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 .
Priority
Acknowledgment is made of applicant's claim for foreign priority based on an application filed in China on 27 June 2022. It is noted, however, that applicant has not filed a certified copy of the CHINA 202210740285.7 application as required by 37 CFR 1.55.
Claim Rejections - 35 USC § 102
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.
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.
Claim(s) 1-3, 10, 11, and 15-17 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by WO2021/169854 to Gui et al (refer to PG Pub 2022/0404651 for citations).
In regards to claim 1, Gui recites an optical modulation device (Figure 2) comprising: a waveguide layer (201) including a waveguide body and a plurality of nano-waveguides (2011) embedded in the waveguide body and extending in an extension direction; a first electrode layer (203) arranged on a side of the waveguide layer and including a plurality of first electrodes extending along the extension direction and arranged in a one-to-one correspondence with the plurality of nano-waveguides; and a second electrode layer (203) arranged on a side of the waveguide layer facing away from the first electrode layer and including a plurality of second electrodes extending along the extension direction and arranged in a one-to-one correspondence with the plurality of first electrodes, each of the plurality of second electrodes and a corresponding one of the plurality of first electrodes being configured to apply a modulation voltage to a corresponding one of the plurality of nano- waveguides to change a refractive index of the corresponding one of the plurality of nano- waveguides.
In regards to claim 2, Gui recites the plurality of nano-waveguides are arranged in a single layer and along an arrangement direction crossing the extension direction in sequence. (Figure 7)
In regards to claim 3, Gui recites the plurality of nano-waveguides are arranged in a plurality of layers each including two or more of the plurality of nano-waveguides arranged in sequence along an arrangement direction crossing the extension direction, the nano-waveguides in at least two of the plurality of layers not overlapping with each other in a thickness direction of the waveguide layer. (Figure 2)
In regards to claim 10, Gui recites a material of the first electrode layer and a material of the second electrode layer include at least one of indium tin oxide or indium zinc oxide. [0032]
In regards to claim 11, Gui recites a laser apparatus (Figure 1) comprising: a laser emitter (101); and an optical modulation device (200; Figure 2) arranged on a light-emitting side of the laser emitter and including: a waveguide layer (201) including a waveguide body and a plurality of nano-waveguides (2011) embedded in the waveguide body and extending in an extension direction, the direction being a light-emitting direction of the laser emitter; a first electrode layer (203) arranged on a side of the waveguide layer and including a plurality of first electrodes extending along the extension direction and arranged in a one- to-one correspondence with the plurality of nano-waveguides; and a second electrode layer (203) arranged on a side of the waveguide layer facing away from the first electrode layer and including a plurality of second electrodes extending in the extension direction and arranged in a one-to-one correspondence with the plurality of first electrodes, each of the plurality of second electrodes and a corresponding one of the plurality of first electrodes being configured to apply a modulation voltage to a corresponding one of the plurality of nano-waveguides to change a refractive index of the corresponding one of the plurality of nano-waveguides.
In regards to claim 15, Gui recites the laser emitter includes a gas laser device, a solid state laser device, a semiconductor laser device, or a dye laser device.
In regards to claim 16, Gui recites the plurality of nano-waveguides are arranged in a single layer and in sequence along an arrangement direction crossing the extension direction. (Figure 7)
In regards to claim 17, Gui recites the plurality of nano-waveguides are arranged in a plurality of layers each including two or more of the plurality of nano-waveguides arranged in sequence along an arrangement direction crossing the extension direction, the nano-waveguides in at least two of the plurality of layers not overlapping with each other in a thickness direction of the waveguide layer. (Figure 2)
Claim(s) 1-3, 11, 16, and 17 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by U.S. Patent Application Publication 2019/0018299 to Park et al.
In regards to claim 1, Park recites an optical modulation device (Figure 11) comprising: a waveguide layer (A100) including a waveguide body and a plurality of nano-waveguides ([0128]; plurality of unit cells) embedded in the waveguide body and extending in an extension direction; a first electrode layer (C10; [0088,0094]) arranged on a side of the waveguide layer and including a plurality of first electrodes extending along the extension direction and arranged in a one-to-one correspondence with the plurality of nano-waveguides; and a second electrode layer (N10; [0094]) arranged on a side of the waveguide layer facing away from the first electrode layer and including a plurality of second electrodes extending along the extension direction and arranged in a one-to-one correspondence with the plurality of first electrodes, each of the plurality of second electrodes and a corresponding one of the plurality of first electrodes being configured to apply a modulation voltage to a corresponding one of the plurality of nano- waveguides to change a refractive index of the corresponding one of the plurality of nano- waveguides. [0126-0127]
In regards to claim 2, Park recites the plurality of nano-waveguides are arranged in a single layer and along an arrangement direction crossing the extension direction in sequence.
In regards to claim 3, Gui recites the plurality of nano-waveguides are arranged in a plurality of layers each including two or more of the plurality of nano-waveguides arranged in sequence along an arrangement direction crossing the extension direction, the nano-waveguides in at least two of the plurality of layers not overlapping with each other in a thickness direction of the waveguide layer. (Figure 13)
In regards to claim 11, Park recites a laser apparatus comprising: a laser emitter; and an optical modulation device (Figure 11) arranged on a light-emitting side of the laser emitter and including: a waveguide layer (A100) including a waveguide body and a plurality of nano-waveguides ([0128]; plurality of unit cells) embedded in the waveguide body and extending in an extension direction, the direction being a light-emitting direction of the laser emitter; a first electrode layer (C10; [0088,0094]) arranged on a side of the waveguide layer and including a plurality of first electrodes extending along the extension direction and arranged in a one- to-one correspondence with the plurality of nano-waveguides; and a second electrode layer (N10; [0094]) arranged on a side of the waveguide layer facing away from the first electrode layer and including a plurality of second electrodes extending in the extension direction and arranged in a one-to-one correspondence with the plurality of first electrodes, each of the plurality of second electrodes and a corresponding one of the plurality of first electrodes being configured to apply a modulation voltage to a corresponding one of the plurality of nano-waveguides to change a refractive index of the corresponding one of the plurality of nano-waveguides. [0126-0127]
In regards to claim 16, Park recites the plurality of nano-waveguides are arranged in a single layer and in sequence along an arrangement direction crossing the extension direction.
In regards to claim 17, Gui recites the plurality of nano-waveguides are arranged in a plurality of layers each including two or more of the plurality of nano-waveguides arranged in sequence along an arrangement direction crossing the extension direction, the nano-waveguides in at least two of the plurality of layers not overlapping with each other in a thickness direction of the waveguide layer. (Figure 13)
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(s) 4-6 and 18-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over WO2021/169854 to Gui et al as applied to claim 1 above and in further view of U.S. Patent Application Publication 2019/0018299 to Park et al.
In regards to claims 4 and 18, Gui discloses the modulator discussed above and further recites the plurality of nano-waveguides are arranged in a single layer and along an arrangement direction crossing the extension direction. But Gui fails to expressly recite the optical modulation device further comprising: a first wiring layer, a substrate, a first insulation layer, a second insulation layer, a cladding layer, and a second wiring layer; wherein: the first wiring layer, the substrate, the first insulation layer, the first electrode layer, the waveguide layer, the second electrode layer, the second insulation layer, the cladding layer, and the second wiring layer are stacked one over another; the first wiring layer includes a plurality of first wires arranged in a one- to-one correspondence with the plurality of first electrodes and each connected to a corresponding one of the plurality of first electrodes through a via in the substrate and a via in the first insulation layer; and the second wiring layer includes a plurality of second wires arranged in a one-to-one correspondence with the plurality of second electrodes and each connected to a corresponding one of the plurality of second electrodes through a via in the cladding layer and a via in the second insulation layer. However, Park teaches a modulator and details the specific layers of the modulating device. Figure 11 of Park teaches a first wiring layer (VB), a substrate (SUB100), a first insulation layer (D100), a second insulation layer (D200), and a second wiring layer (VT); wherein: the first wiring layer, the substrate, the first insulation layer, the first electrode layer, the waveguide layer, the second electrode layer, the second insulation layer, and the second wiring layer are stacked one over another; the first wiring layer includes a plurality of first wires arranged in a one- to-one correspondence with the plurality of first electrodes and each connected to a corresponding one of the plurality of first electrodes through a via in the substrate and a via in the first insulation layer; and the second wiring layer includes a plurality of second wires arranged in a one-to-one correspondence with the plurality of second electrodes and each connected to a corresponding one of the plurality of second electrodes through a via in the cladding layer and a via in the second insulation layer. Since Gui and Park are both from the same field of endeavor and Park details the specific layer Gui is silent to, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the modulator of Gui to have included the detailed layers of Park in order for the modulator to function as desired. Furthermore, Gui and Park are both silent regarding a cladding layer. However, the inclusion of a cladding layer is well known to confine the light within the waveguide. Therefore, although not expressly stated, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the optical modulation device further comprising: a first wiring layer, a substrate, a first insulation layer, a second insulation layer, a cladding layer, and a second wiring layer; wherein: the first wiring layer, the substrate, the first insulation layer, the first electrode layer, the waveguide layer, the second electrode layer, the second insulation layer, the cladding layer, and the second wiring layer are stacked one over another; the first wiring layer includes a plurality of first wires arranged in a one- to-one correspondence with the plurality of first electrodes and each connected to a corresponding one of the plurality of first electrodes through a via in the substrate and a via in the first insulation layer; and the second wiring layer includes a plurality of second wires arranged in a one-to-one correspondence with the plurality of second electrodes and each connected to a corresponding one of the plurality of second electrodes through a via in the cladding layer and a via in the second insulation layer.
In regards to claims 5, 6, 19 and 20, although Gui in view of Park does not expressly disclose the cladding layer includes a first trench and a second trench extending in the extension direction; and orthographic projections of the plurality of first electrodes, the plurality of nano- waveguides, and the plurality of second electrodes on the substrate are between orthographic projections of the first trench and the second trench on the substrate or the cladding layer includes a planar member and a protrusion member arranged on a side of the planar member facing away from the second insulation layer; and orthographic projections of the plurality of first electrodes, the plurality of nano-waveguides, and the plurality of second electrodes on the substrate are within an orthographic projection of the protrusion member on the substrate, Applicant’s claims 5 and 6 claim both a trench and a protrusion in the cladding layer in relation to the first and second electrodes. Since Applicant claims both a trench and a protrusion and further since Applicant has not stated a trench or protrusion to solve a stated problem or is for a particular purpose, it appears the invention would function equally as well with either configuration, it would have been obvious before the effective filing date to a person having ordinary skill in the art to have provided a trench or a protrusion in the cladding layer.
Claim(s) 7-9 and 12-14 is/are rejected under 35 U.S.C. 103 as being unpatentable over WO2021/169854 to Gui et al as applied to claims 1 and 11 above.
In regards to claims 7-9, Gui recites a material of the waveguide body includes at least one of silicon, silicon oxide, silicon nitride, gallium arsenide, aluminum gallium arsenide, or indium gallium arsenide. [0026] Although Gui does not expressly recite a material of the waveguide body includes a gain medium material and a material of the plurality of nano-waveguides includes at least one of lithium niobate crystal, gallium arsenide crystal, lithium tantalate crystal, or potassium dihydrogen phosphate crystal, the claimed materials are all commonly chosen materials in the modulation art in order to provide the desired manipulation of the light signal. Furthermore, the claimed materials are readily and commercially available. Therefore, although not expressly stated, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the material of the waveguide body to includes at least one of silicon, silicon oxide, silicon nitride, gallium arsenide, aluminum gallium arsenide, or indium gallium arsenide as disclosed by Gui or for the material of the waveguide body includes a gain medium material and a material of the plurality of nano-waveguides includes at least one of lithium niobate crystal, gallium arsenide crystal, lithium tantalate crystal, or potassium dihydrogen phosphate crystal.
In regards to claims 12-14, Gui recites the optical modulation device and the laser emitter are individual devices. But Gui fails to expressly recite the optical modulation device and the laser emitter are formed on a same substrate and a light-emitting end surface of the laser emitter is directly and optically coupled or through a lens or a metasurface device with a light-incident end surface of the optical modulation device. However, for ease of manufacturing and for compactness, forming the optical modulation device and the laser emitter are formed on a same substrate would be advantageous. Furthermore, direct coupling of components in order to reduce light leakage and light loss is additionally desired. Additionally, the use of a lens or metasurface to further decrease the loss of light is a common practice. Therefore, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the optical modulation device and the laser emitter are formed on a same substrate and a light-emitting end surface of the laser emitter is directly and optically coupled or through a lens or a metasurface device with a light-incident end surface of the optical modulation device.
Claim(s) 4-6, 7-15, and 18-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over U.S. Patent Application Publication 2019/0018299 to Park et al as applied to claims 1 and 11 above.
In regards to claims 4 and 18, Park discloses the modulator discussed above and further recites the plurality of nano-waveguides are arranged in a single layer and along an arrangement direction crossing the extension direction. Park further recites a first wiring layer (VB), a substrate (SUB100), a first insulation layer (D100), a second insulation layer (D200), and a second wiring layer (VT); wherein: the first wiring layer, the substrate, the first insulation layer, the first electrode layer, the waveguide layer, the second electrode layer, the second insulation layer, and the second wiring layer are stacked one over another; the first wiring layer includes a plurality of first wires arranged in a one-to-one correspondence with the plurality of first electrodes and each connected to a corresponding one of the plurality of first electrodes through a via in the substrate and a via in the first insulation layer; and the second wiring layer includes a plurality of second wires arranged in a one-to-one correspondence with the plurality of second electrodes and each connected to a corresponding one of the plurality of second electrodes through a via in the cladding layer and a via in the second insulation layer. But Park fails to recite a cladding layer. However, the inclusion of a cladding layer is well known to confine the light within the waveguide. Therefore, although not expressly stated, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the optical modulation device further comprise a cladding layer
In regards to claims 5, 6, 19 and 20, although Park does not expressly disclose the cladding layer includes a first trench and a second trench extending in the extension direction; and orthographic projections of the plurality of first electrodes, the plurality of nano- waveguides, and the plurality of second electrodes on the substrate are between orthographic projections of the first trench and the second trench on the substrate or the cladding layer includes a planar member and a protrusion member arranged on a side of the planar member facing away from the second insulation layer; and orthographic projections of the plurality of first electrodes, the plurality of nano-waveguides, and the plurality of second electrodes on the substrate are within an orthographic projection of the protrusion member on the substrate, Applicant’s claims 5 and 6 claim both a trench and a protrusion in the cladding layer in relation to the first and second electrodes. Since Applicant claims both a trench and a protrusion and further since Applicant has not stated a trench or protrusion to solve a stated problem or is for a particular purpose, it appears the invention would function equally as well with either configuration, it would have been obvious before the effective filing date to a person having ordinary skill in the art to have provided a trench or a protrusion in the cladding layer.
In regards to claims 7-9, Park recites a material of the waveguide body includes a gain medium material. [0086] Although Park does not expressly recite a material of the waveguide body includes at least one of silicon, silicon oxide, silicon nitride, gallium arsenide, aluminum gallium arsenide, or indium gallium arsenide and a material of the plurality of nano-waveguides includes at least one of lithium niobate crystal, gallium arsenide crystal, lithium tantalate crystal, or potassium dihydrogen phosphate crystal, the claimed materials are all commonly chosen materials in the modulation art in order to provide the desired manipulation of the light signal. Furthermore, the claimed materials are readily and commercially available. Therefore, although not expressly stated, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the material of the waveguide body includes a gain medium material as disclosed by Park or for the waveguide body includes at least one of silicon, silicon oxide, silicon nitride, gallium arsenide, aluminum gallium arsenide, or indium gallium arsenide and a material of the plurality of nano-waveguides includes at least one of lithium niobate crystal, gallium arsenide crystal, lithium tantalate crystal, or potassium dihydrogen phosphate crystal.
In regards to claims 12-14, Park recites the optical modulation device and the laser emitter are individual devices. But Park fails to expressly recite the optical modulation device and the laser emitter are formed on a same substrate and a light-emitting end surface of the laser emitter is directly and optically coupled or through a lens or a metasurface device with a light-incident end surface of the optical modulation device. However, for ease of manufacturing and for compactness, forming the optical modulation device and the laser emitter are formed on a same substrate would be advantageous. Furthermore, direct coupling of components in order to reduce light leakage and light loss is additionally desired. Additionally, the use of a lens or metasurface to further decrease the loss of light is a common practice. Therefore, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the optical modulation device and the laser emitter are formed on a same substrate and a light-emitting end surface of the laser emitter is directly and optically coupled or through a lens or a metasurface device with a light-incident end surface of the optical modulation device.
In regards to claim 15, although Park does not expressly recite the laser emitter includes a gas laser device, a solid state laser device, a semiconductor laser device, or a dye laser device, each of the claimed lasers are known lasers in the art and commercially available. One or ordinary skill would have known to choose the appropriate laser to be included in the modulation device in order to achieve the desired output. Therefore, although not expressly stated, it would have been obvious before the effective filing date to a person having ordinary skill in the art for the laser emitter to include a gas laser device, a solid state laser device, a semiconductor laser device, or a dye laser device.
References Cited
The references cited made of record and not relied upon is considered pertinent to applicant’s disclosure.
The documents submitted by applicant in the Information Disclosure Statement have been considered and made of record. Note attached copy of form PTO-1449.
Inventorship
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.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to TINA M WONG whose telephone number is (571)272-2352. The examiner can normally be reached M-F 8:30-5:30.
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/TINA WONG/ Primary Examiner, Art Unit 2874