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 I, claims 1-14 in the reply filed on 12/22/2025 is acknowledged.
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.
Claim(s) 1, 2, 4-14 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by U.S. Patent 10,845,669 B2 to Mahgerefteh et al.
Regarding claim 1, Mahgerefteh teaches an apparatus (Figs. 5A-5C) comprising: a buried oxide (BOX) layer (silicon oxide layer 326); a silicon (Si) slab (layer 324) positioned on the BOX layer; and a Si waveguide (layer 320) positioned on the BOX layer; wherein the apparatus includes: an input stage (thicker waveguide portion 302) with an input Si slab height (height of a layer 322), an input Si waveguide height (height of the layer 320), and an input height difference between the input Si slab height and the input Si waveguide height (equal to the thickness of the layer 320); an output stage (thinner waveguide portion 308) with an output Si slab height (height of the layer 324) that is different from the input Si slab height (difference equal to the height of the layer 322), an output Si waveguide height (height of the layer 322) that is different from the input Si waveguide height (difference equal to the height of the layer 320), and an output height difference between the output Si slab height and the output Si waveguide height that is different from the input height difference (the differences/layer thicknesses are determined by the etch depths 354, 356, 358, wherein first etch 354 may be a relatively shallow etch, the second etch 356 may be deeper than the first etch 354, and the third etch 358 may be deeper than the first etch 354 and the second etch 356, col. 10, ll. 5-14); and a transition stage (portion 210 that includes first and second tapering portions 304, 306) positioned between the input stage and the output stage, wherein the transition stage (having two different transition portions 304, 306) has a transition Si slab height (height of the layer 322 in the portion 304, or height of the layer 344 in the portion 306), a transition Si waveguide height (height of a layer 340 in the portion 304, or height of the layer 342 in the portion 306), and a transition height difference between the transition Si slab height and the transition Si waveguide height (difference equal to the height of 340 or 344).
Regarding claim 2, Mahgerefteh further teaches a first face of the Si waveguide (320) is coupled with a face of the BOX layer (326, left faces of both 320 and 326 coincide each other as illustrated in Fig. 5B), and wherein a second face (right face of 320, at the boundary of the portions 302 and 304) of the Si waveguide that is opposite the first face is parallel to the face of the BOX layer at the input stage, the transition stage, and the output stage (all claimed faces are shown as vertical lines in Fig. 5B).
Regarding claim 4, Mahgerefteh further teaches the transition height difference is the same as the output height difference (the transition portion in the second tapering portion 306 and the output slab and waveguide in the thinner waveguide portion 308 share common layers and have the same thickness difference).
Regarding claim 5, Mahgerefteh further teaches the input Si waveguide height is the same as the transition Si waveguide height (the transition portion in the first tapering portion 304 and the input slab and waveguide in the thinner waveguide portion 302 share common layers and have the same thickness difference).
Regarding claim 6, Mahgerefteh further teaches the output Si waveguide height is the same as the transition Si waveguide height (the transition portion in the second tapering portion 306 and the output slab and waveguide in the thinner waveguide portion 308 share common layers and have the same thickness difference).
Regarding claims 7, 8, Mahgerefteh further teaches that the transition Si slab height may be greater than the input Si slab height (e.g., height of 342 >324) or less than the input Si slab height (e.g., height of 322>344) depending on the selection of the slab and transition portion.
Regarding claim 9, Mahgerefteh teaches method of manufacturing an optical mode convertor (300), wherein the method comprises: forming a buried oxide (BOX) layer (326); forming a silicon (Si) slab (324) positioned on the BOX layer, wherein the Si slab has an input Si slab height (of 322) at an input stage (302) of the optical mode convertor, an output Si slab height (of 324) at an output stage (308) of the optical mode convertor, and a transition Si slab height (of 322 or 342) at a transition stage (304 or 306) of the optical mode convertor, wherein the transition stage (304/306) is between the input stage (302) and the output stage (308), and wherein the output Si slab height (324) is different from the input Si slab height (322); and forming a Si waveguide (320, 322) positioned on the BOX layer, wherein the Si waveguide has an input Si waveguide height (of 320) at the input stage (302), an output Si waveguide height (of 322) at the output stage (308), and a transition Si waveguide height (of 340 or 342) at the transition stage (304 or 306), wherein the input Si waveguide height (of 320) is different from the output Si waveguide height (of 322).
Regarding claim 10, Mahgerefteh further teaches a first face of the Si waveguide (320) is coupled with a face of the BOX layer (326, left faces of both 320 and 326 coincide each other as illustrated in Fig. 5B), and wherein a second face (right face of 320, at the boundary of the portions 302 and 304) of the Si waveguide that is opposite the first face is parallel to the face of the BOX layer at the input stage, the transition stage, and the output stage (all claimed faces are shown as vertical lines in Fig. 5B).
Regarding claim 11, Mahgerefteh further teaches the transition height difference is the same as the output height difference (the transition portion in the second tapering portion 306 and the output slab and waveguide in the thinner waveguide portion 308 share common layers and have the same thickness difference).
Regarding claim 12, Mahgerefteh further teaches the input Si waveguide height is the same as the transition Si waveguide height (the transition portion in the first tapering portion 304 and the input slab and waveguide in the thinner waveguide portion 302 share common layers and have the same thickness difference).
Regarding claims 13, 14, Mahgerefteh further teaches that the transition Si slab height may be greater than the input Si slab height (e.g., height of 342 >324) or less than the input Si slab height (e.g., height of 322>344) depending on the selection of the slab and transition portion.
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) 3 is/are rejected under 35 U.S.C. 103 as being unpatentable over Mahgerefteh et al. Mahgerefteh teaches that the SOI generally has a thickness of 1-3 microns (col. 4, ll. 7-10) but does not specify that that the BOX layer has a height of approximately 1 micrometer (micron). However, within the SOI thickness range disclosed by Mahgerefteh, it would have been obvious to one having ordinary skill in the art, before the effective filing date of the claimed invention, to perform routine experimentations to determine an optimum or appropriate thickness for the BOX layer (326), based on the requirements of its intended functions, including both dielectric and optical isolations between parts of the apparatus.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. USP6980720 discloses a mode transformation apparatus using tapered and rib waveguides.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHARLIE PENG whose telephone number is (571)272-2177. The examiner can normally be reached 9AM - 6PM.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thomas Hollweg can be reached at (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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/CHARLIE Y PENG/Primary Examiner, Art Unit 2874