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.
Election/Restrictions
Applicant’s election without traverse of Invention II in the reply filed on 11/14/2025 is acknowledged.
Claims 1-8 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected invention, there being no allowable generic or linking claim. Election was made without traverse in the reply filed on 11/14/2025.
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 15 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 15 recites “the taper region comprises a first taper and a second taper…wherein a second shallow etch through the first and second parts of the passive portion define a rib geometry laterally confining light as it travels through a second taper”. Claim 9 recites “the active portion having a tapered region comprising one or more tapers such that the active portion terminates at a predetermined axial position on the active structure.” Claim 15 is indefinite, because it is unclear how the “taper region” can extend through the first and second parts of the passive portion if the tapered region is configured such that the active portion terminates at a predetermined axial position on the active structure.
Claim 15 is further indefinite, because it is unclear if “a first taper and a second taper” are part of “one or more tapers” of claim 9 or some other tapers.
Claim 15 is further indefinite, because lines 2 and lines 6 of claim 9 both recite “a second taper”. It is unclear if these are the same taper or different tapers.
Finally, claim 15 is also indefinite, because “shallow” is a term of degree and the specification does not provide any standard to measure the term of degree. See, e.g., MPEP 2173.05(b) (“For example, in Ex parte Oetiker, 23 USPQ2d 1641 (Bd. Pat. App. & Inter. 1992), the phrases "relatively shallow," "of the order of," "the order of about 5mm," and "substantial portion" were held to be indefinite because the specification lacked some standard for measuring the degrees intended.”).
For the purpose of this Office Action, the Office will interpret claim 15 to require “wherein the tapered region comprising one or more tapers comprise a first taper…a second taper region comprising a second taper wherein a second shallow etch through the first and second parts of the passive portion define a rib geometry laterally confining light as it travels through the second taper”. “Shallow” will be interpreted as any etch through a part of the device.
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.
Claims 9-14 and 16 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Park et al. (US20210088727A1), hereafter Park.
Regarding claim 9, Park discloses a device (Figure 1) comprising: a first passive structure (Figure 1 element 103) attached to a substrate (Figure 1 element 105); and an active structure (Figure 1 element 101) attached to the substrate (Figure 1 element 105), the active structure comprising: a passive portion (Figure 1 element 101b; [0036]) comprising a first part (Figure 1 element 101b under element 101a) and a second part (Figure 1 element 101b not under element 101a); and an active portion comprising an active region (Figure 1 element 101a), providing optical gain or absorption ([0047]), the active portion having a tapered region comprising one or more tapers such that the active portion terminates at a predetermined axial position on the active structure ([0049]); wherein the active portion overlies the first part of the passive portion and does not overlie the second part of the passive portion (Figure 1 element 101b has a portion under element 101a and a portion that extends beyond 101a), the second part of the passive portion extending axially beyond the predetermined axial position (Figure 1 element 101b not under element 101a); wherein the tapered portion is configured such that a first optical mode, overlapping at least in part with the active region (Figure 1 element 150), couples into a second optical mode in the second part of the passive region, the second optical mode having no interaction or overlap with the active region (Figure 1 element 151); and wherein the second portion of the passive region comprises a facet through which light couples between the active structure and the first passive structure (Figure 1 element 106).
Regarding claim 10, Park further discloses the first passive structure is an intermediate structure (Figure 1 element 103), optically coupled to a second passive structure attached to the substrate (Figure 1 element 102).
Regarding claim 11, Park further discloses a rib waveguide formed by a least one etch, performed through the active portion of the active structure, laterally confines the first optical mode in the active structure (Figure 2B elements 200F and 201; [0049]; [0076]).
Regarding claim 12, Park further discloses a strip waveguide, formed by at least one etch, performed through the active portion of the active structure and the underlying first part of the passive portion of the active structure, laterally confines the first optical mode in the active structure (Fig. 2B element 200F, 201 and 202; [0049]; [0076]).
Regarding claim 13, Park further discloses a rib waveguide formed by a least one etch, performed through the second part of the passive portion of the active structure, laterally confines the second optical mode in the active structure (Figure 2B elements 200E, 201b and 202; [0049]; [0076]).
Regarding claim 14, Park further discloses a strip waveguide formed by a least one etch, performed through the second part of the passive portion of the active structure, laterally confines the second optical mode in the active structure (Figure 2B elements 200E, 201b and 202; [0049]; [0076]).
Regarding claim 16, Park further discloses the facet has a facet coating configured to provide a predetermined level of reflectivity ([0046]).
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.
Claim 15 is rejected under 35 U.S.C. 103 as being unpatentable over Park in view of Lee et al. (US20170045686A1), hereafter Lee.
Regarding claim 15, Park further discloses the tapered region comprises a first taper and may comprise additional tapers ([0049]), wherein a first shallow etch through the active portion defines a rib geometry laterally confining light as it travels through the first taper (Fig. 1 element 101a and 150; [0049]; Fig. 2B element 201a in 200f; [0076]), the first and second parts of the passive portion defines a rib geometry laterally confining light as it travels (Fig. 2B elements 201b in 200E and 200F) the light transitioning between the first optical mode in the active portion and the second optical mode in the second part of the passive portion (Fig. 1 elements 150 and 151). Park does not explicitly disclose a second shallow etch through the first and second parts of the passive portion confining light as it travels through a second taper. However, Lee discloses a first etch through the active portion to define a rib and a first taper (Fig. 4 SOI Process; [0042]) and a second shallow etch through the first and second parts of the passive portion confining light as it travels through a second taper (Fig. 4 Slab Process; [0042]). An advantage is to allow multiple tapered waveguide transitions to be formed via standard CMOS processes (Abstract). 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 Park with a second shallow etch through the first and second parts of the passive portion confining light as it travels through a second taper as disclosed by Lee in order to allow multiple tapered waveguide transitions to be formed via standard CMOS processes.
Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Park.
Regarding claim 17, Park, in the same embodiment, does not explicitly disclose the facet is angled with respect to an axial direction of travel for light travelling through the active structure at a non-perpendicular angle. However, Park discloses in a different embodiment the facet is angled with respect to an axial direction of travel for light travelling through the active structure at a non-perpendicular angle (Figs. 5 elements 520 and 540 show elements 521 and 541 having an angled facet). An advantage is to reduce reflection an improve performance of the transition of light between elements ([0073]). 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 Park with the facet is angled with respect to an axial direction of travel for light travelling through the active structure at a non-perpendicular angle as disclosed by Park in a different embodiment in order to reduce reflection an improve performance of the transition of light between elements.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. See attached Notice of References Cited. See, e.g., US20210215874A1 Figs. 1 and 10 which also appear to anticipate at least claim 9.
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 02/23/2026