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 .
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.
Claims 1, 2, 4-6, 9-11 and 13-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Lam et al (US 2003/0091287 A1). Lam teaches:
1. A variable optical attenuator (VOA) (Figs. 1-2), comprising:
a multi-mode interferometer (MMI) (10), comprising:
an optical waveguide (12),
wherein a set of parameters of the optical waveguide (12) is configured to cause a set of modes of an optical beam to interfere and self-image the optical beam (P0044); and
a control component (14, 15) to apply a forward voltage across the VOA to control attenuation of the VOA (P0045, 0049-0050),
wherein a change in a part of the refractive index of the optical waveguide (12) is associated with carrier injection associated with the forward voltage (P0046-0047, 0049-0050).
2. The VOA of claim 1, wherein the MMI (10) is a 1×1 MMI (see Fig. 1, one input and one output).
4. The VOA of claim 1, further comprising:
a set of ohmic contacts (14, 15) aligned to the MMI (10) to apply the forward voltage across a portion of the MMI (10) (P0045), the portion of the MMI (10) being less than an entirety of the MMI (see Fig. 1).
5. The VOA of claim 4, wherein the MMI (10) includes a conductive region (14, 15, 21, 22, 23) and an insulating region (20), and wherein the conductive region (14, 15, 21, 22, 23) is associated with the portion of the MMI (10) across which the forward voltage is applied (P0045-0046).
6. The VOA of claim 1, wherein the set of parameters includes at least one of a set of geometric parameters (shape of the MMI, P0041) or a set of material parameters (changes in refractive index, P0042).
9. An electro-optical device (Figs. 1-2), comprising:
at least one multi-mode interferometer (MMI) variable optical attenuator (VOA) (10),
an MMI VOA (10), of the at least one MMI VOA (10), comprising:
an input (11) to receive an optical beam;
an output (16) to output the optical beam; and
a multi-mode waveguide (12) to couple the input (11) to the output (16),
wherein a set of parameters of the multi-mode waveguide (12) are associated with self-imaging the optical beam within the multi-mode waveguide (P0041, 0044), the set of parameters including at least one of a set of geometric parameters (shape of the MMI, P0041) and/or a set of material parameters (changes in refractive index, P0042); and
a control component (14, 15) to apply a forward voltage across the MMI VOA (10) to control attenuation of the MMI VOA (P0043),
wherein the forward voltage causes a current to pass through the MMI (12), and
wherein a change in the real and/or imaginary part of the refractive index of the multi-mode waveguide (12) is associated with carrier injection associated with the current (P0042-0044, 0046-0047, 0049-0050).
10. The electro-optical device of claim 9, wherein the multi-mode waveguide (12) includes an non-conductive region (20) and a conductive region (14, 15, 21, 22, 23).
11. The electro-optical device of claim 9, wherein the at least one MMI VOA (10) forms a coupler (P0049).
13. The electro-optical device of claim 9, the control component (14, 15) is configured to perturb a refractive index of a core (part of 22) of the at least one MMI VOA (10) by at least a threshold percentage (any application of voltage is a “threshold percentage”, P0046-0047, see also Fig. 5B and P0050).
14. The electro-optical device of claim 9, wherein an epitaxial structure of the multi-mode waveguide (12) includes a bulk semiconductor material (P0043, 0046).
15. The electro-optical device of claim 9, wherein carrier injection in the multi-mode waveguide (12) is associated with a free carrier absorption effect (P0043).
16. An electro-optical device (Figs. 1-2), comprising:
a multi-mode interferometer (MMI) variable optical attenuator (VOA) (10), comprising:
an input (11) to receive an optical beam;
an output (16) to output the optical beam; and
a waveguide (12) to couple the input (11) to the output (16),
wherein the waveguide (12) is configured to self-imaging the optical beam within the waveguide (P0041, 0044); and
a control component (14, 15) to apply a forward voltage across the MMI VOA (10) to control attenuation of the MMI VOA (P0045, 0049-0050).
17. The electro-optical device of claim 16, wherein a refractive index of the waveguide (12) is associated with the forward voltage applied across the MMI VOA (10) (P0046-0047, 0049-0050).
18. The electro-optical device of claim 16, further comprising:
a set of insulating regions (the length and width of 20) aligned to the optical waveguide (12, part of 22), wherein a refractive index of the optical waveguide (12) is associated with the set of insulating regions aligned to the waveguide (12) (P0046-0047).
19. The electro-optical device of claim 16, wherein the waveguide (12) is an MMI waveguide (P0045).
20. The electro-optical device of claim 16, further comprising:
a set of ohmic contacts (14, 15) connected to the control component to apply the forward voltage (P0045).
Claims 1, 2, 4-7, 9-11 and 13-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Tu et al (US 10,067,363 B2). Tu teaches:
1. A variable optical attenuator (VOA) (Figs. 1-3), comprising:
a multi-mode interferometer (MMI) (11-15), comprising:
an optical waveguide (11),
wherein a set of parameters of the optical waveguide (11) is configured to cause a set of modes of an optical beam to interfere and self-image the optical beam (C6 L50-63); and
a control component (15) to apply a forward voltage across the VOA to control attenuation of the VOA (C4 L36-48),
wherein a change in a part of the refractive index of the optical waveguide (11) is associated with carrier injection associated with the forward voltage (C4 L49 – C5 L2).
2. The VOA of claim 1, wherein the MMI is a 1×1 MMI (see Fig. 1, one input and one output).
4. The VOA of claim 1, further comprising: a set of ohmic contacts (Al/Cu electrode, see Fig. 3) aligned to the MMI to apply the forward voltage across a portion of the MMI (C5 L66 – C6 L9), the portion of the MMI being less than an entirety of the MMI (see Fig. 3).
5. The VOA of claim 4, wherein the MMI includes a conductive region (electrodes, p-i-n junction) and an insulating region (SiO2 and Si Substrate) (see Figs. 4-5), and wherein the conductive region (electrodes, p-i-n junction) is associated with the portion of the MMI across which the forward voltage is applied (C6 L10-39).
6. The VOA of claim 1, wherein the set of parameters includes at least one of a set of geometric parameters (shape of the MMI, C4 L62 – C5 L2) or a set of material parameters (changes in refractive index, C4 L49-61).
7. The VOA of claim 1, wherein the MMI is a first VOA MMI (see Fig. 2, first 11), and further comprising:
a second VOA MMI (see Fig. 2, second 11) connected in series with the first MMI such that a current is injected equally or differentially in the first MMI and the second MMI in connection with the forward voltage (C4 L9-39).
9. An electro-optical device (Figs. 1-5), comprising:
at least one multi-mode interferometer (MMI) variable optical attenuator (VOA) (11-15),
an MMI VOA (11-15), of the at least one MMI VOA (11-15), comprising:
an input (12) to receive an optical beam;
an output (13) to output the optical beam; and
a multi-mode waveguide (11) to couple the input (12) to the output (13),
wherein a set of parameters of the multi-mode waveguide are associated with self-imaging the optical beam within the multi-mode waveguide (C6 L50-63), the set of parameters including at least one of a set of geometric parameters (shape of the MMI, C4 L62 – C5 L2) and/or a set of material parameters (changes in refractive index, C4 L49-61); and
a control component (15) to apply a forward voltage across the MMI VOA to control attenuation of the MMI VOA (C4 L36 – C5 L2),
wherein the forward voltage causes a current to pass through the MMI, (C5 L66 – C6 L39) and
wherein a change in the real and/or imaginary part of the refractive index of the multi-mode waveguide is associated with carrier injection associated with the current (C4 L49 – C5 L2).
10. The electro-optical device of claim 9, wherein the multi-mode waveguide (11) includes an non-conductive region (SiO2 and Si Substrate) (see Figs. 4-5) and a conductive region (electrodes, p-i-n junction).
11. The electro-optical device of claim 9, wherein the at least one MMI VOA a coupler (C4 L17-24).
13. The electro-optical device of claim 9, the control component (15) is configured to perturb a refractive index of a core of the at least one MMI VOA by at least a threshold percentage (any application of voltage is a “threshold percentage”; C4 L38-61).
14. The electro-optical device of claim 9, wherein an epitaxial structure of the multi-mode waveguide includes a bulk semiconductor material (see Figs. 4-5, Si; SiGe, etc).
15. The electro-optical device of claim 9, wherein carrier injection in the multi-mode waveguide is associated with a free carrier absorption effect (C4 L49-61).
16. An electro-optical device (Figs. 1-5), comprising:
a multi-mode interferometer (MMI) variable optical attenuator (VOA) (11-15), comprising:
an input (12) to receive an optical beam;
an output (13) to output the optical beam; and
a waveguide (11) to couple the input (12) to the output (13),
wherein the waveguide (11) is configured to self-imaging the optical beam within the waveguide (C6 L50-63); and
a control component (15) to apply a forward voltage across the MMI VOA to control attenuation of the MMI VOA (C4 L36-48).
17. The electro-optical device of claim 16, wherein a refractive index of the waveguide (11) is associated with the forward voltage applied across the MMI VOA (C4 L49 – C5 L2).
18. The electro-optical device of claim 16, further comprising:
a set of insulating regions (length and width of the substrate) aligned to the optical waveguide (part of the layers above the substrate; see Figs. 4-5), wherein a refractive index of the optical waveguide (11) is associated with the set of insulating regions aligned to the waveguide (C5 L66 – C6 L39).
19. The electro-optical device of claim 16, wherein the waveguide is an MMI waveguide (see Fig. 1).
20. The electro-optical device of claim 16, further comprising: a set of ohmic contacts (Al/Cu electrode; see Fig. 3) connected to the control component to apply the forward voltage (C6 L23-39).
Claim Rejections - 35 USC § 103
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 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.
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 3 is rejected under 35 U.S.C. 103 as being unpatentable over Lam or Tu.
Lam and Tu teaches the VOA previously discussed, but does not state the waveguide is configured to support three or more electromagnetic field modes. Lam and Tu teaches guided modes (Lam - P0050; Tu – C6 L50 – C7 L10) and the number of modes does add any structure to the product claim and while features of an apparatus may be recited either structurally or functionally, claims directed to an apparatus must be distinguished from the prior art in terms of structure rather than function. In re Schreiber, 128 F.3d 1473, 1477-78, 44 USPQ2d 1429, 1431-32 (Fed. Cir. 1997); In re Swinehart, 439 F.2d 210, 212-13, 169 USPQ 226, 228-29 (CCPA 1971);< In re Danly, 263 F.2d 844, 847, 120 USPQ 528, 531 (CCPA 1959). "[A]pparatus claims cover what a device is, not what a device does." Hewlett-Packard Co. v. Bausch & Lomb Inc., 909 F.2d 1464, 1469, 15 USPQ2d 1525, 1528 (Fed. Cir. 1990) (emphasis in original).
Given Lam and Tu teach all of the claimed structure of the VOA and waveguide a prima facie case of obviousness has been meet based on the multimode waveguide already shown and discussed. Applicant’s specification does not discuss what the three or more modes are or any other mention of this limitation.
Claims 8 and 12 are rejected under 35 U.S.C. 103 as being unpatentable over Tu as applied to claims 1 and 9 above, and further in view of Hu et al (WO 2012/097982 A1).
Tu teaches the VOA previously discussed including an active MMI (C4 L38-48).
Tu does not teach expressly:
8. The VOA of claim 1, further comprising: a passive MMI aligned to an output of the active MMI, the passive MMI being configured to filter higher order modes and pass through a fundamental mode.
12. The electro-optical device of claim 9, further comprising: a modal filter aligned to the output of the at least one MMI VOA.
Hu teaches a passive MMI filter (10, Fig. 1) wherein the filter can be aligned to an output of another MMI (112’, 112’’, see Figs. 2a-b) for filtering higher order modes and pass through a fundamental mode (modal filter) (page 7 L7-24).
Tu and Hu are analogous art because they are from the same field of endeavor, MMI waveguide devices.
At the time of the effective filing date of the claimed invention, it would have been obvious to a person of ordinary skill in the art to modify the attenuator Tu to include a passive MMI filter at the output of the device as taught by Hu.
The motivation for doing so would have been to allow for the modal extinction ratio to increase and spectral bandwidth reduce whilst the free spectral range is not affected (Hu, page 7 L7-24).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The following references teach VOA with MMI structures similar to applicant’s: KR20030021844A, CN112034636A, US 2006/0210232A1, US 7155088, US 9874709.
Contact Information
Any inquiry concerning this communication or earlier communications from the examiner should be directed to RYAN A LEPISTO whose telephone number is (571)272-1946. The examiner can normally be reached on 8AM-5PM EST M-F.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thomas Hollweg can be reached on 571-270-1739. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/RYAN A LEPISTO/Primary Examiner, Art Unit 2874