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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 13 August, 2026 has been entered.
Response to Amendment
The amendment filed on 13 August, 2026 has been fully considered and entered. In view of the cancellation of claims 15 and 16, the previously raised objections and rejections of claims 15 and 16 are withdrawn.
Response to Arguments
Applicant’s arguments with respect to claims 1-14 and 17-22 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Claim Rejections - 35 USC § 112
The following is a quotation of the first paragraph of 35 U.S.C. 112(a):
(a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention.
The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112:
The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention.
Claim 17 is rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention.
Claim 17 depends on Claim 1, which has been amended to specify that the optical channel comprises an optical ferrule. Claim 17 requires that the optical ferrule be integrated into the lid extension and optically coupled with a fiber array. The subject matter of claim 17 is described in relation to Fig. 9A of the present disclosure, in which the optical channel 950 does not include the optical ferrule 980 but is instead coupled with it (as evidenced by paragraph 0073, citing the PG Pub associated with the present application).
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 17 is 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 17 recites the limitations “wherein the optical ferrule is integrated into the lid extension” and “wherein the ferrule is positioned at least in part within the optical feedthrough”. This is contradictory to claim 1, which requires “an optical feedthrough configured to fully encircle an optical channel received therein, wherein the optical channel comprises an optical ferrule, the optical ferrule extending through the optical feedthrough and into an interior defined by the lid.” This is contradictory for several reasons. Claim 1 requires the optical feedthrough to receive an optical channel which includes an optical ferrule. How can the optical feedthrough receive the ferrule if it is integrated into the lid? Also, claim 1 requires the ferrule to extend through the optical feedthrough, whereas claim 17 says that the ferrule is positioned at least in part within the optical feedthrough. Are the ferrule and the optical ferrule different components? If so, the ferrule lacks proper antecedent basis. If not, the limitation “wherein the ferrule is positioned at least in part within the optical feedthrough” appears to be a broader recitation than the claim 1 recitation of “the optical ferrule extending through the optical feedthrough”. For the purpose of examination, “the optical ferrule” and “the ferrule” are understood to refer to the same component, and “integrated into” is interpreted to include configurations with the optical ferrule being insertable/removable, wherein when it is inserted it is integrated into the lid extension. Finally, the claim is understood to require the optical ferrule extend through the optical feedthrough, as it is required by claim 1, which already necessitates that the optical ferrule be positioned at least in part within the optical feedthrough.
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claims 1-4, 6-7, 11-12, 19, 21 and 22 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Zhang et al. (US 2018/0267265; hereinafter Zhang).
Regarding claim 1: Zhang disclosesAn optical engine (Fig. 3), comprising: a lid (Fig. 3, assembly adapter 304) formed from a single material (see paragraph 0058) defining an optical feedthrough (Fig. 5, MT ferrule cavity) configured to fully encircle an optical channel received therein (Fig. 3, MT ferrule 302 is fully encircled when received in the MT ferrule cavity), wherein the optical channel comprises an optical ferrule (Fig. 3, MT ferrule 302 comprises an optical ferrule), the optical ferrule extending through the optical feedthrough and into an interior defined by the lid (everything under the lid is considered to be included in the interior defined by the lid, including the area of the connector 303; as shown in Fig. 3, the pins of the MT ferrule extend beyond the MT ferrule cavity into the region containing the connector); and a photonics integrated circuit (PIC) (SiP chip) fully covered by the lid and configured to optically couple with the optical channel (see paragraphs 0052-0053).
Regarding claim 2: Zhang disclosesThe optical engine of claim 1 (as applied above), further comprising: a substrate (Figs. 3-4, package substrate 311), wherein the PIC is disposed on the substrate and the lid contacts the substrate, wherein the lid and the substrate collectively enclose the PIC, and wherein the lid has a lid extension (lid extension includes everything beyond the forward edge of the substrate, including the MT ferrule cavity) extending beyond a forward edge of the substrate (Fig. 3 shows this), the lid extension defines the optical feedthrough (Fig. 3 shows this).
Regarding claim 3: Zhang discloses the optical engine of claim 2, as applied above, wherein the optical engine defines a first direction (vertical direction of the diagram in the bottom panel of Fig. 3), and wherein the lid extension extends along the first direction a length that is at least a quarter of a length of the substrate that extends along the first direction (as shown in the diagram in the bottom panel of Fig. 3, the lid extension is longer than the substrate along the vertical direction, i.e. the first direction; therefore it extends in said direction at least a quarter of a length of the substrate that extends along the first direction).
Regarding claim 4: Zhang disclosesThe optical engine of claim 2 (as applied above), wherein the optical engine defines a feedthrough direction (left to right in the diagram at the bottom of Fig. 3), and wherein the lid extension extends along the feedthrough direction so as to be operable to accommodate the optical ferrule and a spring of the optical channel (Fig. 3 shows that the lid extension extends along the feedthrough direction so as to be operable to accommodate the optical ferrule 302; additionally, the lid extension has a recess for accommodating the clamp 306, which clamps the MT ferrule to the optical connector, see paragraph 0005, and is therefore considered to be a spring of the optical channel).
Regarding claim 6: Zhang disclosesThe optical engine of claim 1 (as applied above), wherein the lid has a sidewall that defines the optical feedthrough (see annotated Fig. 3, as interpreted for claim 6).
Annotated Fig. 3:
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Regarding claim 7: Zhang disclosesThe optical engine of claim 1 (as applied above), wherein the lid has a sidewall and a protrusion that extends from the sidewall (see annotated Fig. 3, as interpreted for claim 7), the sidewall and the protrusion collectively define the optical feedthrough (the sidewall and the protrusion collectively define the optical feedthrough, as shown in Fig. 3, as interpreted for claim 7).
Regarding claim 11: Zhang disclosesThe optical engine of claim 1 (as applied above), wherein the lid has a top wall (see annotated Fig. 3, as interpreted for claim 11), and wherein the optical feedthrough is defined by the top wall (the optical feedthrough is defined by the top wall, as shown in Annotated Fig. 3, as interpreted for claim 11).
Regarding claim 12: Zhang disclosesThe optical engine of claim 1 (as applied above), wherein the lid has a sidewall and a top wall (see Annotated Fig. 5), and wherein the optical feedthrough is defined collectively by the sidewall and the top wall (the optical feedthrough is defined collectively by the sidewall and the top wall, as shown in Annotated Fig. 5).
Annotated Fig. 5:
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Regarding claim 19: Zhang disclosesAn opto-electronic apparatus, comprising: an optical channel (Fig. 3-4, MT ferrule); and at least one optical engine (Fig. 3, assembly), comprising: a lid (Fig. 3, assembly adapter 304) formed from a single material (see paragraph 0058) and defining an optical feedthrough (Fig. 5, MT ferrule cavity 502) that fully encircles the optical channel (Fig. 3, MT ferrule 302 is fully encircled when received in the MT ferrule cavity) received therein, wherein the lid has a sidewall (see annotated Fig. 3, as interpreted for claim 19) and a protrusion (see annotated Fig. 3, as interpreted for claim 19) that extends from the sidewall, the sidewall and the protrusion collectively define the optical feedthrough (the sidewall and the protrusion shown in Fig. 5 collectively define the optical feedthrough), wherein the optical channel comprises an optical ferrule (Fig. 3, MT ferrule 302 comprises an optical ferrule), the optical ferrule extending through the optical feedthrough and into an interior defined by the lid (everything under the lid is considered to be included in the interior defined by the lid, including the area of the connector 303; as shown in Fig. 3, the pins of the MT ferrule extend beyond the MT ferrule cavity into the region containing the connector); and a photonic integrated circuit (Fig. 3, SiP 308) covered by the lid and optically coupled with the optical channel (see paragraphs 0052-0053).
Regarding claim 21: Zhang disclosesThe optical engine of claim 1 (as applied above), wherein the lid has a top wall, and wherein the top wall is substantially continuous between opposing sidewalls (Fig. 3 shows this, where the top wall extends along the feedthrough direction and the sidewalls are the right and left walls of the drawing at the bottom of Fig. 3).
Regarding claim 22: Zhang disclosesThe optical engine of claim 1 (as applied above), wherein the optical feedthrough has a substantially constant cross-sectional shape along a feedthrough direction (Figs. 3-5 suggest this and paragraph 0057 says that the shape of the MT ferrule fills the ferrule cavity; Fig. 4 shows that the MT ferrule has a substantially constant cross-sectional shape along a feedthrough direction, therefore it is understood that the ferrule cavity also has a substantially constant cross-sectional shape; furthermore, given that the shown features indicate a constant cross-sectional shape and the cavity necessarily fits within the dimensions of the assembly adaptor, any variations within the disclosed constraints are still considered to fall within the BRI of “substantially constant cross-sectional shape”).
Claims 1, 8-10, and 13-14 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Israel et al. (US 2024/0295704; hereinafter Israel; features relied upon are disclosed and fully supported by the provisional application 63/491,756 filed on 23 March, 2023).
Regarding claim 1: Israel disclosesAn optical engine (Fig. 7), comprising: a lid (Figs. 2c, 6A-C, and 7, bottom-side optical coupler receptacle 202) formed from a single material (see paragraph 0062) defining an optical feedthrough (Fig. 7, socket 306; in particular, the optical feedthrough is considered to be the portion of the receptacle 202 from the surface including the lever 606 to the location of the vertical V-grooves, best shown in Fig. 6A) configured to fully encircle an optical channel (Figs. 4 and 7, photonic plug 306) received therein (Figs. 2C, 6A-C, and 7 show that the optical feedthrough fully encircles the optical channel received therein), wherein the optical channel comprises an optical ferrule (Figs. 4 and 7, plug 306 is considered to be an optical ferrule), the optical ferrule extending through the optical feedthrough and into an interior defined by the lid (everything under the lid is considered to be included in the interior defined by the lid, including the area of the connector 303; as shown in Fig. 7, the ferrule 306 extends through the optical feedthrough and into an interior defined by the lid 202); and a photonics integrated circuit (PIC) (best represented in Fig. 2C, PIC 102) fully covered by the lid and configured to optically couple with the optical channel (see paragraph 0060).
Regarding claim 8: Israel disclosesThe optical engine of claim 1 (as applied above), wherein the optical feedthrough has a feedthrough region (the feedthrough region is defined as the region including the receptacle 202 from the surface including the lever 606 to the location of the vertical V-grooves, best shown in Fig. 6A) and a keyway contiguous with the feedthrough region (Fig. 4, horizontal rails 210 define keyways in the sidewall of the lid contiguous with the feedthrough region).
Regarding claim 9: Israel disclosesThe optical engine of claim 1 (as applied above), wherein the lid has a key that extends into the optical feedthrough (Fig. 4, horizontal rails 210 define keys in the sidewall of the lid that extend into the optical feedthrough).
Regarding claim 10: Israel disclosesThe optical engine of claim 1 (as applied above), wherein the optical feedthrough has an asymmetric shape as viewed along a feedthrough direction of the optical channel (see Fig. 4, the horizontal rails cause the optical feedthrough to have an asymmetric shape as viewed along a feedthrough direction of the optical channel; additionally, the offset between the extension of the top wall and the bottom wall generate an asymmetric shape in the optical feedthrough when viewed along this direction).
Regarding claim 13: Israel disclosesThe optical engine of claim 1 (as applied above), wherein the optical feedthrough is one of a plurality of optical feedthroughs defined by the lid (Figs. 7 and 10 show two feedthroughs side-by-side defined by the lid 202), and wherein the plurality of optical feedthroughs of the lid include a first optical feedthrough (optical feedthrough according to the description above, on the left in Figs. 7 and 10) and a second optical feedthrough (optical feedthrough, according to the description above, on the right in Figs. 7 and 10) defined by a same sidewall of the lid (see Figs. 7 and 10, they are defined by a same sidewall, i.e. the shared wall covering the PIC).
Regarding claim 14: Israel disclosesThe optical engine of claim 1 (as applied above), wherein the optical feedthrough is one of a plurality of optical feedthroughs defined by the lid (Figs. 7 and 10 show two feedthroughs side-by-side defined by the lid 202), and wherein the plurality of optical feedthroughs of the lid include a first optical feedthrough (optical feedthrough according to the description above, on the left in Figs. 7 and 10) and a second optical feedthrough (optical feedthrough according to the description above, on the right in Fis. 7 and 10), and the first optical feedthrough and the second optical feedthrough are defined by different sidewalls of the lid (Figs. 7 and 10 show the rightmost sidewall of the lid defining the second optical feedthrough and first optical feedthrough is shown to have a matching structure, such that the leftmost sidewall of the lid defines the first optical feedthrough; therefore, different sidewalls define the optical feedthrough).
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 5 is rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al. (US 2018/0267265; hereinafter Zhang) in view of Evans (US 2018/0059331; hereinafter Evans).
Zhang discloses the optical engine of claim 2, as applied above. Zhang fails to teach that the lid extension defines a look-through that allows for visibility of an optical interface where the optical ferrule of the optical channel interfaces with the PIC or an optical component coupled with the PIC. However, Evans, also related to optical interface devices including PICs with lids having optical feedthroughs (see abstract and Fig. 1), does teach a lid (Fig. 1, receptacle 300) being made of a transparent material such as Ultem or glass, in order to facilitate aligning the lid and the underlying PIC (see paragraph 0070). In order to facilitate alignment between the lid and the PIC when forming the Zhang device, 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 Zhang device by using a transparent material such as Ultem or glass for the lid, since these were known suitable materials in the art and disclosed by Evans. In making this modification, the lid extension would be transparent, i.e. defining a look-through that allows for visibility of an optical interface where an optical ferrule of the optical channel interfaces with the PIC or an optical component coupled with the PIC.
Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al. (US 2018/0267265; hereinafter Zhang) in view of Patel et al. (US Patent No. 11,391,897; hereinafter Patel).
Regarding claim 17, as best understood by the examiner: Zhang discloses
The optical engine of claim 1 (as applied above), further comprising: a substrate (Figs. 3-4, package substrate 311), and wherein the lid has a lid extension (lid extension includes everything beyond the forward edge of the substrate, including the MT ferrule cavity) extending beyond a forward edge of the substrate (Fig. 3 shows this), wherein the optical ferrule is integrated into the lid extension (Fig. 3 shows this) and optically coupled with a connector (Fig. 3, connector 303) that is optically coupled with the PIC (see paragraphs 0052-0053), and wherein the ferrule is positioned at least in part within the optical feedthrough (Fig. 3 shows this).
While Zhang does teach that the connector includes optical wave-guiding features that bridge the optical components on SiP chip 308 to an external fiber-connector (see paragraph 0052), Zhang fails to teach that the connector comprises a fiber array unit. Patel, also related to devices for providing optical connection between an optical ferrule and a photonic integrated circuit (see abstract and Fig. 1A), does teach providing fiber array units to optically couple connectors with photonic integrated circuits (see Fig. 1A, optical fibers 124, FAUs 125, optical connectors 165, and PICs 120). Since it was a known suitable wave-guiding feature for bridging the optical components on the SiP chip to an external fiber connector, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to use a connector including a fiber array unit in the Zhang device, in order to couple light to the SiP chip with minimal loss, since it was previously taught by Patel.
Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al. (US 2018/0267265; hereinafter Zhang) in view of Tran et al. (US 2006/0088248; hereinafter Tran).
Zhang discloses the optical engine of claim 1, as applied above. Zhang further discloses that the lid has coarse alignment features (see abstract). Zhang fails to teach that the coarse alignment feature includes one or more chamfered edges at the optical feedthrough. However, Tran, also related to receptacles for receiving, aligning, and optically connecting an optical ferrule (see title and abstract), does teach providing one or more chamfered edges at an entrance of an optical feedthrough (see Fig. 3, chamfer 60), which protects the ferrule end face during insertion by guiding it into the feedthrough (see paragraph 0033). In order to protect a ferrule end face during insertion into the optical feedthrough, 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 Zhang device to include one or more chamfered edges at the optical feedthrough, since it was previously taught by Tran.
Claims 20 is rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al. (US 2018/0267265; hereinafter Zhang).
Zhang discloses a device including a photonic integrated circuit (Fig. 3, SiP 308) coupled with a substrate (Figs. 3-4, package substrate 311); an optical element (Fig. 3, connector 303) coupled with the PIC; and a lid (Fig. 3, assembly adapter 304) having an optical feedthrough (Fig. 5, MT ferrule cavity 502) defined by a sidewall (see annotated Fig. 3, as interpreted for claim 20) in the lid and a protrusion (see annotated Fig. 3, as interpreted for claim 20) that extends from the sidewall, wherein the optical feedthrough is aligned with the optical element (Fig. 3 shows this), the optical feedthrough being configured to fully encircle an optical channel received therein (Fig. 3, MT ferrule 302 is fully encircled when received in the MT ferrule cavity), wherein the lid is formed from a single material (see paragraph 0058), wherein the optical channel comprises an optical ferrule (Figs. 3-4, MT ferrule 302 comprises an optical ferrule), the optical ferrule extending through the optical feedthrough and into an interior defined by the lid (everything under the lid is considered to be included in the interior defined by the lid, including the area of the connector 303; as shown in Fig. 3, the pins of the MT ferrule extend beyond the MT ferrule cavity into the region containing the connector). The method for fabricating recited results in the structure disclosed by Zhang. Since the method steps of “coupling a photonic integrated circuit (PIC) with a substrate; coupling an optical element with the PIC; and coupling a lid with the substrate so that an optical feedthrough defined by a sidewall in the lid and a protrusion that extends from the sidewall is aligned with the optical element, the optical feedthrough being configured to fully encircle an optical channel received therein, wherein the lid is formed from a single material, wherein the optical channel comprises an optical ferrule, the optical ferrule extending through the optical feedthrough and into an interior defined by the lid” do not require any specific manufacturing techniques, 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 recited method steps of the present claim to fabricate the device of Togami using conventional manufacturing techniques well known in the art.
Conclusion
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/KIRSTEN D. ENDRESEN/Examiner, Art Unit 2874
/THOMAS A HOLLWEG/Supervisory Patent Examiner, Art Unit 2874
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