CTNF 18/573,028 CTNF 77455 DETAILED ACTION Notice of Pre-AIA or AIA Status 07-03-aia AIA 15-10-aia The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA. 07-06 AIA 15-10-15 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. Information Disclosure Statement The references cited in the Information Disclosure Statement (IDS) submitted on December 21, 2023 and December 13, 2024. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered and accepted by the examiner. Drawings The drawing submitted on December 21, 2023, has been considered and accepted by the examiner. Claim Rejections - 35 USC § 102 07-07-aia AIA 07-07 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 – 07-08-aia AIA (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. 07-15 AIA Claim s 1 and 4 are rejected under 35 U.S.C. 102( a)(1 ) as being anticipated by Yamaoka et al. (PCT/JP2019/022312 associated with WO 2020245935, the examiner use the US 2022/0320813 (Applicant submitted in the IDS, filed on December 13, 2024), which is an equivalent of PCT/JP2019/022312 associated with WO 2020245935 . PNG media_image1.png 178 402 media_image1.png Greyscale PNG media_image2.png 189 394 media_image2.png Greyscale Regarding claim 1 , Yamaoka disclose a semiconductor optical device (see Figures 1A and 1B) comprising: a first cladding layer (see Figure 1A, character 104, Abstract, paragraphs [0030 and 0031], the reference called “second cladding layer” and the cladding is made of SiC, AlN, GaN, and diamond, which are the same materials used by the applicant) formed on a Si substrate (see Figure 1A, character 101, abstract and paragraphs [0030 and 0031]) and including a material having thermal conductivity higher than thermal conductivity of a direct transition type semiconductor (The cladding is made of SiC, AlN, GaN, and diamond, which are the same materials used by the applicant. These features are implicitly taught a material having thermal conductivity higher than thermal conductivity of a direct transition type semiconductor as is claimed); a core (see Figures 1A and 1B, characters 107, abstract and paragraphs [0030 and 0032], the reference called “second core” and the core is made of InP, which is the same materials used by the applicant) formed on the first cladding layer (see Figure 1A, character 104) and including a direct transition type semiconductor (The core is made of InP, which is the same materials applicant used. These features are implicitly taught a core and including a direct transition type semiconductor as is claimed.); a second cladding layer (see Figure 1A, character 108, Abstract, paragraphs [0030 and 0031], the reference called “third cladding layer” and the cladding is made of SiO 2 , which is the same materials used by the applicant) formed on the first cladding layer (see Figure 1A, character 104) to cover the core (see Figure 1A, character 107), wherein a refractive index of the first cladding layer is higher than a refractive index of the second cladding layer and lower than a refractive index of the core (Yamaoka do not explicitly discloses a refractive index of the first cladding layer is higher than a refractive index of the second cladding layer and lower than a refractive index of the core . However, it was shown above that Yamaoka in Figures 1A, 1B and paragraphs [0030 - 0032] teach that the first cladding layer is made of SiC, AlN, GaN, or diamond, the second cladding layer is made of SiO 2 and the core is made of InP, which first and second cladding layers and the core are the same materials used by the applicant. These features are implicitly taught a refractive index of the first cladding layer is higher than a refractive index of the second cladding layer and lower than a refractive index of the core as is claimed.), and in an optical coupling region (see Figure 1A and 1B) of an optical waveguide by the core (see Figure 1A, character 107 and paragraphs [0016, 0019 and 0034]), a cross-sectional shape of the core is in a state in which a substrate (see Figure 1A, character 101) radiation mode appears (see Figures 3, 4A and 4B and paragraphs [0042 – 0046]). Regarding claim 4 , Yamaoka disclose a lower core (see Figures 1A and 1B, characters 103, abstract and paragraphs [0030 and 0032], the reference called “first core” and the core is made of Si, which is the same materials used by the applicant) formed on the Si substrate (see Figure 1A, character 101) under the first cladding layer (see Figure 1A, character 104), wherein the optical waveguide by the core (see Figure 1A, character 107) is disposed to be enabled to optically couple to the optical waveguide by the lower core (see Figure 1A, character 103), in the optical coupling region (see paragraphs [0016, 0019, 0034 and 0044]) . Claim Rejections - 35 USC § 103 07-20-aia AIA 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. 07-21-aia AIA Claim s 2 – 3, 6, 7 and 8 are rejected under 35 U.S.C. 103 as being unpatentable over Yamaoka et al (PCT/JP2019/022312 associated with WO 2020245935, the examiner use the US 2022/0320813 Applicant submitted in the IDS, filed on December 13, 2024), which is an equivalent of PCT/JP2019/022312 associated with WO 2020245935) in view of Osamu et el. (JPH0774396) . PNG media_image3.png 426 661 media_image3.png Greyscale Regarding claims 2, 3 and 6 , Yamaoka discloses the claimed invention except for the first cladding layer in the optical coupling region has a rib structure thickened in a convex shape on a front surface, the core is formed on the rib structure and a width of the core in a planar direction of the Si substrate is smaller toward the optical coupling region . Osamu teaches a cladding (see Annotation Figures 1A, 2A and 2B, character 309) has a rib structure (see Annotation Figures 1A, 2A and 2B, character 100’), the core (see Annotation Figures 1A, 2A and 2B, character 302) is formed on the rib structure and a width of the core (see Annotation Figures 1A, 2A and 2B, character 302) in a planar direction of the substrate (see Annotation Figures 1A, 2A and 2B, character 301) is smaller (see Annotation Figures 1A, 2A, 2B and 3). However, it is well known in the art to apply and/or modify the cladding has a rib structure, the core is formed on the rib structure and a width of the core in a planar direction of the substrate is smaller as discloses by Osamu in (see Annotation Figures 1A, 2A, 2B and 3, Abstract and paragraphs [0005, 0012 ad 0014 - 0016]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the cladding has a rib structure, the core is formed on the rib structure and a width of the core in a planar direction of the substrate is smaller as suggested to the device of Yamaoka, in order to provide a taper waveguide path which is compact, can be manufactured easily, and can photo-couple a semiconductor light function element where a plurality of devices are integrated and an optical fiber with a low loss. Also provide a taper waveguide path which is compact, can be manufactured easily, and can photo-couple a semiconductor light function element where a plurality of devices are integrated and an optical fiber with a low loss. The taper waveguide path where a buried type tape waveguide path in that at least either the width or the thickness of a waveguide path core layer is changed gradually along the light propagation direction is formed is constituted of at least one-layer waveguide path core layer and clad layers machined in mesa shape on a semiconductor substrate in the semiconductor light device. A rib structure is introduced to control how light propagates through a material. The rib is a raised, narrow feature etched or written into the waveguide core, and it serves several key purposes for example mode control and single-mode operation and/or reduced higher-order mode excitation and/or enhanced light confinement and coupling efficiency and/or mechanical and thermal stability. Notwithstanding, it would have been an obvious matter of design choice bounded by well-known manufacturing constraints and ascertainable by routine experimentation and optimization to choose these particular dimensions because applicant has not disclosed that the dimensions are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical, and it appears prima facie that the process would possess utility using another dimension. Indeed, it has been held that mere dimensional limitations are prima facie obvious absent a disclosure that the limitations are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical. See, for example, In re Rose, 220 F.2d 459, 105 USPQ 237 (CCPA 1955); In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976); Gardner v. TEC Systems, Inc., 725 F.2d 1338, 220 USPQ 777 (Fed. Cir. 1984), cert. denied, 469 U.S. 830, 225 USPQ 232 (1984); In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966). Regarding claims 7 and 8 , Yamaoka and Osamu, Yamaoka disclose a lower core (see Figures 1A and 1B, characters 103, abstract and paragraphs [0030 and 0032], the reference called “first core” and the core is made of Si, which is the same materials used by the applicant) formed on the Si substrate (see Figure 1A, character 101) under the first cladding layer (see Figure 1A, character 104), wherein the optical waveguide by the core (see Figure 1A, character 107) is disposed to be enabled to optically couple to the optical waveguide by the lower core (see Figure 1A, character 103), in the optical coupling region (see paragraphs [0016, 0019, 0034 and 0044]) . 07-21-aia AIA Claim 5 is rejected under 35 U.S.C. 103 as being unpatentable over Yamaoka et al (PCT/JP2019/022312 associated with WO 2020245935, the examiner use the US 2022/0320813 (Applicant submitted in the IDS, filed on December 13, 2024), which is an equivalent of PCT/JP2019/022312 associated with WO 2020245935) in view of Shimizu (US 201302121693, Applicant submitted in the IDS, filed on December 21, 2023) . PNG media_image4.png 216 280 media_image4.png Greyscale PNG media_image5.png 254 340 media_image5.png Greyscale Regarding claim 5 , Yamaoka discloses the claimed invention except for a first grating coupler formed in the core in the optical coupling region; and a second grating coupler formed in the lower core in the optical coupling region . Shimizu teaches a first grating coupler (see Figures 1 and 4, character 54) formed in the core (see Figures 1 and 4, character 52); and a second grating (see Figures 1 and 4, character 34) coupler formed in the lower core (see Figures 1 and 4, character 32). However, it is well known in the art to apply and/or modify the first grating coupler formed in the core and a second grating coupler formed in the lower core as discloses by Shimizu in (see Figures 1 and 4 and paragraph [0039]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the first grating coupler formed in the core and a second grating coupler formed in the lower core as suggested to the device of Yamaoka, the diffraction grating has a function to produce diffracted light by converting the optical axis of an optical signal having reached it after propagating through the core, and/or the diffraction grating has a function to convert the optical axis of the diffracted light and thus to couple it to the core . Conclusion 07-96 AIA The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The references US 20250390002 disclose an optical device includes a lower cladding layer, a first core, and a second core. The first core and the second core are formed on the lower cladding layer. The first core is disposed above the second core when viewed from the lower cladding layer side. A refractive index and a sectional shape of each of the first core and the second core, and a positional relationship between the first core and the second core in a section perpendicular to a waveguide direction have a relationship in which a propagation constant of input light is equal to a sum of propagation constants of two light waves generated through a nonlinear process by the input light propagating through an optical waveguide having a super mode . US 20240006844 disclose a semiconductor photonic device includes a first cladding layer formed on a substrate formed with Si, a semiconductor layer formed on the first cladding layer, and a second cladding layer formed on the semiconductor layer. In the semiconductor layer, an active layer, and a p-type layer and an n-type layer disposed in contact with the active layer while sandwiching the active layer in a planar view are formed. A p-type electrode is electrically connected to the p-type layer, and an n-type electrode is electrically connected to the n-type layer. The active layer is formed in a core shape extending in a predetermined direction. This semiconductor photonic device also includes an optical coupling layer that is buried in the first cladding layer in such a manner as to be optically coupled to the active layer, and is formed in a core shape extending along the active layer. US 20230253516 disclose an embodiment photodetector includes a clad layer formed on a substrate, a first semiconductor layer formed on the clad layer, and a second semiconductor layer and a third semiconductor layer with the first semiconductor layer interposed therebetween formed on the clad layer. The photodetector includes a light absorbing layer made of an n-type III-V compound semiconductor formed on the first semiconductor layer through an insulating layer. US 20230049310 disclose an embodiment is an optical connection element including a first waveguide core and a second waveguide core on a substrate, the first waveguide core and the second waveguide core configured to propagate a signal light and a resin-curing light, and a mode field conversion portion provided at one end of the first waveguide core, wherein the second waveguide core covers at least the mode field conversion portion on the substrate, and a refractive index of the first waveguide core is higher than a refractive index of the second waveguide core. US 20230009186 disclose an optical device, a first semiconductor layer and a second semiconductor layer are formed to be thinner than a core, an active layer has a shape with an end in a waveguide direction tapers toward a tip end, the first semiconductor layer having a trapezoidal shape with a width thereof decreases toward a side of a third semiconductor layer from a side of the core in a plan view and a width thereof decreases as one end in the waveguide direction recedes from a central portion of the active region, and the second semiconductor layer having a trapezoidal shape with a width thereof decreases toward a side of a fourth semiconductor layer from the side of the core in a plan view and a width thereof decreases as one end in the waveguide direction recedes from the central portion of the active region. US 20230007949 disclose phase shifter includes a first cladding layer, a first core formed on the first cladding layer, and a second core formed on the first core. The first cladding layer and the first core are formed from a first material having an electrooptical effect. The second core is formed from a second material having a refractive index higher than that of the first material. The phase shifter includes a first metal layer and a second metal layer formed on side surfaces of both of the first core and the second core. US 12204148 disclose an optical connection element includes a first waveguide core and a second waveguide core above a substrate or a cladding and in which signal light and resin curing light propagate through the first waveguide core and the second waveguide core, the optical connection element including: an inter-core light coupling section in which a part of the first waveguide core and a part of the second waveguide core overlap in a perpendicular direction; and a resin curing light coupling section that couples resin curing light to the second waveguide core. US 12174422 disclose a second core includes a first portion, a second portion, and a bending portion. In the first portion, a wave-guiding direction is a first direction parallel to a plane of a first substrate. In the second portion, a wave-guiding direction is a second direction that is at a predetermined angle with respect to the plane of the first substrate. For example, in the second portion, the wave-guiding direction is the second direction that is at substantially 90 degrees with respect to the plane of the first substrate. The bending portion connects the first portion and the second portion. A relative refractive index difference between the second core and a cladding of the second optical waveguide preferably has a value such that the propagation loss in the bending portion is equal to or smaller than 0.1 dB. JP 2016171173 disclose a semiconductor optical element comprises an optical waveguide which is formed on a substrate and composed of a clad layer and a core. The core is embedded in the clad layer. The semiconductor optical element further comprises an active layer which extends in a waveguide direction of the optical waveguide for a predetermined distance and arranged in a state capable of being optically coupled with the core; and a semiconductor layer formed on the active layer. The semiconductor optical element further comprises: an n-type semiconductor layer and a p-type semiconductor layer which are formed in contact with the active layer and the semiconductor layer, respectively, so as to sandwich the active layer and the semiconductor layer. The core is arranged between the substrate and the active layer. Into the active layer, current is injected in a direction parallel with a planar surface of the substrate Any inquiry concerning this communication or earlier communications from the examiner should be directed to Delma R. Forde whose telephone number is (571)272-1940. The examiner can normally be reached M - TH 7:00 AM - 4:00 PM. 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, MinSun O Harvey can be reached at 571-272-1835. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /Delma R Forde/Examiner, Art Unit 2828 /TOD T VAN ROY/Primary Examiner, Art Unit 2828 Application/Control Number: 18/573,028 Page 2 Art Unit: 2828 Application/Control Number: 18/573,028 Page 3 Art Unit: 2828 Application/Control Number: 18/573,028 Page 4 Art Unit: 2828 Application/Control Number: 18/573,028 Page 5 Art Unit: 2828 Application/Control Number: 18/573,028 Page 6 Art Unit: 2828 Application/Control Number: 18/573,028 Page 7 Art Unit: 2828 Application/Control Number: 18/573,028 Page 8 Art Unit: 2828 Application/Control Number: 18/573,028 Page 9 Art Unit: 2828 Application/Control Number: 18/573,028 Page 10 Art Unit: 2828 Application/Control Number: 18/573,028 Page 11 Art Unit: 2828 Application/Control Number: 18/573,028 Page 12 Art Unit: 2828 Application/Control Number: 18/573,028 Page 13 Art Unit: 2828 Application/Control Number: 18/573,028 Page 14 Art Unit: 2828
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