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 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.
DETAILED ACTION
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 9/11/26 has been entered. Claims 1, 3, 4, 6, and 7 have been amended and claim 2 canceled. Claims 1 and 3 – 10 are pending.
Response to Amendments / Arguments
Applicant’s arguments regarding the previously raised claim rejections under 35 USC 103 have been fully considered but they are not persuasive, as was detailed in the Advisory Action of 8/28/26. Furthermore, Applicant’s arguments are moot in view of the new grounds of rejections, as necessitated by Applicant’s amendments. Specifically, the new limitations in the independent claims define that the input bonding pad, the electrode layer, and the output bonding pad are formed in one process at the same time by the same material. Accordingly, the Examiner has applied a reference by Ichimei et al (US 2023/0350235 A1) that has been yielded by an updated prior art search, discloses an electro-optic modulator with structurally defined/shaped input/output bonding pads for flip-chop bonding, is an even closer fit to the claimed device and, in combination Makino, more comprehensively covers the limitations recited by the amended claims, as detailed below.
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 of this title, 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 set forth in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), that are applied 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.
Claims 1 – 10 are rejected under 35 U.S.C. 103 as being unpatentable over Makino (US 2022/0050351 A1) in view of Ichimei et al (US 2023/0350235 A1).
Regarding claim 1, Makino discloses (Figs. 1 and 6B; Abstract; para. 0024 – 0029 and 0056 – 0069) an optical modulation module 100 (an optical waveguide Mach-Zehnder modulator whose general view is shown in Fig. 1 and cross-section (of one interferometer arm 102) in Fig. 6B), comprising (with reference to Fig. 6B):
an underlay 121b, comprising a first (top) surface and a second (second) surface which are provided opposite to each other,
an optical waveguide lamination 121a,122,123 (as illustrated in Fig. 6B) that is disposed on the underlay 121b (above its first/top surface) and comprises a lower cladding layer 121, an optical waveguide layer 122 and an upper cladding layer 123 (para. 0029) which are stacked in a first (vertical) direction, wherein the first (vertical) direction is perpendicular to a plane (a horizontal plane that is perpendicular to the plane of Fig. 6B and parallel to the top surface of 121b, see Figure A below) in which the underlay 121b is located; and
a conductive structure 111 (modulating electrodes; para. 0027 and 0028) which is located above the optical waveguide layer 122, electrically connected with to the optical waveguide layer 122, and used for conducting an electric signal (a modulating voltage; para. 0028) to the optical waveguide layer 122,
wherein the conductive structure is formed by filing a groove 123a penetrating through the upper cladding layer 123 and a bottom of the groove 123a exposes the optical waveguide layer 122 (“In the configuration example in FIG. 6B, an entire area of the portions (the recesses 123a) of the buffer layer 123 where the electrodes 111 are provided is etched. Further, the electrodes 111 are formed on the thin-film LN layer 122 (steps 122b) by vapor deposition, etc.” at para. 0061 of Makino, emphasis added).
Makino does not teach that the disclosed optical modulation module can be electrically connected with a substrate (circuit/wiring board) with electrical traces that are connected to the conductive structure and provide an electric signal for electro-optic modulation. However, Ichimei discloses (e.g., Figs. 3, 4, and 6 – 9; Abstract; para. 0029 – 0047) an optical waveguide device, comprising (with reference to Fig. 8) a substrate 20,21 (comprising a relay substrate 20 and a termination substrate 21 which can be integrated in a single substrate; “While the termination substrate 21 is provided separately from the relay substrate 20 in FIG. 8, both can also be integrated to form the wiring substrate” at para. 0045) and an optical modulation module 1 (electro-optic waveguide modulator; para. 0030 and 0031) electrically connected with the substrate 20,21 (by flip-chip bonding; para. 0014, 0038, and 0040 – 0042);
wherein the optical modulation module 1 comprises:
an underlay 110 (shown in Fig. 6) comprising a first (top) surface and a second (bottom) surface which are provided opposite to each other, wherein the first (top) surface is relatively close to the substrate 20, and the second (bottom) surface is relatively far away from the substrate 20,21;
an optical waveguide layer 100 (with waveguides OW1,OW2; para. 0033) located between the first (top) surface of the underlay110 and the substrate 20 (as seen in Fig. 6);
a conductive structure GND,S,GND (modulating electrodes; para. 0029 and 0030) which is located between the optical waveguide layer 100 and the substrate 20,21 (as seen in Fig. 6), and is electrically connected with the optical waveguide layer 100, being used for conducting an electric signal to the optical waveguide layer 100 (para. 0029 and 0030),
wherein the conductive structure GND,S,GND directly contacts the optical waveguide layer 100 (as seen in Fig. 6),
wherein the conductive structure comprises (see annotated Fig. 7 below): an input bonding pad Sc1,Gc (shown in Figs. 4 and 7; para. 0038, 0039), an electrode layer GND,S,GND, and an output bonding pad Sc2,Gc provided in parallel in a second direction (the horizontal plane perpendicular to the plane of Fig. 6; in the plane of Fig. 7), wherein the second direction is perpendicular to the first direction (vertical direction in Fig. 6), and the second direction is parallel to a plane where the underlay 100 is located (as seen in Fig. 6, the second direction and the plane of the underlay 100 are both horizonal and parallel to each other).
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Annotated Fig. 7 of Ichimei.
It would have been obvious to a person of ordinary skill in the art before the effective filing date of the claimed invention that the optical modulation module of Makino can be configured, in accordance with the teachings of Ichimei, to have an input bonding pad and an output bonding pad that are integral with the electrode layer so that the optical modulation module can be electrically connected (by flip-chip bonding) to a substrate with electrical traces for coupling an input modulating signal into the electrode layer (by the substrate portion 20 in Fig. 8 of Ichimei; para. 0042) and for outcoupling a residual electrical throughput and directing it to a termination resistance TE (by the substrate portion 21; para. 0043 – 0045). The motivation/advantage is that “Making the flip-chip connection can improve the propagation loss of the electrical signal, compared to wire bonding connection. In addition, by making the flip connection, lengths of wiring of a plurality of signal electrodes can be made uniform to a certain degree. Thus, a difference in electrical characteristic between each control electrode can be reduced” (para. 0041 of Ichimei).
The Makino – Ichimei combination considers (Figs. 4 and 6 – 8 of Ichimei) that the input bonding pad Sc1,Gc, the electrode layer GND,S,GND, and the output bonding pad Sc2,Gc are formed in a common/same metal layer (e.g., Au; para. 0033 of Makino; para. 0034 of Ichimei) in one process (Au deposition/plating; para. 0034 of Ichimei) at the same time.
In light of the foregoing analysis, the Makino – Ichimei combination teaches expressly or renders obvious all of the recited limitations (as detailed above and evidenced by Figure A below).
Alternatively, the teachings of Makino (an optical waveguide lamination comprising an optical waveguide layer sandwiched between a lower cladding layer and an upper cladding layer) may be applied to modify the structure of the optical waveguide device in Ichimei by adding a lower cladding layer and an upper cladding layer. The Ichimei – Makino combination provides an alternative ground of rejections.
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\The optical waveguide device of the Makino – Ichimei combination is illustrated in Figure A below which is produced from Fig. 6 of Ichimei by adding a lower cladding layer and an upper cladding layer (121a and 123 respectively in Fig. 6B of Makino) to lower propagation loss in the waveguides.
Figure A. The optical waveguide device of the Makino – Ichimei combination.
As an aside and relevant comment to the claims, it is also noted that the optical waveguide device of the Makino – Ichimei combination has essential structural features (an electro-optic modulator that is flip-chip bonded to a wiring substrate) and a principle of operation (driving and termination of the modulator via the wiring substrate) that are substantially similar/identical to those of the claimed modulator of the instant application, as evident by a direct side-by-side comparison of Fig. 7 of Ichimei and Figure A above with Figs. 1, 2, and 4f of the instant application. The Figs. 1 and 2 should be flipped upside down for matched orientation.
Regarding claim 3, the Makino – Ichimei combination considers that the conductive structure further comprises:
a first one of first fixing assembly (denoted as FC in Figure A above), which is located between the input bonding pad Sc1 and the substrate 20,21 (its part 20), and which is used for fixedly connecting the input bonding pad Sc1 and the substrate 20,21 (its part 20); and
a second one of first fixing assembly, which is located between the output bonding pad Sc2 and the substrate 20,21 (its part 21), and which is used for fixedly connecting the output bonding pad Sc2 and the substrate 20,21 (according to Figs. 6 and 7 of Ichimei).
Regarding claim 4, the Makino – Ichimei combination considers that the conductive structure further comprises:
a driving assembly (comprising electrical traces 20L in Fig. 8 and driver DRV in Fig. 9 of Ichimei; para. 0042 and 0047), which is electrically connected with the optical modulation module through the input bonding pad Sc1 (Fig. 8; para. 0042), and which is used for applying a driving signal to the optical modulation module;
a resistance element TE (shown in Fig. 8), which is electrically connected with the optical modulation module through the output bonding pad Sc2; a second fixing assembly FC, which is located between the driving assembly and the substrate 20,21 (its part 21; Fig. 6), and which is used for fixedly connecting (by flip-chip connection) the driving assembly and the substrate 20 (para. 0042); and a third fixing assembly FC, which is located between the resistance element TE and the substrate 20,21 (its part 21), and which is used for fixedly connecting the resistance element TE and the substrate 20,21 (Figs. 7 and 8; para. 0044).
Regarding claim 5, the Makino – Ichimei combination considers that a compositive material of the optical waveguide layer comprises lithium niobate or lithium tantalate (Abstract of Makino; para. 0031 of Ichimei); and
a compositive material of the lower cladding layer and the upper cladding layer comprises silicon oxide or silicon dioxide (SiO2; para. 0031 of Makino).
Regarding claim 6, the teachings of Makino and Ichimei combine (see the arguments and motivation for combining, as provided above for claim 1) to teach expressly or render obvious all of the recited limitations, as detailed above for claim 1. Specifically, the Makino – Ichimei combination considers a corresponding manufacturing method of the contemplated optical waveguide device, comprising (see annotated Figure A provide above for claim 1 above):
providing an underlay 110, wherein the underlay comprises a first (upper) surface and a second (lower) surface which are provided opposite to each other,
forming an optical waveguide lamination on the first surface of the underlay, wherein the optical waveguide lamination comprises a lower cladding layer, an optical waveguide layer 100 and an upper cladding layer which are stacked in a first (vertical) direction (as taught by Makino in Fig. 6B), and the first direction is perpendicular to a (horizontal) plane in which the underlay 110 is located;
forming a groove (a groove 123a in Fig. 6B of Makino) penetrating through the upper cladding layer, wherein the bottom of the groove exposes the optical waveguide layer;
forming a conductive structure that fills the groove, wherein the conductive structure is used for conduct an electrical signal to the optical waveguide layer; and
forming a substrate 20,21 electrically connected with the conductive structure, wherein the first (upper) surface is relatively close to the substrate 20,21, and the second (lower) surface is relatively far away from the substrate 20,21;
wherein the conductive structure comprises: an input bonding pad Sc1 (shown in Fig. 7 of Ichimei), an electrode layer GND,S,GND, and an output bonding pad Sc2 provided in parallel in a second (horizontal) direction, wherein the second (horizontal) direction is perpendicular to the first (vertical) direction, and the second direction is parallel to a (horizontal) plane where the underlay 110 is located;
wherein the input bonding pad Sc1, the electrode layer GND,S,GND, and the output bonding pad Sc2 are formed in one process (of metal/Au deposition/plating; para. 0034 of Ichimei) at the same time by the same material (e.g., Au; para. 0033 of Makino; para. 0034 of Ichimei).
Regarding claim 7, the Makino – Ichimei combination considers (Fig. 6B of Makino; Fig. 7 of Ichimei; Figure A provided above for claim 1) that the conductive structure comprises an input bonding pad Sc1, an electrode layer GND,S,GND, and an output bonding pad Sc2 which are provided in parallel in a second direction (horizontal/longitudinal direction in Fig. 7 of Ichimei);
the forming a groove (123a in Fig. 6B of Makino) penetrating through the upper cladding 123 comprises:
forming the groove 123a penetrating through the upper cladding layer 123 in the first (vertical) direction and extending in the second (horizontal/longitudinal) direction, wherein the second (horizontal/longitudinal) direction is perpendicular to the first (vertical) direction, and is parallel to a plane where the underlay 121b is located;
the forming a conductive structure that fills the groove comprises: depositing a conductive material 111 into the groove 123a (according to Fig. 6B of Makino), so as to form the input bonding pad Sc1, the electrode layer GND,S,GND, and the output bonding pad Sc2 provided in parallel in the second direction (horizontal/longitudinal direction in Fig. 7 of Ichimei).
Regarding claim 8, the Makino – Ichimei combination considers (Figs. 6 – 8 of Ichimei; Figure A provided above for claim 1) that the forming a substrate 20,21 electrically connected with the conductive structure comprises:
forming a first one of first fixing assembly FC on the input bonding pad Sc1;
forming a second one of first fixing assembly FC on the output bonding pad Sc2;
inverting (flipping upside down) the substrate 20,21 to enable the first (upper) surface to be relatively close to the substrate 20,21; fixedly connecting the first one of first fixing assembly Fc with the substrate 20,21 (its part 20; Fig. 6);
fixedly connecting the second one of first fixing assembly FC with the substrate 20,21 (its part 21; Fig. 6).
Regarding claim 9, the Makino – Ichimei combination teaches expressly or renders obvious all of the recited limitations, as detailed above for claim 4.
Regarding claim 10, the Makino – Ichimei combination considers (Fig. 6B of Makino; Figure A provided above for claim 1) that the forming of an optical waveguide lamination on the first (top) surface of the underlay 121b (denoted in Fig. 6B of Makino and corresponding to 110 in Figure A) comprises:
forming the lower cladding layer 121a on the first (top) surface of the underlay 121b;
forming an optical waveguide material layer 122 on the lower cladding layer 121a;
removing a part of the optical waveguide material layer by etching so as to form the optical waveguide layer (with ridge waveguides 122a in Fig. 6B of Makino which correspond to waveguides OW1,OW2 in Figure A); and
forming the upper cladding layer 123 covering the optical waveguide layer 122a.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
US 12,591,152 B2 Figs. 6 – 9 show an electro-optic waveguide modulator with input bonding pads for flip-chip bonding.
US 2021/0240049 A1 Fig. 3 shows an electro-optic waveguide modulator with input and output electrode pads.
US 2022/0252913 A1 Fig. 6 shows an electro-optic device mounted by flip-chip bonding.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to ROBERT TAVLYKAEV whose telephone number is (571)270-5634. The examiner can normally be reached 10:00 am - 6:00 pm, Monday - Friday.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, William Kraig can be reached on (571)272-8660. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/ROBERT TAVLYKAEV/Primary Examiner, Art Unit 2896
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