreader is mechanically coupled to at least one sidewall of the sidewalls (fig. 1B/3A, short vertical sides of 111 are mechanically coupled to 120; col. 4, l. 62-67).
For claim 3, Cheng teaches the integrated heat spreader comprises a chamber (fig. 1B, 120, col. 3, l. 60) that contains the phase change material (col. 4, l. 1-13), and wherein the chamber extends substantially throughout the base (fig. 1A/B).
For claim 4, Cheng teaches a package assembly disposed within the enclosure, and wherein the integrated heat spreader is mechanically coupled to the package assembly (fig. 1B, 116).
For claim 6, Cheng teaches an electrical feedthrough arranged at the base or at a sidewall, wherein the electrical feedthrough is configured to at least one of receive a first electrical signal from an outside of the housing and provide the first electrical signal within the enclosure or transmit a second electrical signal from the enclosure to the outside of the housing (fig. 4B, 116, col. 3, l. 9).
For claim 7, Cheng teaches an optical component arranged within the enclosure, wherein the optical component is a laser source, a tunable laser, a pump laser, or a photodiode (fig. 1b, 118a/118b, col. 3, l.53-59).
For claim 8, Cheng teaches the optical chip is an active component (fig. 1b, 118a, col. 3, l.53-54, the laser package is an active component).
For claim 9, Cheng teaches the optical chip includes at least one of a laser source, or a light modulator driver (fig. 1b, 118a, col. 3, l. 32-33 and 53-54, laser package housing a laser diode).
For claim 10, Cheng teaches the housing comprises a lid that extends between the sidewalls, arranged opposite to the base (fig. 1B, 112, substantially flat portion between sidewalls).
For claim 12, Cheng teaches an optical sub-assembly (fig. 1A-4B), comprising:
a housing (fig. 1B/3A, 111/112, col. 3, l. 7-9);
an optical chip integrated directly within the housing, wherein the at least one component is configured to generate heat during operation (fig. 1B, 118a; col. 3, l. 32- 34 and 53-54); and
an integrated heat spreader integrated within the housing (fig. 1B, 120),
wherein the integrated heat spreader is thermally coupled to the optical chip to receive heat from the optical chip (fig. 1B, 118a),
wherein the integrated heat spreader contains a phase change material that is configured to undergo phase transitions between a first phase state and a second phase state, and
wherein the integrated heat spreader is configured to utilize the phase transitions to spread heat throughout the integrated heat spreader (Col. 3, l.60-67, due to the two dimensional spread of heat provided by the heat spreader, the even spread is an inherent property of the device),
wherein the integrated heat spreader is configured to equalize a heat load throughout the housing, or minimize a temperature gradient of the optical sub-assembly throughout the housing (col. 3, l. 60-67; spreading heat in two dimensions effectively equalizes a heat load and minimizes a temperature gradient, for example the temperature gradient of the heat spreader, throughout the enclosure resulting from heat generation components 118a and 118b).
Further, the integrated heat spreader is substantially the same and configured similarly to the integrated heat spreader of the instant application and is therefore expected to inherently spread heat throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure based on the structural and configuration being similar to that in the claimed invention.
If it is determined that Cheng does not inherently teach the integrated heat spreader spreads heat evenly or substantially evenly throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure based on the structural and configuration being similar to that in the claimed invention then it is noted that Cheng teaches the vapor chamber may include the type available from Celsia Inc (col. 3, l. 65-67).
Celsiainc teaches a vapor chamber similar to the one used in Cheng where the vapor chamber spreads heat in two dimensions to transfer heat to a heatsink opposite the heat source (second figure, left configuration) in order to allow better isothermalization (i.e. spread heat evenly) and equalize a heat load or minimize a temperature gradient in order to reduce heat spots (see the general advantages listed in the section titles “Vapor Chamber benefits vs Heat Pipe” general advantages).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use the vapor chamber of celsiainc as a suitable integrated heat spreader/vapor chamber in the device of Cheng as suggested by Cheng such that the integrated heat spreader spreads heat evenly or substantially evenly throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout. The vapor chamber of celsiainc has the advantage of reducing heat spots.
For claim 13, Cheng teaches the housing comprises a base (fig. 1B, top of 111), and wherein the integrated heat spreader (fig. 1B, 120) is integrated in the base (col. 3, l. 14-16).
For claim 14, Cheng teaches the integrated heat spreader forms the base (fig. 1B and 3A, 111 along with integrated spreader 120 form the base).
For claim 15, Cheng teaches the integrated heat spreader comprises a chamber that contains the phase change material, and wherein the chamber extends substantially throughout the base (fig. 3A-3C, Col. 3, l.60-65; it is noted that “substantially” may be defined as “to a great or significant extent” and does not require the chamber to extend through a particular percentage of the base).
For claim 18, Cheng teaches the housing comprises a base (fig. 1B, top of 111; fig. 3A, bottom of 111), sidewalls (fig. 1B/3A, short vertical sides of 111 and 112), and a lid arranged opposite to the base (fig. 1B, 112, substantially flat portion between sidewalls), wherein the housing forms an enclosure (fig. 4B), and wherein the integrated heat spreader is integrated within the enclosure (fig. 4B, 120) and is mechanically coupled to the base or to the lid (col. 4, l.62-65).
For claim 19, Cheng teaches the housing comprises a base (fig. 1B, 112, substantially flat portion between sidewalls), sidewalls (fig. 1B/3A, short vertical sides of 111 and 112), and a lid arranged opposite to the base (fig. 1B, top of 111; fig. 3A, bottom of 111), wherein the integrated heat spreader is integrated in the lid (col. 4, l.62-65).
For claim 20, Cheng teaches wherein the integrated heat spreader forms the lid (111 and 120 may be collectively considered the lid, and, therefore, 111 along with 120 form the lid).
Claims 5, 11, and 17 are rejected under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) or, in the alternative, under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) in view of web.archive.org/web/20200619220632/https://celsiainc.com/technology/vapor-chamber/ (celsiainc).
For claim 5, Cheng teaches the housing is die cast (col. 4, l.62-63). Cheng does not explicitly teach the die cast material is made of at least one of a polymer, a ceramic, a metal, or a metal alloy. However, Cheng teaches zinc alloy as a die cast material (col. 5, l.31-32). It would have been obvious to one having ordinary skill in the art at the time the invention was made to use the metal alloy die cast material taught by Cheng in the die cast housing of Cheng, since it has been held to be within the general skill of a worker in the art to select a known material on the basis of its suitability for the intended use as a matter of obvious design choice. In re Leshin, 125 USPQ 416.
For claim 11, Cheng does not teach the enclosure is a hermetically sealed enclosure. However, the examiner previously took official notice that hermetically sealing enclosures were well-known in the art before the filing date of the claimed invention in order to protect elements therein. The applicant did not traverse. It is therefore taken to be admitted prior art. See MPEP 2144.03 C. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to hermetically seal the enclosure of Cheng as was well-known in order to protect elements therein.
For claim 17, Cheng does not teach the housing is a hermetically sealed. However, the examiner previously took official notice that hermetically sealing was well-known in the art before the effective filing date of the claimed invention in order to protect elements therein. The applicant did not traverse. It is therefore taken to be admitted prior art. See MPEP 2144.03 C. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to hermetically seal the housing of Cheng as was well-known in order to protect elements therein.
Claim 16 are rejected under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) in view of US 2004/0091268 (Hogan) or, in the alternative, under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) in view of web.archive.org/web/20200619220632/https://celsiainc.com/technology/vapor-chamber/ (celsiainc) and US 2004/0091268 (Hogan).
For claim 16, Cheng teaches the optical sub-assembly of claim 13 (fig. 1A-4B) further comprising a package assembly (fig. 1B and 4B, 118a; col. 3, l. 32-35 and 52-54; “laser diode package for housing a laser diode”) disposed within the housing (fig. 1B/3A, 111/112).
Cheng does not teach the base is brazed or soldered to the package assembly. However, the examiner previously took official notice that brazing and soldering were well-known in the art before the effective filing date of the claimed invention. The applicant did not traverse. It is therefore taken to be admitted prior art. See MPEP 2144.03 C. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use well-known brazing or soldering in order to connect the base and package assembly of Cheng with the benefit of allowing for heat conduction.
Cheng suggests that the package assembly encapsulates the optical chip (col. 3, l. 32-34; the diode package is for housing the laser diode) but does not explicitly state “the package assembly encapsulates the at least one component.”
However, Hogan teaches (fig. 1-4) an optical sub-assembly (fig. 1, 1; [0031]) with a package assembly within the housing of the subassembly (fig. 2, housing 7 of TOSA 2; [0032]) wherein the package assembly encapsulates the at least one component (fig. 3-4, 26; [0034]) in order to provide a hermetically sealed housing ([0032]).
It would have been obvious to use Hogan’s package assembly in the device of Cheng in order to provide a hermetically sealed housing.
Claim 21 is rejected under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) in view of US 2022/0294182 (Yasukawa) or, in the alternative, under 35 U.S.C. 103 as obvious over US 12,055,775 (Cheng) in view of web.archive.org/web/20200619220632/https://celsiainc.com/technology/vapor-chamber/ (celsiainc) and US 2022/0294182 (Yasukawa).
For claim 21, Cheng teaches the housing comprises a base (fig. 1B, 112, substantially flat portion between sidewalls), sidewalls (fig. 1B/3A, short vertical sides of 111 and 112), and a lid arranged opposite to the base (fig. 1B, top of 111; fig. 3A, bottom of 111).
Cheng does not teach the integrated heat spreader is integrated in at least one of the sidewalls. However, Yasukawa teaches the integrated heat spreader (fig. 2, 610) is integrated in at least one of the sidewalls (fig. 2, 600) in order to provide excellent heat radiation (abstract).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the sidewall integrated heat spreader of Yasukawa with the invention of Cheng in order to provide excellent heat radiation.
Response to Arguments
Applicant's arguments filed 4/6/2026 have been fully considered but they are not persuasive. Applicant argues, pages 9-10 that Cheng does not disclose "the integrated heat spreader is configured to utilize the phase transitions to spread heat evenly or substantially evenly throughout the integrated heat spreader" and "the integrated heat spreader is configured to equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure," as recited in amended claim 1 and similarly in amended claim 12. Rather, the applicant argues, Cheng teaches the vapor chamber heat spreader is a two-phase device used to spread heat from the heat generating components 118 to outside the transceiver module 110, for example, to a heat sink and cites col. 3, lines 60-64. However, Cheng goes on to state the vapor chamber spreads heat in two dimensions. The spread is shown in fig. 2 with a localized heat source on input side 124 and then heat is spread laterally as it is transmitted to output side 126 via phase transition (fig. 2 and col. 3, l. 60 – col. 4, l. 13). Therefore, Cheng does teach “an integrated heat spreader is configured to utilize the phase transitions to spread heat evenly or substantially evenly throughout the integrated heat spreader" and "the integrated heat spreader is configured to equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure."
Further, as discussed in the rejection of claims 1 and 12 above, the integrated heat spreader is substantially the same and configured similarly to the integrated heat spreader of the instant application and is therefore expected to inherently spread heat evenly or substantially evenly throughout the integrated heat spreader and equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure based on the structural and configuration being similar to that in the claimed invention.
As discussed in the alternative rejection of claims 1 and 12 above, celsiainc discloses a heat spreader which spreads heat evenly or substantially evenly throughout the integrated heat spreader and would equalize a heat load throughout the enclosure or minimize a temperature gradient of the optical sub-assembly throughout the enclosure.
Response to Arguments
Applicant's arguments filed 8/10/2026 have been fully considered but they are not persuasive. Applicant argues in the final paragraph on page 9 that none of the heat generating components can be relied upon to disclose “an optical chip integrated directly within the enclosure” or “the integrated heated spreader is integrated within the housing.” However, laser package 118 includes a laser diode (i.e. an optical chip) that is within the enclosure. The optical chip is therefore directly within the enclosure. It is noted that claim 16 teaches a package assembly within the housing and encapsulating the optical chip integrated directly within the housing, so it cannot be consistently argued that the laser diode within the laser package Cheng is not disposed directly within the housing/enclosure. Further, the heat spreader (120) is shown within the wall of the housing in fig. 1 and fig. 3a-3c show the heat spreader (120) extending into the interior of the housing.
Regarding claim 17, the applicant argues that the rejection addresses hermetic sealing in isolation. The argument is not persuasive. The admitted prior art address hermetic sealing generally and its benefits. In combination with Cheng, those benefits and hermetic sealing apply to the combination of claim 17 as a whole.
Further, dependent claims are not allowable due to their dependency as the independent claims are not deemed allowable.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Michael W Carter whose telephone number is (571)270-1872. The examiner can normally be reached M-F, 9:00-5:30.
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/Michael Carter/Primary Examiner, Art Unit 2828
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