DETAILED ACTION
This office action is in response to applicant’s amendment filed on January 30, 2026. Claims 1-20 are under consideration.
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.
Claim 19 recites the limitation “same grating coupling position” in line 3 and “same alignment features”. There is insufficient antecedent basis for this limitation in the claim. Claim 17 has no recitation of “grating coupling position” and claim 17 recites “passive alignment features” in lines 9-10. Examiner suggests applicant to amend claim 10 to recite “the passive alignment features” or “said passive alignment features”.
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 –
10
(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 1-2, 8-10, 12-16 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Vallance et al. (US 2021/0239920 A1, herein “Vallance”). Claim 1. Vallance discloses an optical connector module (Figs. 8A-8D) for optical coupling to an external component (connectors to the right of reference symbol FA), comprising: a plurality of discrete optical benches (micro optical bench OB in Fig. 1A, Para [0043]) inputting/outputting optical signals, each comprising: a base (the foundation 12 comprises of second body B2 providing an alignment reference to an external optoelectronic device” PIC 100 or I/O PIC 101 (Para [0042]) defining an array of reflective surfaces (mirror array M2 in Fig. 1A) defined on the base (the base 12 / B2);
an array of optical waveguides (fiber array FA and Fig. 6B) supported on the base, optical channels (“fiducials V” and Vallance discloses “[t]he foundation 12 is passively aligned to the PIC chip 100 by optically aligning the fiducials V on the cover SP2 to the fiducials (not shown) provided on the top surface of the PIC chip 100.” Para [0066]) with inputs/outputs in optical alignment with corresponding reflective surfaces (in the optical path from micro mirror M2 to/from micro mirror M1) , thereby forming optical inputs/outputs of the optical bench;
a carrier (support S in Fig. 7B) supporting the optical benches (OB), with the optical benches fixedly mount thereon in a desired spatial arrangement with the optical inputs/outputs of the optical benches configured to optically align to corresponding optical inputs/outputs of the external component upon connecting the carrier to the external component (via the foundation base 12 / B2 provided with fiducials V, Para [0066]) wherein the carrier (support S) is structured to physically connect to the external component (connectors to the right of reference symbol FA),
whereby with the optical connector module connected to the external component (connectors to the right of reference symbol FA), optical signals are coupled between the optical waveguides in the optical benches and the external component (See Figs 7B and 8A for example).
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Claim 2. Vallance discloses the carrier (support S) comprises interfacing features for physical mating connection to the external component, wherein the interfacing features comprises passive alignment features (F1, LG1, LG2) passive matching complementary passive alignment features (F2, LP12, LP2) on the external component (external connectors) for demountable coupling of the connector module to the external component (“The optical connector can be removably attached to the foundation, via ‘separable’ or ‘demountable’ or ‘detachable’ action that accurately optically aligns with the optical components/elements in the optical bench to the opto-electronic device along a desired optical path.” Para [0013], [0070]-[0071], Figs. 1A-1B and 8A-8D).
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Claim 8. Vallance discloses the passive alignment features are elastic averaging features (Para [0014] and [0053]).
Claim 9. Vallance discloses the external component comprises another optical connector (“external connectors” annotated in the figure above).
Claim 10. Vallance discloses PICs are in the form of a photonic chip package that have various on-chip elements interconnect within the package that operate as waveguides, switches, couplers, routers, modulators, optical-to-electrical converter etc. (Para [0004]).
Claim 12-13. Vallance discloses in Figs. 8A-8D wherein at least two of the optical benches (101 shown in details in Fig. 7C) are arranged in lateral configuration across the carrier (spanning from one side of the support S to the opposite side) with the optical channels laterally arranged across the two optical benches (fiber array FA laterally coupled to respective optical bench OB in 101). Vallance does not explicitly disclose the which fiber array on the optical benches are is the optical input or output of the optical benches, but they are arranged collinear (side-by-side) in as much as the benches B are shown to be collinear in Fig. 1A.
Claim 14. Vallance discloses at least one of the optical benches is a metallic optical bench (“optical bench components should be made of a stampable materials like ductile metals such as Kovar, Invar, stainless steel, aluminum” Para [0022]), wherein the base is metal, with each reflective surface defined as a reflective free surface exposed facing away from the base, turning incident light of an optical signal to by a non-zero angle (“The reflective surface of the portion of the metal comprising the mirror may be any of the metals mentioned above, or any coating of highly reflective metal, applied by sputtering, evaporation, or plating process.” Para [0044]-[0045]).
Claim 15. Vallance discloses at least one optical bench (OB) supports waveguides that comprise an array of optical fibers (fiber array FA), and the base of the at least one optical bench includes an array of alignment features (LP1 and LP2 shown in Fig. 1A).
Claim 16. Vallance discloses a method of assembling an optical connector module for optical coupling to an external component, comprising:
providing a plurality of discrete optical benches (micro optical bench OB in Fig. 1A, (Para [0043]) inputting/outputting optical signals (“optically coupling an input/output end of an optical component (e.g., an optical fiber”), Para [0041]), each comprising: a base (foundation 12 comprises of a second body B2); an array of reflective surfaces (micro-mirror optical bench M2, “optical bench components should be made of a stampable materials like ductile metals such as Kovar, Invar, stainless steel, aluminum” Para [0022], “The reflective surface of the portion of the metal comprising the mirror may be any of the metals mentioned above, or any coating of highly reflective metal, applied by sputtering, evaporation, or plating process.” Para [0044]-[0045]) defined on the base (12 / B2); and
an array of optical waveguides (fiber array FA) supported on the base, wherein the array of optical waveguides defines optical channels (“fiducials V” Para [0066]) of the base with inputs/outputs in optical alignment with the corresponding reflective surfaces (M2) defined on the base (12 / B2), thereby forming optical inputs/outputs of the respective optical benches (Figs. 8A-8D);
commonly supporting the optical benches on a carrier (support S) in a desired spatial arrangement with the optical inputs/outputs of the optical benches configured to optically align to corresponding optical inputs/outputs of the external component (external connectors) upon connecting the carrier S to the external component (external connectors, Para [0066]), wherein the carrier (support S) is structured to physically connect to the external component (via foundation 12 and connector 10),
whereby with the optical connector module connected to the external component (external connectors), optical signals are coupled between the optical waveguides (L3 implies the optical waveguides that are coupled laterally into the PIC) in the optical benches and the external component.
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 3 is rejected under 35 U.S.C. 103 as being unpatentable over Vallance.
Regarding Claim 3. Vallance discloses the optical connector module as in claim 2, wherein the carrier (support S) is at least one of: (b) detachably mounted to the external component (external connector can be detached from the carrier) via a receptacle (connector opposite of the connector 10), the receptacle is located near an edge of the external component (ferrule attached to FA of the external connector is the receptacle that is located near an edge of the external connector).
However, Vallance does not disclose the passive alignment features matching the complementary passive alignment features on the carrier.
Vallance further teaches the foundation (12), which mates with connector (10 , or optical bench components can be made of stampable materials like ductile metals such as Kovar, Invar, stainless steel, aluminum and the passive alignment features and their complementary can be stamped thereon (Para [0064]).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to deposit malleable or ductile metal regions on the external component such the upper half of the receptacle (“connector” 10) for stamping the passive alignment features and/or their complementary thereon, as suggested by Vallance (Para [0044]-[0046], and [0050]). One motivation would be to reconfigure the passive alignment features to the optimal region that would reduce the height and size of the connector module.
Claims 4-5 are rejected under 35 U.S.C. 103 as being unpatentable over Vallance in view of Kuo et al. (US 2021/0088737 A1, herein “Kuo”).
Vallance discloses the optical connector module as in claim 2. Vallance further teaches the foundation or optical bench components can be made of stampable materials like ductile metals such as Kovar, Invar, stainless steel, aluminum and the passive alignment features and their complementary can be stamped thereon (Para [0064]).
Vallance is silent to the carrier further comprises a backplate commonly attached to the bases of the optical benches on a side of the optical benches not facing the external component.
Kuo teaches an optical bench (100) wherein Kuo deposited an under-bump metallization layer (12) comprises any suitable under-bump metallurgy (Para [0017]). The examiner considers the metallization layer of Kuo to be the backplate, as broadly recited in claim 4.
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the optical bench of Vallance with metallization layer such that the backplate facing the external component (external connector) comprises the passive alignment features that are stamped on, as taught by Vallance. The modified optical bench and backplate would necessarily have the passive alignment features for demountable coupling to the external component. One motivation would be to provide alignment features immediately adjacent to the optical bench, thus, reducing the height and size of the optical connector module.
Regarding claim 5, the modification as suggested above in claim 4 would necessitate the optical bench (101) is detachably mounted (b) to the external component (external connector) via a receptacle attached to the top of the external component, wherein the receptacle comprises complementary passive alignment features matching the passive alignment features on the backplate.
Claims 6-7 are rejected under 35 U.S.C. 103 as being unpatentable over Vallance in view of Shacklette et al. (US 5,974,214, herein “Shacklette”).
Regarding claim 6, Vallance discloses the optical connector module as in claim 2, wherein the carrier (support S) comprises a cover plate (SP1 in Fig. 6B) commonly mounted to the base of the optical benches on a side of the optical benches with the inputs/outputs of the optical channels. Vallance further teaches the passive alignment features and their complements can be stamped onto ductile metals such as Kovar, Invar, stainless steel, aluminum and the passive alignment features and their complementary can be stamped thereon (Para [0064]).
However, Vallance does not each the cover plate (SP1) is formed of metal.
Shacklette teaches in Figs. 2a an optical bench (6) having grooves (10) formed thereon for waveguides to be aligned and assembled in position. An cover plate (5) is placed over the optical bench (6) for securing the fibers thereon. The cover plate can be fabricated from any of the number of materials such as glass plastics, metals, ceramics, and semiconductors (Col. 10, line 52 to Col. 11, line 14).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the sapphire plate cover SP1 of Vallance with an aluminum plate cover such that a passive alignment features and their complements can be stamped thereon. One motivation would be to reconfigure the passive alignment features to the optimal region that would reduce the height and size of the connector module.
Regarding claim 7, Vallance in view of Shacklette teach the invention of claim 6, and the modification of Vallance with Shacklette’s metal cover plate would necessarily result in the carrier (Vallance: support S) is detachably mounted (a) directly on the top of the external component where complementary passive alignment features are defined matching the alignment features on the cover plate.
Claim 11 is rejected under 35 U.S.C. 103 as being unpatentable over Vallance in view of Epitaux et al. (WO 2018/081340 A1, herein “Epitaux”).
Vallance discloses an optical connector module of claim 1, and Vallance further discloses at least two of the plurality of optical benches (Figs. 8A-8D) supporting a fiber array coupled to external connectors.
However, Vallance is silent to the optical benches are structured to support different number of waveguides to define different number of channels of the respective optical benches.
Epitaux teaches an optical transceiver having alignment module wherein the transmit PIC (32) is configured to support 3 fibers (85) and the receive PIC (64) is configured to support 4 fibers (85). Thus, Epitaux optical connector module is structured to support different number of waveguides to define different number of channels.
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It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify Vallance with the optical benches to support different number of waveguides to define different number of channels of the respective optical benches. One motivation would be to provide robust applications for the optical connector module that can support small or large number of channels designed to specifications.
Claims 17 and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Vallance in view of Pommer et al. (JP 2004533009 A, herein “Pommer”).
Regarding claims 17 and 20, Vallance discloses a method of optically coupling waveguides to an external component comprising:
providing a plurality of discrete optical benches (PIC chip 100 or I/O PIC chip 101) inputting/outputting optical signals, each comprising: a base (foundation 12 comprises a second body B2), an array of reflective surfaces (micro-mirror optical bench, “optical bench components should be made of stampable materials like ductile metals such as Kovar, Invar, stainless steel, aluminum”, Para [0022]. The reflective surface of the portion of the metal comprising the mirror may be any of the metals mentioned above, or any coating of highly reflective metal, applied by sputtering, evaporation, or plating process.” (Para [0044]-[0045]) defined by the base; and supporting an array of optical waveguides (fiber array FA) supported on the base, wherein the array of optical waveguides defines optical channels (fiducials V) of the base with inputs/outputs in optical alignment with the corresponding reflective surfaces defined on the base, thereby forming optical inputs/outputs of the respective optical benches. Vallance further discloses providing a carrier (support S) for commonly supporting the optical benches in a desired spatial arrangement with the optical inputs/outputs of the external component, wherein the carrier is structured to physically connect to the external components (Para [0042], Fig. 8A-8D). The examiner considers the assembly of Vallance’s optical connector module having the carrier (support S) commonly supporting the optical benches shown in the figures wherein the carrier is structured to physically connect to the connector (10) and the base (12 / B2) for receiving the external connectors meets the limitation.
However, Vallance does not explicitly disclose:
providing an assembly form
actively aligning the optical benches to the assembly form
removing the optical connector module from the assembly form.
Pommer teaches providing an assembly form (test jig 114 in Fig. 22) for performing a series of electrical and optical tests. The device (108) mates with complementary features in test socket (116). The test socket (116) includes a base (114) which alignment means is provided together with the ability to transmit and receive electric and optical signals. The test socket (116) transmits an optical signal at an operating speed appropriate for testing an diagnosing the optical performance of the device including the alignment accuracy of the optical fiber or waveguide within the device (Para [2013]-[0214]). Pommer further teaches the test sockets are designed to repeatedly insert and remove components (Para [0214]), thus, this would read on the limitation of “removing the optical connector module from the assembly form”.
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention modify the optical connector module to be pluggable to a testing jig having a socket for receiving the connector module. The testing jig having the opto-electronic converter therein functions as a PIC wherein it is capable of testing for electrical and optical performance of the package and it is further capable of testing for optical alignment. In the same manner as the assembly form, the small scale package is removed from the test jig once the performance and alignment test is performed. The test socket is provided with a spring for easy connection and release. One would be motivated to provide a assembly form for testing the device before full assembly. This testing technique allows for device quality assurance of multiple devices prior to fully assembly onto the substrate or PCB for performance, thus, increase manufacture yield.
Regarding claim 20, the combined teaching of Vallance in view of Pommer teaches the assembly form (test jig 114) comprises and socket for accepting the optical connection module (“small scale package”) comprising discrete PIC mounted on a unifying common support (support S), wherein the assembly form mimic actual PIC (the test jig 114 is capable of testing electronic performance, optical performance, and optical alignment which are all functions of a PIC) to facilitate active alignment of the optical benches for assembling in the optical connector module. The combined teaching of Vallance in view of Pommer teaches the passive alignment features are provided on (b) the top of the assembly receptacle attached to the top of the assembly form located near an edge of the assembly form.
Vallance in view of Pommer do not teach the assembly form is a multichip module assembly.
It would have been obvious to one of ordinary skill in the art at the time before the effective filing date of the claimed invention to expand the test jig with and array of sockets for receiving an array of small scale packages or optical connector modules, since it has been held that mere duplication of the essential working parts of a device involves only routine skill in the art. St. Regis Paper Co. v. Bemis Co., 193 USPQ 8 (1977). One motivation would be to complete test for an arrayed type of device more quickly that may not be supported by a singular test jig with a singular socket for accepting a singular small scale package.
Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Vallance in view of Pommer (herein “Vallance/Pommer”) as applied to claim 17 above, and further in view of Kuo.
Vallance/Pommer teach the method of optically coupling waveguides to an external component and Vallance further discloses optical connector module comprises passive alignment features (LG1, LG2, LP1, LP2) on foundation (12) and connector (10) wherein the passive alignment features are matching and complementary.
Vallance further discloses the passive alignment features are formed by stamping the patterns on ductile metals such as Kovar, Invar, stainless steel, aluminum (Para [0022]). Vallance further teach by incorporation of US Patent Number 7,343,770 and US Patent Application Publication number US 2016/0016218 A1 that the stamping technique can be performed on malleable bulk metal material and even precision stamping for manufacturing small tolerance parts. The stamping technique also allows for stamping dissimilar metallic materials (Para [0045]).
However, Vallance/Pommer do not teach the carrier comprises passive alignment features matching complementary passive alignment features on the external component for demountable coupling of the connector module to the external component.
Kuo teaches an optical bench (100) wherein Kuo deposited an under-bump metallization layer (12) comprises any suitable under-bump metallurgy (Para [0017]),
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the carrier (support S) in Vallance optical connector module with metallization layer such that the carrier comprises passive alignment features matching complementary passive alignment features on the external component for demountable coupling of the connector module to the external component. Kuo would provide a metallization layer to be the thickness as required by the stamping technique of Vallance such that small tolerance parts such as the passive alignment features (LG1, LG2, LP1, LP2) of Vallance can be reconfigured to be stamped at any surface of the connector module. The placement of the stamped alignment features would depend on the coupling directions of the fiber array and the external components and the size of the optical connector module also demands miniaturization and reduction of layers. Therefore, the ability to deposit metallization layer on any silicon substrate and the ability to stamp on small tolerance devices allows the elastic averaging coupling to be robust in design, placement, and miniaturization which are all essential features in dense opto-electronic integrated circuit devices.
Claim 19 is rejected under 35 U.S.C. 103 as being unpatentable over Vallance/Pommer as applied to claim 17 above, and further in view of Ramachandran et al. (US 2019/0285804 A1, herein “Ramachandran”).
Vallance/Pommer teach the method of optically coupling waveguides to an external component. The combined teaching of Vallance/Pommer teaches the assembly form (Pommer: testing jig 114) to conforms to optical inputs/outputs and passive alignment features (Vallance alignment features shown in Fig. 1A) corresponding to the external component (external connectors shown in Figs. 8A-8D). Vallance further teaches the foundation (12) can be aligned to electro-optical elements such as grating couplers in the optoelectronic device. The foundation is permanently positioned with respect to the opto-electronic device to provide an alignment reference to the external optical connector (Para [0014]).
However, Vallance/Pommer do not teach providing a loopback optical waveguides connection for active alignment with the coupling device.
Ramachandra teaches an edge fiber coupling interface wherein external optical fibers can be coupled to the package using active alignment such as optical and/or electrical feedback to determine optimal alignment (Para [0018] and Fig. 3).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the method of optically coupling waveguides to an external component of Vallance/Pommer with a loopback signal for a fiber to determine the coupling efficiency of the signal and make adequate adjustment to align the optical fibers to the optical benches of Vallance/Pommer. One would be motivated to employ a loopback fiber since the alignment system is always informed with the most current position of the fiber with respect to the signal strength and diameter.
Response to Arguments
Applicant's arguments filed January 30, 2026 have been fully considered but they are not persuasive.
Applicant argues, the embodiment shown in Figs. 8A to 8D does not show optical waveguide is supported on foundation 12 to define optical channels in the foundation 12 in optical alignment with mirrors M2 defined on the foundation 12 (Remarks, 2nd full paragraph on page 17.
The applicant is reminded to consider the prior art reference in its entirety. Figs. 8A-8D are macro views of the entire invention and the finer details can be viewed in Figs. 5-7C, in which the examiner provided citation per item-to-item matching with respect to the claim limitations. Per amendments to claims 1, 16, and 17, the examiner defined the base to be the combination of the foundation 12 and the base B2, as taught by Vallance (“foundation 12 comprises a second body B2 providing an alignment reference to an external optoelectronic device” (Para 0042]). Therefore, micro-mirrors M2 are on foundation 12 via second body B2. The structures are redefined, as shown above. The base is foundation 12 comprises of second body B2 (Para [0042]), and the optical bench is “connector 10 incorporates a micro optical bench OB” (Para [0043]), and an array of reflective surfaces (“a second array of mirrors M2 defined on the base B2”, Para [0051]).
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Applicant’s second argument challenges Vallance’s teaching of carrier S being physically connected to the external component (Remarks, bottom of page 17 to page 18).
The examiner notes, the claim recites “wherein the carrier is structured to physically connect to the external component”. The examiner considers the carrier S is structured as a substrate to physically connect electrically signals to chip 100 connecting to connector 10 coupling to fiber array FA to external connector(s) opposite of connector(s) 10 as shown in Figs. 7B and 8A. Carrier S may be a submount, a printed circuit board, or an interposer (Para [0070]).
Applicant argues Vallance carrier S does not further teach the interfacing features for physical mating connection to the external component (Remarks, page 18).
Per claim 2, “the carrier comprises interfacing features for physical mating connection to the external component” is considered to be anticipated by Vallance. The claims 1, 16, and 17 do not define any prepositional position for the interfacing features with respect to the carrier S. Thus, the examiner considers carrier S supports the connector 10 having base (12 / B2) with interfacing features such as open grooves LG1 and LG2 to read-on the limitations of claim 2.
Applicant argues examiner’s interpretation of the structures is inconsistent with respect to the limitation of claim 3.
The examiner respectfully notes claim 3 has at least 3 different embodiments within a single claim. As such, the examiner have narrowed the interpretation to feature (b) and the location of the receptacle is “located near an edge of the external component”. The citations of claim 3 reflects this interpretation with respect to Vallance’s disclosure.
For the reasons above, the examiner maintains the grounds of rejection.
Conclusion
THIS ACTION IS MADE FINAL. 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 Erin D Chiem whose telephone number is (571)272-3102. The examiner can normally be reached 10 am - 6 pm.
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, Thomas A. Hollweg can be reached at (571) 270-1739. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/ERIN D CHIEM/Examiner, Art Unit 2874
/THOMAS A HOLLWEG/Supervisory Patent Examiner, Art Unit 2874
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