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.
Response to Arguments
Applicant's arguments filed 03/18/2026 have been fully considered but they are not persuasive.
On pgs. 6-7, applicant contends that “Liang’s Figure 5 actually teaches a symmetric thermal shunt configuration, not an asymmetric one.” To support this argument, applicant misconstrues what is claimed and points to unclaimed subject matter in the specification. As a preliminary matter, applicant’s claims do not refer to an asymmetric configuration of thermal shunts. Although the claims are interpreted in light of the specification, limitations from the specification are not read into the claims. See In re Van Geuns, 988 F.2d 1181, 26 USPQ2d 1057 (Fed. Cir. 1993). Additionally, applicant’s claims require “wherein the apparatus does not include another metal shunt on the surface of the silicon substrate at the second side of the waveguide”. Accordingly, applicant’s claim does not prohibit a second thermal shunt on the other side of the waveguide. Rather, the claims prohibit a specific type of shunt on the other side of the waveguide. The second shunt of Liang (436/536) as modified by the rejection is not metal. Accordingly, Liang, as modified in the rejection discloses a configuration of shunts as allowed by the claim language.
On page 8, applicant further contends that “Neither Liang nor Liang 109 teaches” the metal shunt is positioned “less than or equal to 10 micrometers from the waveguide”. To support this argument, applicant misconstrues the teachings of Liang. [0030] of Liang discloses that the dielectric shunt 532 is 0.3 micrometers. Fig. 5 of Liang shows that the metal shunt 530 is spaced from the silicon device layer 512 by the thickness of the dielectric shunt. As is modified by the rejection, the silicon device layer is a waveguide layer. Accordingly, the metal shunt is at most 0.3 micrometers from the waveguide layer as modified by the rejection.
The rejection have been updated based on applicant’s amendments.
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claims 1, 2, 4-15, and 17-20 are rejected under 35 U.S.C. 103 as being unpatentable over Liang (US20150318665A1), hereafter Liang, in view of Liang (US20140314109A1), hereafter Liang 109.
Regarding claim 1, Liang discloses an apparatus (Title; Fig. 5; Figs. 8A-8F) for use in a hybrid laser1 ([0013]), wherein the apparatus comprises: a silicon substrate (Fig. 5 element 516; [0029]); a silicon device layer (Fig. 5 element 512; [0029]); and a metal shunt (Fig. 5 element 530; [0030]) that is less than or equal to 10 micrometers from the waveguide ([0030] 300 nm is 0.3 micrometers which is less than 10 micrometers) in a second direction that is orthogonal to the surface of the silicon substrate and orthogonal to the first direction (See annotated Fig. 5 below), wherein the metal shunt (Fig. 5 element 530; [0030]) is on the surface of the silicon substrate at a first side of the silicon device layer (Fig. 5 element 530 is positioned on the outer part of element 512), a metal electrode (Fig. 5 element 504; [0030]) at a portion of the apparatus that is opposite the waveguide (Fig. 5 element 512 as modified in the rejection of claim 1 above) from the metal shunt (Fig. 5 element 504 is opposite element 512 from element 530). In the embodiment of Fig. 5, Liang does not explicitly disclose that the silicone device layer is a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate, the electrode is an n-metal electrode, or the electronic device does not include a metal shunt on the surface of the silicon substrate at the second side of the waveguide. However, in examples of fabricating the device, Liang discloses that the silicon device layer may include a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate (Figs. 7A-7C element 712; Figs. 8A-8B element 812; [0037]; [0041]) and a shunt on the surface of the silicon substrate at the second side of the silicon device layer (Fig. 5 element 536) and that the shunt on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material ([0027]). An advantage, as is known in the art, is to extract the light from the microring device of Fig. 5 in order to form compact photonic integrated circuits (Liang [0016]) for applications such as data links, sensors, and optical interconnects (Liang [0015], Fig. 6). Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to modify Fig. 5 of Liang with the silicon device layer including a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate as disclosed in other embodiments of Liang in order to extract light from the microring device of Fig. 5 in order to form a compact photonic integrated circuit for applications such as data links, sensors, and optical interconnects and a shunt on the surface of the silicon substrate at the second side of the silicon device layer and that the shunt on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material since Liang discloses that a shunt included on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material and 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. Liang, as modified by other embodiments of Liang, do not explicitly disclose the metal electrode is an n-metal electrode. However, Liang 109 discloses an n-metal electrode (Fig. 2 element 68; [0018]) at a portion of the apparatus that is opposite the waveguide (Fig. 2 element 58; [0020]) from the metal shunt (Fig. 2 element 70; [0018]). An advantage, as is known in the art, is to use a known configuration in order to suitably pump the gain medium based on the intended use of the device. Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to further modify Liang with the metal electrode is an n-metal electrode as disclosed by Liang 109 in order to use a known configuration in order to suitably pump the gain medium based on the intended use of the device and since it has been held that rearranging parts of an invention involves only routine skill in the art. In re Japikse, 86 USPQ 70.
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Regarding claim 2, Liang further discloses the metal shunt includes aluminum ([0030]).
Regarding claim 4, Liang further discloses the metal shunt is a heatsink ([0030]2).
Regarding claim 5, Liang, as modified by claim 1 above, further discloses the waveguide includes a silicon waveguide layer (Fig. 5 element 512; [0029]; Figs. 7A-7C element 712; Figs. 8A-8B element 812; [0037]; [0041]) positioned on the silicon substrate (Fig. 5 element 516), and a mesa positioned on the silicon waveguide layer (Fig. 5 element 502 and 508).
Regarding claim 6, in the embodiment of Fig. 5, Liang does not explicitly disclose the mesa includes indium phosphate (InP). However, in examples of fabricating the device, Liang discloses that the microring mesa include indium phosphate (InP) ([0041]). An advantage, as is known in the art, is to use known materials to achieve the desired wavelength output based on the intended use of the device. Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to further modify Liang with the mesa includes indium phosphate (InP) as disclosed in other embodiments of Liang in order to use known materials to achieve the desired wavelength output based on the intended use of the device and 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.
Regarding claim 7, Liang further discloses the hybrid laser is a III-V hybrid laser ([0014] and [0041]).
Regarding claim 8, Liang further discloses a method (Title; Fig. 5; Figs. 8A-8F) comprising: positioning, on a surface of a silicon substrate (Fig. 5 element 516; Figs. 8A-8F), a silicon device layer (Fig. 5 element 512; Figs. 8A-8F); and positioning, on a surface of the silicon substrate (Fig. 5 element 516) at a first side of the silicon device layer (Fig. 5 element 512), a metal shunt (Fig. 5 element 530; [0030]) at a location that is less than or equal to 10 micrometers from the waveguide ([0030]); and positioning, on the surface of the silicon substrate at a second side of the waveguide that is opposite the first side of the waveguide (Fig. 5 element 504 is on an opposite side of 512 as 530), a metal electrode (Fig. 5 element 504; [0030]). Liang does not explicitly disclose the silicon device layer is a waveguide that is to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate; the metal electrode is an n-metal electrode; the method includes not positioning a metal shunt on the surface of the silicon substrate at the second side of the waveguide. However, in examples of fabricating the device, Liang discloses that the silicon device layer may include a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate (Figs. 7A-7C element 712; Figs. 8A-8B element 812; [0037]; [0041]) and a shunt on the surface of the silicon substrate at the second side of the silicon device layer (Fig. 5 element 536) and that the shunt on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material ([0027]). An advantage, as is known in the art, is to extract the light from the microring device of Fig. 5 in order to form compact photonic integrated circuits (Liang [0016]) for applications such as data links, sensors, and optical interconnects (Liang [0015], Fig. 6). Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to modify Fig. 5 of Liang with the silicon device layer including a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate as disclosed in other embodiments of Liang in order to extract light from the microring device of Fig. 5 in order to form a compact photonic integrated circuit for applications such as data links, sensors, and optical interconnects and that the shunt on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material since Liang discloses that a shunt included on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material and 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. As modified, Liang does not explicitly disclose the metal electrode is an n-metal electrode. However, Liang 109 discloses the metal electrode is an n-metal electrode (Fig. 2 element 68; [0018]). An advantage, as is known in the art, is to use a known configuration in order to suitably pump the gain medium based on the intended use of the device3. Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to further modify Liang with the metal electrode is an n-metal electrode as disclosed by Liang 109 in order to use a known configuration in order to suitably pump the gain medium based on the intended use of the device and since it has been held that rearranging parts of an invention involves only routine skill in the art. In re Japikse, 86 USPQ 70.
Regarding claim 9, Liang further discloses the metal shunt includes aluminum ([0030]).
Regarding claim 10, Liang further discloses the metal shunt is thermally coupled with, and draws heat from, the waveguide ([0030]).
Regarding claim 11, Liang, as modified above further discloses the waveguide is a waveguide of a hybrid laser ([0014].
Regarding claim 12, Liang further discloses the hybrid laser is a III-V hybrid laser ([0014] and [0041]).
Regarding claim 13, Liang, as modified by claim 1 above, further discloses the waveguide includes a silicon waveguide layer (Fig. 5 element 512; [0029]; Figs. 7A-7C element 712; Figs. 8A-8B element 812; [0037]; [0041]) positioned on the silicon substrate (Fig. 5 element 516), and a mesa positioned on the silicon waveguide layer (Fig. 5 element 502 and 508). In the embodiment of Fig. 5, Liang does not explicitly disclose the mesa includes indium phosphate (InP). However, in examples of fabricating the device, Liang discloses that the microring mesa include indium phosphate (InP) ([0041]). An advantage, as is known in the art, is to use known materials to achieve the desired wavelength output based on the intended use of the device. Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to further modify Liang with the mesa includes indium phosphate (InP) as disclosed in other embodiments of Liang in order to use known materials to achieve the desired wavelength output based on the intended use of the device and 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.
Regarding claim 14, Liang discloses an electronic device (Title; Fig. 5; Figs. 8A-8F) comprising: a silicon substrate (Fig. 5 element 516; [0029]); a silicon device layer positioned on a surface of the silicon substrate (Fig. 5 element 512; [0029]); a metal shunt (Fig. 5 element 530; [0030]) at a location that is less than or equal to 10 micrometers from the waveguide ([0030] 300 nm is 0.3 micrometers which is less than 10 micrometers), wherein the metal shunt is on the surface of the silicon substrate at a first side of the silicon device layer (Fig. 5 element 530 is on one side of element 512); and an electrode on the surface of the silicon substrate (Fig. 5 element 504; [0030]) at a second side of the waveguide that is opposite the first side of the silicon device layer (Fig. 5 element 504 is on the opposite side of element 512 than element 530; [0030]). Liang does not explicitly disclose the silicon device layer is a waveguide that is to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate or the metal electrode is an n-metal electrode. However, in examples of fabricating the device, Liang discloses that the silicon device layer may include a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate (Figs. 7A-7C element 712; Figs. 8A-8B element 812; [0037]; [0041]). An advantage, as is known in the art, is to extract the light from the microring device of Fig. 5 in order to form compact photonic integrated circuits (Liang [0016]) for applications such as data links, sensors, and optical interconnects (Liang [0015], Fig. 6). Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to modify Fig. 5 of Liang with the silicon device layer including a waveguide to facilitate transmission of an optical signal in a first direction that is orthogonal to a surface of the silicon substrate as disclosed in other embodiments of Liang in order to extract light from the microring device of Fig. 5 in order to form a compact photonic integrated circuit for applications such as data links, sensors, and optical interconnects and that the shunt on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material since Liang discloses that a shunt included on the second side of the silicon device layer may be made of aluminum oxide or a dielectric material and 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. As modified, Liang does not explicitly disclose the metal electrode is an n-metal electrode. However, Liang 109 discloses the metal electrode is an n-metal electrode (Fig. 2 element 68; [0018]). An advantage, as is known in the art, is to use a known configuration in order to suitably pump the gain medium based on the intended use of the device4. Accordingly, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to further modify Liang with the metal electrode is an n-metal electrode as disclosed by Liang 109 in order to use a known configuration in order to suitably pump the gain medium based on the intended use of the device and since it has been held that rearranging parts of an invention involves only routine skill in the art. In re Japikse, 86 USPQ 70.
Regarding claim 15, Liang, as modified above, further discloses a second n-metal electrode is not positioned between the metal shunt and the waveguide (Fig. 5 does not show another electrode between element 530 and 512).
Regarding claim 17, Liang further discloses the metal shunt includes aluminum ([0030]).
Regarding claim 18, Liang further discloses the metal shunt is thermally coupled with, and draws heat from, the waveguide ([0030]).
Regarding claim 19, Liang, as modified by claim 1 above, further discloses the waveguide includes a silicon waveguide layer (Fig. 5 element 512; [0029]; Figs. 7A-7C element 712; Figs. 8A-8B element 812; [0037]; [0041]) positioned on the silicon substrate (Fig. 5 element 516), and a mesa positioned on the silicon waveguide layer (Fig. 5 element 502 and 508).
Regarding claim 20, Liang further discloses the hybrid laser is a III-V hybrid laser ([0014] and [0041]).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. See attached Notice of References Cited.
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 JOSHUA KING whose telephone number is (571)270-1441. The examiner can normally be reached Monday to Friday 10am-5pm MT.
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, Min Sun Harvey can be reached at (571) 272-1835. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/Joshua King/Primary Examiner, Art Unit 2828 04/04/2026
1 The Office notes “for use in a hybrid laser” is intended use language. The body of the claim recites a structurally complete apparatus. Since the body of the claim recites a structurally complete apparatus, “for use in a hybrid laser” is not considered to further limit the claim. MPEP 2111.02(II)
2 “Heatsinks” are devices that extract heat from a device that is dissipated elsewhere, typically via convection. While Liang does not use the word “heatsink”, a person of ordinary skill in the art would understand the shunt to be a heat sink because it extracts heat from elements 502, 508, and 512 and dissipates that heat to either element 516 or the environment.
3 The majority of semiconductor lasers have an active layer sandwich between a stack of n-type semiconductor layers and a stack of p-type semiconductor layers (See, e.g., Liang [0041]). A person of ordinary skill in the art understands that the n-type semiconductor stack may be configured below the active layer as in Liang 109 or above the active layer, so long as the appropriate connection to the power source remains correct.
4 The majority of semiconductor lasers have an active layer sandwich between a stack of n-type semiconductor layers and a stack of p-type semiconductor layers (See, e.g., Liang [0041]). A person of ordinary skill in the art understands that the n-type semiconductor stack may be configured below the active layer as in Liang 109 or above the active layer, so long as the appropriate connection to the power source remains correct.
Prosecution Insights