Derivative works — US Patent 10924188

Defensive Disclosure: Adaptive Optical Transceiver Architectures and Methods

Publication Date: April 26, 2026
Subject Matter: Improvements and alternative embodiments for optical transceivers capable of dynamically selecting encoding methods based on transmission attributes, building upon the concepts disclosed in US 10,924,188. This document is intended to enter the public domain and serve as prior art for future patent applications in this field.

Part 1: Derivative Variations based on Material & Component Substitution

1.1. Gallium Nitride (GaN) Based Modulator Drivers

Enabling Description: The optical modulator is driven by an amplifier stage constructed with Gallium Nitride (GaN) High-Electron-Mobility Transistors (HEMTs). Unlike traditional silicon or gallium arsenide drivers, GaN drivers provide a higher breakdown voltage and support switching speeds in excess of 50 GHz. This enables the controller to set drive signals for high-order, complex modulation formats (e.g., 256-QAM) with greater signal integrity and lower power consumption. The controller adjusts the gate bias of the GaN HEMT array to optimize the linearity of the output signal for the selected encoding method, compensating for format-dependent amplitude and phase distortion.

Diagram:

flowchart TD
    A[Controller selects Encoding Method] --> B{Set Drive Signals};
    B --> C[Adjust GaN HEMT Gate Bias];
    C --> D[GaN Driver Amplifier];
    D --> E[Optical Modulator];
    F[Optical Carrier Wave] --> E;
    E --> G[Modulated Optical Signal];

1.2. Reconfigurable FPGA-Based Encoding Fabric

Enabling Description: The encoder and controller are implemented on a Field-Programmable Gate Array (FPGA) rather than a fixed-function ASIC. The "plurality of encoding methods" are not stored as fixed circuits but as partial reconfiguration bitstreams. The controller, upon determining a change in transmission attributes (e.g., a drop in OSNR), loads a new bitstream into a specific region of the FPGA fabric. This dynamically reconfigures the hardware logic to implement a more robust encoding scheme (e.g., switching from a 16-QAM logic block to a QPSK logic block with Forward Error Correction). This architecture allows for post-deployment updates of encoding methods.

Diagram:

stateDiagram-v2
    state "16-QAM Mode" as Mode16
    state "QPSK Mode" as ModeQPSK
    state "8-QAM Mode" as Mode8

    [*] --> Mode16: Initialization
    Mode16 --> ModeQPSK: OSNR < 15dB, Controller loads QPSK bitstream
    ModeQPSK --> Mode16: OSNR > 18dB, Controller loads 16-QAM bitstream
    Mode16 --> Mode8: Capacity request change, Controller loads 8-QAM bitstream
    Mode8 --> Mode16: Capacity request change, Controller loads 16-QAM bitstream
    ModeQPSK --> Mode8: Link re-optimization

1.3. Monolithic Silicon Photonics (SiPh) Integration

Enabling Description: The encoder, controller, mapper, and Mach-Zehnder optical modulator are fabricated on a single silicon die using a silicon photonics process. The controller logic is implemented in CMOS alongside the optical components. Electrical interconnects between the controller and the modulator's thermal or carrier-injection phase shifters are mere microns long, minimizing latency and parasitic capacitance. The controller directly drives the p-n junctions within the modulator's waveguides to achieve phase modulation corresponding to the selected symbol, enabling a highly compact and power-efficient transceiver.

Diagram:

graph TD
    subgraph Single Silicon Die
        direction LR
        A[CMOS Controller & Encoder] -- Electrical --> B(Mapper Logic);
        B -- Electrical --> C(Modulator Drivers);
        D[Laser Input] -- Waveguide --> E(Mach-Zehnder Modulator);
        C -- Electrical --> E;
    end
    E -- Waveguide --> F[Modulated Output];

1.4. Quantum Dot Laser Integration

Enabling Description: The light source for the optical carrier wave is a quantum dot (QD) laser. The controller is coupled to the QD laser's driver circuit. When switching to a higher-order modulation format that is more sensitive to phase noise and power fluctuations, the controller simultaneously adjusts the QD laser's injection current and operating temperature via a Peltier element. This leverages the QD laser's high-temperature stability and low relative intensity noise (RIN) to provide a stable optical carrier optimized for the newly selected encoding scheme, thereby improving the overall signal-to-noise ratio.

Diagram:

sequenceDiagram
    participant C as Controller
    participant QD as QD Laser Driver
    participant M as Modulator
    C->>C: Detect need for encoding change (e.g., to 64-QAM)
    C->>QD: Set new injection current & temp for high stability
    QD-->>C: Acknowledge stable carrier wave
    C->>M: Set drive signals for 64-QAM
    M->>M: Modulate stable carrier wave

Part 2: Derivative Variations based on Operational Parameter Expansion

2.1. Cryogenic Deep-Space Operation

Enabling Description: For use in deep-space optical communication probes, the transceiver is designed to operate at cryogenic temperatures (4K to 77K). The controller and encoder are implemented on a radiation-hardened ASIC. The controller monitors an external radiation sensor. Upon detection of a solar particle event (SPE), it overrides the primary encoding method and switches to a failsafe differential phase-shift keying (DPSK) scheme with a high-gain, low-rate error correction code. This prioritizes link survival and data integrity over throughput in a high-radiation, low-temperature environment.

Diagram:

stateDiagram-v2
    state "High-Throughput (16-QAM)" as High
    state "Failsafe (DPSK)" as Safe

    [*] --> High: Nominal Conditions
    High --> Safe: Radiation > Threshold
    Safe --> High: Radiation < Threshold for 60s

2.2. Nanoscale On-Chip Optical Interconnects

Enabling Description: The technology is scaled down for intra-chip communication within a multi-core processor. The controller is an embedded power management unit for a specific processor tile. It monitors the tile's temperature and processing queue length. If a core is under heavy load and generating thermal hotspots, the controller switches the optical I/O for that core from a power-intensive 16-PAM4 encoding to a lower-power 4-PAM4 or NRZ encoding. This throttles the I/O bandwidth to reduce local power density and prevent thermal runaway, optimizing chip-level performance.

Diagram:

flowchart TD
    A[Monitor Core Temperature & Queue] --> B{Temp > 85°C?};
    B -- Yes --> C[Switch Optical I/O to low-power NRZ encoding];
    B -- No --> D[Use high-bandwidth 16-PAM4 encoding];
    C --> A;
    D --> A;

2.3. Sub-Sea High-Pressure Communication

Enabling Description: The transceiver is deployed in a sub-sea repeater housing at pressures exceeding 10,000 psi. The controller is linked to an external acoustic sensor monitoring water turbidity and a strain gauge on the optical fiber cable. In response to turbidity spikes or increased cable strain (indicating undersea currents or landslides), the controller proactively switches the encoding method to a lower-baud-rate, polarization-switched QPSK format. This format is highly resilient to the polarization-mode dispersion and signal scattering induced by such environmental events, preserving the link.

Diagram:

sequenceDiagram
    participant Sensor as Acoustic/Strain Sensor
    participant Controller as Transceiver Controller
    participant Encoder as Encoder Module
    loop Monitoring Loop
        Sensor->>Controller: Transmit Turbidity/Strain Data
        Controller->>Controller: Analyze data for anomalies
        alt Anomalies Detected
            Controller->>Encoder: Command switch to Polarization-Switched QPSK
        else Normal Conditions
            Controller->>Encoder: Maintain high-capacity 16-QAM
        end
    end

Part 3: Derivative Variations based on Cross-Domain Application

3.1. Aerospace: Resilient Satellite Communication Bus

Enabling Description: The transceiver acts as a node on an intra-satellite optical data bus connecting payloads (e.g., imagers, antennas, processors). The bus controller monitors the satellite's overall power state and the priority level of data from each payload. When the satellite enters an eclipse and operates on battery, the controller commands all non-essential payload transceivers to switch to a low-power On-Off Keying (OOK) encoding. The high-resolution imaging payload's transceiver is switched to a bandwidth-efficient but higher-power 8-QAM to transmit its critical data, thus creating a power-aware, prioritized internal network.

Diagram:

graph TD
    subgraph Satellite Bus
        A(Flight Computer) --> B(Bus Controller);
        B -- Command --> C(Transceiver 1 - Imager);
        B -- Command --> D(Transceiver 2 - Antenna);
        B -- Command --> E(Transceiver 3 - Housekeeping);
    end

    A -- "Power State: Battery" --> B;
    B -- "Set Imager: 8-QAM" --> C;
    B -- "Set Others: OOK" --> D;
    B -- "Set Others: OOK" --> E;

3.2. AgTech: Adaptive Free-Space Optics for Robotic Swarms

Enabling Description: A swarm of autonomous agricultural robots uses free-space optical (FSO) transceivers for high-speed communication. Each robot's controller uses its onboard weather sensors (for fog/rain) and LiDAR (for dust/obstacles) to create a real-time atmospheric channel quality map. Based on this map, it negotiates an encoding method with neighboring robots. In clear conditions, it uses 16-QAM to share large field maps. When a dust cloud is detected, it renegotiates a switch to a more robust QPSK scheme with high-gain FEC to maintain the command-and-control link through the degraded channel.

Diagram:

sequenceDiagram
    participant RobotA as Robot A
    participant RobotB as Robot B
    RobotA->>RobotA: LiDAR detects dust cloud
    RobotA->>RobotB: Request Encoding Change to QPSK (Channel Degraded)
    RobotB->>RobotB: Verify channel degradation with own sensors
    RobotB->>RobotA: Acknowledge and Switch to QPSK
    RobotA->>RobotB: Resume communication using robust QPSK link

3.3. Medical Devices: Endoscopic Video Transmission

Enabling Description: An optical fiber within an endoscope transmits high-resolution video from the tip's imager to a surgical display system. The transceiver's controller is linked to an inertial measurement unit (IMU) also at the endoscope's tip. When the IMU detects rapid motion (as the surgeon repositions the scope), the controller switches the video encoding to a low-latency, motion-adaptive format (e.g., Motion JPEG over optical). When the IMU is stable (as the surgeon examines tissue), the controller switches to a high-detail, higher-latency encoding scheme (e.g., HEVC over optical with high bit depth) to maximize diagnostic image quality.

Diagram:

stateDiagram-v2
    state "High Motion Mode" as Motion {
        Encoding: M-JPEG
        Priority: Low Latency
    }
    state "Static Diagnosis Mode" as Static {
        Encoding: HEVC (10-bit)
        Priority: Max Detail
    }

    [*] --> Static
    Static --> Motion: IMU detects high angular velocity
    Motion --> Static: IMU detects stability for >500ms

Part 4: Derivative Variations based on Integration with Emerging Tech

4.1. AI-Driven Predictive Link Management

Enabling Description: The controller integrates a lightweight AI inference engine (e.g., TensorFlow Lite) running a Long Short-Term Memory (LSTM) neural network. The LSTM is trained on historical link performance data (OSNR, BER, chromatic dispersion, latency) correlated with different encoding methods and environmental factors. The controller continuously feeds real-time performance metrics into the LSTM model, which predicts the probability of link degradation within a future time window (e.g., the next 5 minutes). If the probability exceeds a set threshold, the controller proactively switches to the AI-recommended optimal encoding method before any measurable performance degradation occurs.

Diagram:

flowchart TD
    A[Real-time Link Metrics (OSNR, BER)] --> B[LSTM Model];
    B --> C{Predict P(Degradation) > 75%?};
    C -- Yes --> D[Switch to AI-recommended optimal encoding];
    C -- No --> E[Maintain current encoding];
    D --> A;
    E --> A;

4.2. IoT-Enabled Network-Wide Optimization

Enabling Description: Each transceiver is an IoT device with sensors for case temperature, laser bias current, and power consumption. It reports this telemetry via a lightweight protocol (like MQTT) to a centralized network management system (NMS). The NMS analyzes the aggregate data from all transceivers in the network. If it detects a trend of rising temperatures across a specific fiber path, it can infer a potential external issue (e.g., a conduit exposed to sun). The NMS then commands all transceivers on that path to switch to a more power-efficient encoding scheme to reduce thermal load and preemptively avoid failures.

Diagram:

graph TD
    subgraph NMS
        direction TB
        NMS_Core(Analytics Engine)
    end
    
    subgraph Transceivers
        T1(TRX-1) -- MQTT --> NMS_Core;
        T2(TRX-2) -- MQTT --> NMS_Core;
        T3(TRX-3) -- MQTT --> NMS_Core;
    end

    NMS_Core -- "Detects thermal trend on Path A (T1, T2)" --> T1;
    NMS_Core -- "Switch to low-power encoding" --> T2;

4.3. Blockchain-Secured SLA Enforcement

Enabling Description: The transceiver controller includes a cryptographic module. When a service level agreement (SLA) demands a specific transmission capacity and error rate, the corresponding encoding method is selected. The transceiver periodically writes a block to a permissioned blockchain, containing a timestamp, the current encoding method, the measured BER, and a digital signature. A smart contract on the blockchain automatically verifies these reports against the SLA terms. If a violation is detected (e.g., the transceiver used a lower-capacity encoding method), the smart contract can trigger a penalty or alert, creating a tamper-proof, automated audit trail for network services.

Diagram:

sequenceDiagram
    participant TRX as Transceiver
    participant BC as Blockchain
    participant SC as Smart Contract

    loop SLA Monitoring
        TRX->>TRX: Measure BER and note current encoding
        TRX->>BC: Write signed data block (Timestamp, Encoding, BER)
        BC->>SC: Trigger SLA verification on new block
        SC->>SC: Compare block data with SLA terms
        alt Violation Detected
            SC->>BC: Log SLA violation event
        end
    end

Part 5: Derivative Variations based on "Inverse" or Failure Modes

5.1. Graceful Degradation "Safe Mode"

Enabling Description: The controller has a dedicated fault-detection circuit that monitors the health of critical components like the laser, modulator driver, and DSP. If a non-fatal but critical fault is detected (e.g., laser temperature exceeds a safety threshold), the controller forces the encoder into a pre-defined "safe" encoding state. This state uses a simple, low-power On-Off Keying (OOK) modulation at a very low baud rate. This maintains a minimal-bandwidth link capable of transmitting diagnostic information to the network manager, allowing for remote analysis before a complete failure.

Diagram:

stateDiagram-v2
    direction LR
    state "Full Operation" as Normal
    state "Safe Mode (OOK)" as Safe

    [*] --> Normal
    Normal --> Safe: Critical Fault Detected (e.g., Laser Overheat)
    Safe --> Normal: Remote Reset Command Received
    Safe --> [*]: Unrecoverable Fault / Shutdown

5.2. Fail-Passive Optical Bypass

Enabling Description: The transceiver integrates a 2x2 optical switch at its input and output, controlled by a latching relay. In normal operation, the relay directs light through the transceiver's modulation and reception path. A "heartbeat" signal from the controller's processor maintains the relay in this state. If the controller fails or loses power, the heartbeat stops, and the relay automatically latches into its default state, which routes the input optical fiber directly to the output fiber. This optically bypasses the failed node entirely, ensuring the integrity of the larger ring or point-to-point network link.

Diagram:

graph TD
    subgraph Transceiver Node
        A[Fiber In] --> OS{Optical Switch};
        OS -- Path A (Active) --> TRX(Modulation/Reception);
        TRX --> OS;
        OS -- Path B (Bypass) --> B[Fiber Out];
        Controller -- Heartbeat --> OS;
    end
    
    style OS fill:#f9f,stroke:#333,stroke-width:2px

Part 6: Combination Prior Art Scenarios with Open-Source Standards

6.1. Combination with SONiC (Software for Open Networking in the Cloud)

Disclosure: An optical transceiver whose adaptive encoding capabilities are exposed and controlled via the SONiC management framework. The transceiver's driver provides an API accessible through the SONiC environment, allowing a network administrator or centralized controller to query available encoding modes (e.g., "100G-QPSK", "200G-16QAM") and their current performance metrics (BER, OSNR). The controller can issue commands via this API to switch the encoding method to re-balance network traffic or respond to link quality degradation as part of a global, software-defined network optimization strategy.

6.2. Combination with Telecom Infra Project (TIP) OpenConfig Models

Disclosure: The adaptive optical transceiver is fully manageable using the OpenConfig data models for optical transport devices. The "plurality of encoding methods" are modeled as a list of available operational-mode leaves within a logical-channel in the OpenConfig YANG model. A network controller can set the target-output-power and select a specific operational-mode by writing to the corresponding leaves in the model. The transceiver's controller subscribes to changes in this model and reconfigures the encoder, mapper, and modulator accordingly. This ensures multi-vendor interoperability in a disaggregated optical network.

6.3. Combination with RISC-V Instruction Set Architecture

Disclosure: The transceiver's controller is a System-on-Chip (SoC) based on the open-source RISC-V CPU architecture. The core encoding and mapping logic is not fixed hardware but is implemented as software running on the RISC-V core. Different encoding methods are simply different software libraries that can be loaded and executed. Furthermore, custom instructions are added to the RISC-V core using the standard's support for custom extensions, allowing for hardware acceleration of critical DSP functions like FEC or symbol mapping. This creates a flexible, open, and software-updatable platform for implementing adaptive optical modulation.