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 .
Response to Amendment
Claims 1 and 3-7 are amended.
Response to Arguments
Applicant’s arguments, see page 5, filed 04/07/2026, with respect to the 112(b) rejections of claims 1 and 3-7 have been fully considered and are persuasive. The 112(b) rejections of claims 1 and 3-7 have been withdrawn.
Applicant’s arguments with respect to claims 1 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Applicant's arguments filed 04/07/2026 have been fully considered but they are not persuasive.
First Applicant argues on page 8 that Kataoka figure 2 does not remedy the deficiencies of Kataoka figure 1 because, the piezoelectric elements 13A and 13B function as mechanical spacers actuated by their own dedicated electrical connections separate from the field between the plates.
Examiner disagrees and cites the second embodiment of Kataoka in paragraph [0042] “ Upon application of a voltage to the piezo-electric elements 13A, 13B, the sizes of the piezo-electric elements elongate or shrink, leading to the change of the distance d between the reflector plates 3A and 3B. At the same time, refractive index n of the liquid crystal material 9 present in the electric field produced by the applied voltage across the terminals 14A and 14B changes, and thus as a result, large variation in the tuning wavelength can be obtained just in the same way as in the embodiment shown in FIG. 1” to teach that the electric field is produced between the terminals 14A and 14B where the piezo-electric elements 13A, 13B are in between as shown in fig. 2, and the field elongates or shrinks the piezo-electric elements 13A, 13B at the same time as the refractive index n of the liquid crystal material 9 changes.
Second Applicant argues on page 9 that Kataoka figure 1 or 2 do not disclose the facing surface arrangement because, reflector plates 3A and 3B do not face the gears 7A and 7B in fig. 1 and the piezoelectric elements 13A and 13B are positioned as vertical spacers between the substrates and do not face the reflector plates in fig. 2.
Examiner disagrees and has cited Kataoka fig. 2 to disclose “said conductive element (conductive reflector plates 3A and 3B fig. 2) and said movable element (piezo-electric elements 13A and 13B fig. 2) having at least one surface facing each other (conductive reflector plates 3A and 3B side surfaces face the piezo-electric elements 13A and 13B as shown below in fig. 1)”, to show that the sides surfaces of the reflector plates 3A and 3B face piezo-electric elements.
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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 1-3 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Kataoka (US 20020005918 A1).
Regarding claim 1, Kataoka discloses in at least figure 2, an opto-mechanical structure (another embodiment of the present invention paragraph [0042] Fabry-Perot optical tuner paragraph [0031]) including:
a substrate (substrate plate 2B fig. 2) extending along a plane (substrate plate 2B extends in an xy plane as shown below in fig. 2) a plane (xy plane as shown below in fig. 2);
a support element (electric terminals 14A, 14B fig. 2) arranged on (the electric terminals 14A, 14B are arranged on the substrate plate 2B fig. 2) the substrate (substrate plate 2B fig. 2);
at least one conductive element (reflector plates 3A and 3B are conductive paragraph [0048]) adapted to create an electric field (when an electric voltage V is applied across the terminals 4A and 4B, an electric field of V /d is produced between the reflector plates 3A and 3B paragraph [0048]) oriented perpendicularly (the electric field is applied over d and is perpendicular to the xy plane of the substrate
plates 2A and 2B along the z direction as shown below in fig. 2) to the plane (xy plane as shown below in fig. 2) of the substrate (substrate plate 2B fig. 2);
an opto-mechanical resonator (the optical tuner uses mechanical principles as a distance
changing unit paragraph [0056]) including:
a mechanically movable element made of a piezoelectric material (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) and arranged on (the Piezo-electric element 13A and 13B elements are arranged on the electric terminals 14A, 14B fig. 2) the support element (electric terminals 14A, 14B fig. 2), the piezoelectric material (Piezo-electric element 13A and 13B fig. 2) being chosen so that the electric field created by the conductive element (the reflector plates 3A, 3B are conductive, so these can be electrodes as well, when an electric voltage Vis applied across the terminals 4A and 4B, an electric field of V/d is produced paragraph [0048]) when the same is subjected to an electric potential causes a displacement of said mechanically movable element (upon application of a voltage to the piezo-electric elements 13A, 13B, the sizes of the piezo-electric elements elongate or shrink paragraph [0042]);
an optical resonator (Fabry-Perot optical cavity 1 has a resonant condition paragraph [0035]) coupled to (the cavity distance d is controlled by the movement of the Piezo-electric element 13A and 13B paragraph [0042]) the mechanically movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]);
said at least one conductive element (conductive reflector plates 3A and 3B fig. 2) being located above or below (the conductive reflector plate 3A is located below the top portions of Piezoelectric element 13A and 13B and the conductive reflector plate 3B is located above the bottom portions of the Piezoelectric element 13A and 13B fig. 2) said mechanically movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]), at a non-zero distance (conductive reflector plates 3A and 3B are a non-zero distance from Piezo-electric element 13A and 13B fig. 2) from said mechanically movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]), said conductive element (conductive reflector plates 3A and 3B fig. 2) and said mechanically movable element (piezo-electric elements 13A and 13B fig. 2) having at least one surface facing each other (conductive reflector plates 3A and 3B side surfaces face the piezo-electric elements 13A and 13B as shown below in fig. 2).
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Regarding claim 2, Kataoka discloses all the limitations of claim 1 and further discloses, wherein the conductive element (reflector plates 3A and 3B fig. 2) is a microwave resonator or an electrode (the reflector plates 3A, 3B are conductive, so these can be electrodes as well paragraph [0048]).
Regarding claim 3, Kataoka discloses all the limitations of claim 1 and further discloses, comprising at least two conductive elements (conductive reflector plates 3A and 3B fig. 2), a first conductive element (conductive reflector plate 3A fig. 2) located below (the conductive reflector plate 3A is located below the top portions of Piezoelectric element 13A and 13B fig. 2) the mechanically movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]),
a second conductive element (conductive reflector plate 3B fig. 2) located above (the conductive reflector plate 3B is located above the bottom portions of the Piezoelectric element 13A and 13B fig. 2) the mechanically movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]).
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 text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claim 4 is rejected under 35 U.S.C. 103 as being unpatentable Kataoka (US 20020005918)
as applied to claim 1 above and in further view of Dolfi et al. (US 20210058033 Al).
Regarding claim 4, Kataoka discloses all the limitations of claim 1.
Kataoka does not disclose, wherein the mechanically movable element and the optical resonator are formed by a phoxonic crystal.
However, Dolfi discloses in at least figure 2, wherein the optical resonator (optomechanical
resonator 182 fig. 2) is formed by a phoxonic crystal (the membrane can be made of phoxonic crystal
paragraph [0057]).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use a phoxonic crystal for the optical resonator as taught by Dolfi in the Fabry-
Perot optical tuner of Kataoka. Phoxonic material is used for optical and acoustic functions
(paragraph [0057]).
Additionally, it would have been obvious to one of ordinary skill in the art before the effective
filing date to use the phoxonic crystal for the mechanically movable element, since it has been held to be within the ordinary skill in the art to select a known material on the basis of its suitability for the intended use. Sinclair and Carroll Co. v. lnterchemical Corp. 65 USPQ 297 (1945).
Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable Kataoka (US 20020005918)
as applied to claim 1 above and in further view of Vollmer et al. (US 20150147756 A1).
Regarding claim 5, Kataoka discloses all the limitations of claim 1 and further discloses the mechanically movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) being integrated (Piezo-electric element 13A and 13B are integrated into the Fabry-Perot optical cavity fig. 2) into the optical resonator (Fabry-Perot optical cavity 1 has a resonant condition paragraph [0035]).
Kataoka does not disclose, wherein the optical resonator is a gallery mode resonator.
However, Vollmer discloses in at least figure 1, wherein the optical resonator (WGM resonator
10 fig. 1) is a gallery mode resonator (optical whispering gallery mode (WGM) resonator paragraph
[0017]).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use a WGM resonator as taught by Vollmer in the Fabry-Perot optical tuner of
Kataoka. Using a WGM resonator surface results in a reduction of the effective resonator size, e.g.
diameter, associated with an increasing resonance frequency (paragraph [0017]).
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable Kataoka (US 20020005918)
as applied to claim 1 above and in further view of Hsu et al. (US 20040071395 Al).
Regarding claim 6, Kataoka discloses all the limitations of claim 1.
Kataoka does not disclose, wherein the opto-mechanical resonator comprises a waveguide
travelling along the periphery of a central structure, the waveguide being connected to the central
structure through anchors, part of the waveguide forming the mechanically movable element.
However Hsu discloses in at least figure 12, wherein the opto-mechanical resonator (optical
switching device paragraph [0091]) comprises a waveguide (movable waveguide 458 fig. 12) travelling
along the periphery (the movable waveguide 458 is located on movable microstructure 543 which is a
ring structure suspended above a substrate paragraph [00091]) of a central structure (substrate
paragraph [0091]), the waveguide (movable waveguides 458 fig. 12) being connected to (the micro
structure 543 with movable waveguides 458 is connected to the substrate by springs 553 and anchors
554 paragraph [0091]) the central structure (substrate paragraph [0091]) through anchors (anchors 554
fig. 12), part of the waveguide forming the mechanically movable element (movable waveguides 548 is moving with
microstructure 543 fig. 12).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use a movable waveguide as taught by Hsu in the Fabry-Perot optical tuner of
Kataoka. The micro structure moves to align the input waveguide to the movable waveguide in order to
route a second optical signal (paragraph [0093]).
Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable Kataoka (US 20020005918)
as applied to claim 1 above and in further view of Siekkinen et al. (US 20030107794 Al).
Regarding claim 7 Kataoka discloses all the limitations of claim 1.
Kataoka does not disclose, wherein the conductive element comprises a plurality of
electrodes, said plurality of electrodes being at least partly situated facing the mechanically movable element.
However, Siekkinen discloses in at least figure 6, wherein the conductive element (lower wafer
66 may include a plurality of electrodes or conductive surfaces paragraph [0027]) comprises a plurality
of electrodes (electrodes 70 and 72 fig. 6), said plurality of electrodes (electrodes 70 and 72 fig. 6) being
at least partly situated facing (electrodes 70 and 72 face the movable portion 32 fig. 6) the movable
element (movable portion 32 fig. 6).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use a plurality of electrodes as taught by Siekkinen in the Fabry-Perot optical tuner
of Kataoka. The mirror on the movable portion is controlled with a pair of actuating and a pair of
adjustment electrodes (paragraph [0027]).
Claims 8-13 are rejected under 35 U.S.C. 103 as being unpatentable Kataoka (US 20020005918)
as applied to claim 1 above and in further view of Piehl (US 20040217919 A1).
Regarding claim 8, Kataoka discloses all the limitations of claim 1 and further discloses, a method for manufacturing a structure (Fabry-Perot optical tuner paragraph [0031]) according to claim 1 (see claim 1 above),
a step of depositing a layer of a first material onto (these reflector plates 3A, 3B may be
deposited on the substrate plates 2A, 2B by vacuum evaporation paragraph [0031]) the substrate
(substrate plates 2A and 2B fig. 2),
a step of forming a movable element in a piezoelectric material (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]).
Kataoka does not disclose, comprising, from a semiconductor substrate:
a step of depositing a second material onto the layer of first material and onto the movable
element;
a step of forming a conductive element in the layer of second material, and
a step of isotropically etching the layer of first material and the layer of second material so as to
release the movable element.
However, Piehl discloses in at least figures 7A-7CA method for manufacturing a structure
according to claim 1, comprising, from a semiconductor substrate (MEMS are generally semiconductor
chips paragraph [0087]):
a step of depositing a layer of a first material (layer 702 fig. 7 A) onto the substrate (a layer 702 is deposited over and makes contact with this substrate at the locations indicated by the reference number 708 paragraph [0088]);
a step of depositing a second material onto (sacrificial material 704 fig. 7 A) the layer of first
material (layer 702 fig. 7 A) and onto the movable element (a sacrificial material 704 is deposited over
the movable components of the device 100, including the flexure 110, the reflective layers 102 and 104
that define the optical cavity 106, and the spring mechanism 112 paragraph [0088]);
a step of forming a conductive element (reflective layer 102 is conductive and a voltage is applied paragraph [0022]) in the layer (reflective layer 102 is formed sacrificial material 704 fig. 7 A) of
second material (sacrificial material 704 fig. 7 A), and
a step of isotropically etching (openings 706 are patterned and etched in the layer 702 and
isotropically etching away the sacrificial material 704 paragraph [0088]) the layer of first material (layer
702 fig. 7 A) and the layer of second material (sacrificial material 704 fig. 7 A) so as to release (the device
100 is released by isotropically etching paragraph [0088]) the movable element (the movable
components of the device 100, including the flexure 110, the reflective layers 102 and 104 that define
the optical cavity 106, and the spring mechanism 112 are part of the device 100 paragraph [0088]).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use isotropically etching to release the movable elements as taught by Piehl in the
Fabry-Perot optical tuner of Kataoka. The release operation occurs inside a protective cavity to increase
yield and once the cavities are sealed, the die can be sawed off without damaging the device 100
(paragraph [0091]).
Regarding claim 9, The combination of Kataoka and Piehl discloses all the limitations
of claim 8, and Kataoka further discloses, wherein the structure (Fabry-Perot optical tuner paragraph [0031]) includes a first conductive element (conductive reflector plate 3A fig. 2) and a second conductive
element (conductive reflector plate 3B fig. 2).
Kataoka does not disclose, the method including, before the step of depositing a layer of a
first material onto the substrate, a step of making a first conductive element at the substrate, the
conductive element in the layer of second material forming the second conductive element.
However, Piehl further discloses, the method including, before the step of depositing a layer of a
first material (layer 702 fig. 7A) onto the substrate (a layer 702 is deposited over and makes contact with
this substrate at the locations indicated by the reference number 708 paragraph [0088]),
a step of making a first conductive element (reflective layer 104 is conductive and a voltage is
applied paragraph [0022]) at the substrate (the bottom reflector 104 is a high-reflectance metallic
substrate paragraph [0034]),
the conductive element (reflective layer 102 is conductive and a voltage is applied paragraph
[0022]) in the layer of second material (sacrificial material 704 fig. 7A) forming the second conductive
element (reflective layer 102 is conductive and a voltage is applied paragraph [0022]).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use isotropically etching material to contain a conductive element as taught by
Piehl in the Fabry-Perot optical tuner of fig. 1. The release operation occurs inside a protective cavity to
increase yield and once the cavities are sealed, the die can be sawed off without damaging the device
100 (paragraph [0091]).
Regarding claim 10, The combination of Kataoka and Piehl discloses all the limitations of claim 8, and Kataoka further discloses, wherein the optical resonator (Fabry-Perot optical tuner paragraph [0031]) is made using an element distinct from (the Fabry-Perot optical tuner is made from conductive elements 3A and 3B fig. 2) the movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) paragraph [0034]) and the step of forming a movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) also comprises (the Fabry-Perot optical tuner is also made from the Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) forming an optical resonator (Fabry-Perot optical tuner paragraph [0031]).
Regarding claim 11, Kataoka discloses all the limitations of claim 1, and further discloses, a method for manufacturing a structure (Fabry-Perot optical tuner paragraph [0031]) according to claim 1 (see claim 1 above),
a step of depositing a layer of a first material onto (these reflector plates 3A, 3B may be
deposited on the substrate plates 2A, 2B by vacuum evaporation paragraph [0031]) the substrate
(substrate plates 2A and 2B fig. 2),
a step of forming a movable element in a piezoelectric material (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]).
Kataoka does not disclose, comprising, from a semiconductor substrate:
a step of depositing a second material onto the layer of first material and onto the movable
element;
a step of forming a conductive element in the layer of second material, and
a step of isotropically etching the layer of first material and the layer of second material so as to
release the movable element.
Additionally, Piehl discloses in at least figures 7A-7CA method for manufacturing a structure
according to claim 1, comprising, from a semiconductor substrate (MEMS are generally semiconductor
chips paragraph [0087]):
a step of depositing a layer of a first material (layer 702 fig. 7 A) onto the substrate (a layer 702 is deposited over and makes contact with this substrate at the locations indicated by the reference
number 708 paragraph [0088]);
a step of depositing a second material onto (sacrificial material 704 fig. 7 A) the layer of first
material (layer 702 fig. 7 A) and onto the movable element (a sacrificial material 704 is deposited over
the movable components of the device 100, including the flexure 110, the reflective layers 102 and 104
that define the optical cavity 106, and the spring mechanism 112 paragraph [0088]);
a step of forming a conductive element (reflective layer 102 is conductive and a voltage is
applied paragraph [0022]) in the layer (reflective layer 102 is formed sacrificial material 704 fig. 7 A) of
second material (sacrificial material 704 fig. 7 A), and
a step of isotropically etching (openings 706 are patterned and etched in the layer 702 and
isotropically etching away the sacrificial material 704 paragraph [0088]) the layer of first material (layer
702 fig. 7 A) and the layer of second material (sacrificial material 704 fig. 7 A) so as to release (the device
100 is released by isotropically etching paragraph [0088]) the movable element (the movable
components of the device 100, including the flexure 110, the reflective layers 102 and 104 that define
the optical cavity 106, and the spring mechanism 112 are part of the device 100 paragraph [0088]).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use isotropically etching to release the movable elements as taught by Piehl in the
Fabry-Perot optical tuner of fig. 1. The release operation occurs inside a protective cavity to increase
yield and once the cavities are sealed, the die can be sawed off without damaging the device 100
(paragraph [0091]).
Regarding claim 12, The combination of Kataoka and Piehl discloses all the limitations of claim 11.
Kataoka does not disclose, wherein, during the isotropic etching step, the layer of the first
material is also etched so as to release the conductive element.
However, Piehl further discloses, during the isotropic etching step (openings 706 are patterned
and etched in the layer 702 and isotropically etching away the sacrificial material 704 paragraph [0088]),
the layer of the first material (layer 702 fig. 7 A) is also etched so as to release (the device 100 is released by isotropically etching paragraph [0088]) the conductive element (the reflector 102 is part of the device 100 paragraph [0088]).
Therefore, it would be obvious for one skilled in the art before the effective filling date of the
claimed invention to use isotropically etching to release the movable elements as taught by Piehl in the
Fabry-Perot optical tuner of Kataoka. The release operation occurs inside a protective cavity to increase
yield and once the cavities are sealed, the die can be sawed off without damaging the device 100
(paragraph [0091]).
Regarding claim 13, The combination of Kataoka and Piehl discloses all the limitations of claim 11 and Kataoka further discloses, wherein the optical resonator (Fabry-Perot optical tuner paragraph [0031]) is made using an element distinct from (the Fabry-Perot optical tuner is made from conductive elements 3A and 3B fig. 2) the movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) paragraph [0034]) and the step of forming a movable element (Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) also comprises (the Fabry-Perot optical tuner is also made from the Piezo-electric element 13A and 13B elements elongate or shrink paragraph [0042]) forming an optical resonator (Fabry-Perot optical tuner paragraph [0031]).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Endisch et al. (US 20090009845 A1) discloses a micromechanical device with optical function separated with a movable conductive reflective layer controlled by a voltage.
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 ANDREW R WRIGHT whose telephone number is (703)756-5822. The examiner can normally be reached Mon-Thurs 7:30-5 Friday 8-12.
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, Pinping Sun can be reached at 1-571-270-1284. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/ANDREW R WRIGHT/Examiner, Art Unit 2872
/PINPING SUN/Supervisory Patent Examiner, Art Unit 2872
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