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 traversed the restriction requirement between groups I and II outlined in the restriction requirement mailed on 26 March, 2026. The arguments are persuasive and the restriction requirement between groups I and II is withdrawn. Accordingly, all pending claims have been examined.
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.
Claims 1, 6, 8-12, 21, and 26 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Higuchi et al. (US 2003/0061836; hereinafter Higuchi).
Regarding claim 1: Higuchi disclosesA method comprising: depositing a waveguide cladding layer over a substrate (see paragraphs 0083 and 0131), the substrate having a center portion in a cross-sectional view and an edge portion adjacent the center portion in a cross-sectional view (portions of substrate below cavities 6 shown in Fig. 3c and portions of substrate below cavities 6 and 22 shown in Fig. 15c); reshaping the waveguide cladding layer to form a bevel profile in the waveguide cladding layer over the edge portion of the substrate (see paragraph 0083; the stamp forms the cladding layer; additionally, while Figs. 3a-c show a cladding layer lacking a bevel profile, Figs. 2b and 2c, also taught to be part of the first embodiment, do have bevel profiles; since they are taught as part of the same embodiment, Higuchi discloses forming the bevel profiles of Figs. 2b and 2c according to the method described in paragraph 0083, wherein the reshaping is carried out by stamping; Fig. 15B, stamp 9 reshapes the waveguide cladding layer to form the bevel profile); forming a recess in the waveguide cladding layer (see paragraphs 0083 and 0131, Figs. 2b-c, and Fig. 3c, concave slot 3 and Fig. 15c, concave slot 3); depositing a waveguide core layer in the recess and over the waveguide cladding layer (paragraph 0084 and 0131 and Fig. 4a-d, waveguide core layer is transparent resin 8; again, although Figs. 4a-d show a cladding layer lacking a bevel profile, Figs. 2b and 2c, also taught to be part of the first embodiment, do have bevel profiles; Fig. 15c, transparent resin 8), the waveguide core layer extending along the bevel profile of the waveguide cladding layer (the waveguide core layer extends along the cavities 6 in Fig. 4b; this corresponds to the cavities 6 shown in Figs. 2b and 2c; Fig. 15 also shows the waveguide core layer extending along the bevel profile of the waveguide cladding layer); and planarizing the waveguide core layer and the waveguide cladding layer to form a waveguide core (see paragraphs 0085 and 0132 and Figs. 4d and 15e, wherein the waveguide core and cladding layer are planarized by the stamp to form a waveguide core), the waveguide core comprising a portion of the waveguide core layer in the recess (Figs. 4d and 15e show this).
Regarding claim 6: Higuchi disclosesThe method of claim 1 (as applied above), wherein the bevel profile is a stairstep profile (Fig. 15e shows this).
Regarding claim 8: Higuchi disclosesA method (Fifth embodiment, Figs. 14A-15E) comprising: forming a front-side waveguide cladding layer over a substrate (best shown in Fig. 15A-B, cladding is formed by depositing transparent resin 11 on substrate 12 and stamping with cavity forming portion 21; see paragraph 0131; additionally, since Figs. 14 and 15 are described in relation to the same embodiment, it is understood that the cladding layer of Figs. 14A-D are also formed over a substrate), an outer edge of the front-side waveguide cladding layer having a first bevel profile (Fig. 14A-D show sloping sidewalls on the cladding layer, which is a bevel profile; Fig. 15B-E show a stairstep profile to the cladding layer, which is also a bevel profile), the front-side waveguide cladding layer comprising a first material (see paragraphs 0079 and 0118); forming a recess in the front-side waveguide cladding layer (Figs. 14A and 15C, recess 3); and forming a waveguide core in the recess (Figs. 14C and 15D, core 4), a top surface of the waveguide core being substantially coplanar with a top surface of the front-side waveguide cladding layer (Figs. 14D and 15E show this), the waveguide core comprising a second material (see paragraphs 0079 and 0118), the second material having a higher refractive index than the first material (see paragraphs 0079 and 0118).
Regarding claim 9: Higuchi disclosesThe method of claim 8 (as applied above), wherein the first bevel profile is a stairstep profile (Figs. 15C-E show this) comprising a plurality of stairsteps (the bevels of Figs. 15C-E have two steps), each of the stairsteps having a different bevel depth (Figs. 15C-E show this).
Regarding claim 10: Higuchi disclosesThe method of claim 8 (as applied above), further comprising: forming a back-side waveguide cladding layer over the substrate (Fig. 14D, cladding 14 is considered to be a back-side waveguide cladding layer since it is formed on the opposite side of the waveguide from the front-side waveguide cladding layer), an outer edge of the back-side waveguide cladding layer having a second bevel level (Fig. 14D shows that the cladding 14 has sloping sidewalls, considered to be a second bevel level).
Regarding claim 11: Higuchi disclosesThe method of claim 10 (as applied above), wherein the front-side waveguide cladding layer has a first bevel depth measured from an outer edge of the substrate (Higuchi Fig. 14D shows a front-side cladding having a first bevel depth measured from an outer edge of the substrate), the back-side waveguide cladding layer has a second bevel depth measured from the outer edge of the substrate (Higuchi Fig. 14D shows a back-side cladding layer having a second bevel depth measured from the outer edge of the substrate), and the first bevel depth is substantially equal to the second bevel depth (the second bevel depth appears in Fig. 14D to be close to the height of the platform that the cladding forms around the waveguide core, which corresponds to the first bevel depth; this is considered to meet the claim limitation given the BRI of “substantially equal”).
Regarding claim 12: Higuchi disclosesThe method of claim 10 (as applied above), wherein the front-side waveguide cladding layer has a first bevel depth measured from the outer edge of the substrate (Higuchi Fig. 14D shows a front-side cladding having a first bevel depth measured from an outer edge of the substrate), the back-side waveguide cladding layer has a second bevel depth measured from the outer edge of the substrate (Higuchi Fig. 14D shows a back-side cladding layer having a second bevel depth measured from the outer edge of the substrate), and the first bevel depth is different than the second bevel depth (since the upper cladding is shown to be in contact with the highest point of the front-side cladding layer and not in contact with the lowest point, the first bevel depth is different than the second bevel depth).
Regarding claim 21: Higuchi disclosesA method (Fifth embodiment, Figs. 14A-15E) comprising: forming a front-side waveguide cladding layer over a substrate (best shown in Fig. 15A-B, cladding is formed by depositing transparent resin 11 on substrate 12 and stamping with cavity forming portion 21; see paragraph 0131; additionally, since Figs. 14 and 15 are described in relation to the same embodiment, it is understood that the cladding layer of Figs. 14A-D are also formed over a substrate), an outer edge of the front-side waveguide cladding layer having a first bevel profile (Fig. 14A-D show sloping sidewalls on the cladding layer, which is a bevel profile; Fig. 15B-E show a stairstep profile to the cladding layer, which is also a bevel profile), the front-side waveguide cladding layer comprising a first material (see paragraphs 0079 and 0118), wherein forming the front-side waveguide cladding layer comprises: depositing the front-side waveguide cladding layer over the substrate (best represented in Fig. 15A), the substrate having a center portion in a cross-sectional view (portion of substrate beneath the waveguide core region 4) and an edge portion adjacent to the center portion in the cross-sectional view (portion of substrate beneath the beveled portions of the waveguide cladding layer on either side of the waveguide core region 4); and reshaping the front-side waveguide cladding layer to form the first bevel profile in the front-side waveguide cladding layer over the edge portion of the substrate (see Fig. 15B, the stamp does this);forming a recess in the front-side waveguide cladding layer (Figs. 14A and 15C, recess 3); and forming a waveguide core in the recess (Figs. 14C and 15D, core 4), a top surface of the waveguide core being substantially coplanar with a top surface of the front-side waveguide cladding layer (Figs. 14D and 15E show this), the waveguide core comprising a second material (see paragraphs 0079 and 0118), the second material having a higher refractive index than the first material (see paragraphs 0079 and 0118); wherein forming the waveguide core comprises: depositing a waveguide core layer in the recess and over the front-side waveguide cladding layer (see Figs. 14B and 15C, resin 8 is a waveguide core layer deposited in the recess and over the front-side waveguide cladding layer), the waveguide core layer extending along the first bevel profile of the front-side waveguide cladding layer (Figs. 14C and 15C show this); and planarizing the waveguide core layer and the front-side waveguide cladding layer to form the waveguide core, the waveguide core comprising a portion of the waveguide core layer in the recess (Figs. 14C and 15D show this).
Regarding claim 26: Higuchi disclosesThe method of claim 21 (as applied above), wherein the first bevel profile is a stairstep profile comprising a plurality of stairsteps (Fig. 15E shows this, wherein the stairstep profile comprises 2 stairsteps), each of the stairsteps having a different bevel depth (Fig. 15E shows this), the bevel depths increasing in a direction extending away from the substrate (Fig. 15E shows this).
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.
Claims 4 and 7 are rejected under 35 U.S.C. 103 as being unpatentable over Higuchi et al. (US 2003/0061836; hereinafter Higuchi).
Regarding claim 4: Higuchi discloses the method of claim 1, as applied above. Higuchi therefore discloses or suggests all of the limitations of claim 4, as applied above, but does not disclose that during the reshaping of the waveguide cladding layer, the substrate is maintained at a temperature between 50 degrees C and 80 degrees C. Before the effective filing date of the present invention, a person of ordinary skill in the art would have found it obvious to maintain a temperature between 50 degrees C and 80 degrees C during the reshaping of the waveguide cladding layer, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art (In re Aller, 105 USPQ 233). Maintaining a temperature during this process would allow one of ordinary skill in the art to obtain a more uniform transparent resin layer by minimizing stress due to temperature changes during curing, at whatever temperature the curing is performed, including a temperature between 50 degrees C and 80 degrees C.
Regarding claim 7: Higuchi discloses the method of claim 1, as applied above. Higuchi discloses or suggests all of the limitations of claim 7, as applied above, but does not disclose that the waveguide core layer has a thickness in a range of 150 nm to 3000 nm. However, the core layer thickness is a result effective variable, since it relates to both the core size and to the amount of material which is necessary to remove to form the core. Before the effective filing date of the present invention, a person of ordinary skill in the art would have found it obvious to make the thickness of the waveguide core layer in a range of 150 nm to 3000 nm, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art (In re Aller, 105 USPQ 233), since it has been held that discovering an optimum value of a result effective variable involves only routine skill in the art (In re Boesch, 617 F.2d 272, 205 USPQ 215 (CCPA 1980)), and since such a modification would have involved a mere change in the size of a component and it has been held that a change in size is generally recognized in as being within the level of ordinary skill in the art (In re Rose, 105 USPQ 237 (CCPA 1955)) and that, where the only difference between the prior art and the claims is a recitation of relative dimensions of the claimed device and a device having the claimed relative dimensions would not perform differently than the prior art device, the claimed device is not patentably distinct from the prior art device (In re 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)).
Claims 1-3 and 21-23 are rejected under 35 U.S.C. 103 as unpatentable over Kippenberg et al. (US 2016/0327743; hereinafter Kippenberg).
Regarding claims 21 and 1, respectively: Kippenberg disclosesA method (see Fig. 2) comprising: forming a front-side waveguide cladding layer over a substrate (see paragraph 0067; the thermal oxide is a front-side waveguide cladding layer formed over a substrate), an outer edge of the front-side waveguide cladding layer having a first bevel profile (stress release structure 26 considered to include a first bevel profile, since as shown in Fig. 18, the sidewalls of the etched SiO2 features are sloped due to mask erosion), the front-side waveguide cladding layer comprising a first material (SiO2/thermal oxide, see Fig. 2 and paragraph 0067), Kippenberg further discloses the substrate having a center portion in a cross-sectional view (portion of substrate beneath the waveguide core) and an edge portion adjacent to the center portion in the cross-sectional view (portion of the substrate beneath the stress release structures 26); and reshaping the front-side waveguide cladding layer to form the first bevel profile in the front-side waveguide cladding layer over the edge portion of the substrate (see Fig. 2(iii)-(iv) and Fig. 18, etching the SiO2 is disclosed to form a bevel profile);forming a recess in the front-side waveguide cladding layer (Fig. 2(iv), recesses 4); and forming a waveguide core in the recess (Fig. 2(vi), SiN WGs), a top surface of the waveguide core being substantially coplanar with a top surface of the front-side waveguide cladding layer (Fig. 2(vi) shows this), the waveguide core comprising a second material (SiN is a second material), the second material having a higher refractive index than the first material (SiN has a higher refractive index than SiO2); wherein forming the waveguide core comprises: depositing a waveguide core layer in the recess and over the front-side waveguide cladding layer (shown in Fig. 2(v)), the waveguide core layer extending along the first bevel profile of the front-side waveguide cladding layer (Fig. 2(v) shows this); and planarizing the waveguide core layer and the front-side waveguide cladding layer to form the waveguide core (Fig. 2(v) shows this), the waveguide core comprising a portion of the waveguide core layer in the recess (Fig. 2(vi) shows this).
Regarding the limitation “wherein forming the front-side waveguide cladding layer comprises: depositing the front-side waveguide cladding layer over the substrate”: Since Kippenberg teaches that a front-side waveguide cladding layer is present over the substrate, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to form the front-side waveguide cladding layer by depositing the front-side waveguide cladding layer over the substrate as part of the manufacturing process of the device, using conventional techniques in the art, in order to perform the disclosed method using a silicon wafer without the SiO2 cladding already provided by the manufacturer.
Additionally, claim 21 requires all of the steps of claim 1. Therefore, Kippenberg also renders obvious the method of claim 1.
Regarding claims 2 and 22, respectively: Modified Kippenberg teachesThe method of claims 1 and 21 respectively (as applied above), wherein the waveguide core layer is deposited by a low pressure chemical vapor deposition process (see Fig. 2(iv), LPCVD is a low pressure chemical vapor deposition process).
Regarding claims 3 and 23, respectively: Kippenberg teachesThe method of claims 1 and 21 respectively (as applied above), wherein the waveguide cladding layer is formed of silicon oxide (see Fig. 2(vi) SiO2 is silicon oxide) and the waveguide core layer is formed of silicon nitride (see Fig. 2(vi) SiN is silicon nitride).
Allowable Subject Matter
Claims 5, 13, 24-25, and 27 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
The following is a statement of reasons for the indication of allowable subject matter:
Regarding claim 5: The closest found prior art (cited in rejections above) fails to teach or suggestThe method of claim 1, wherein reshaping the waveguide cladding layer comprises performing a series of etch cycles using an etchant, an interface between the etchant and the waveguide cladding layer being changed between each of the etch cycles, wherein the series of etch cycles comprises dispensing the etchant from a front-side nozzle positioned above the substrate and from a back-side nozzle positioned beneath the substrate.
Regarding claim 13: The closest found prior art (cited in rejections above) fails to teach or suggestThe method of claim 10, further comprising: removing the back-side waveguide cladding layer from the substrate while the front-side waveguide cladding layer remains over the substrate.
Regarding claim 24: The closest found prior art (cited in rejections above) fails to teach or suggestThe method of claim 21, wherein reshaping the front-side waveguide cladding layer comprises performing a series of etch cycles using an etchant, an interface between the etchant and the front-side waveguide cladding layer being changed between each of the etch cycles.
Regarding claim 25: The closest found prior art (cited in rejections above) fails to teach or suggestThe method of claim 24, wherein the series of etch cycles comprises dispensing the etchant from a front-side nozzle positioned above the substrate and from a back-side nozzle positioned beneath the substrate.
Regarding claim 27: The closest found prior art (cited in rejections above) fails to teach or suggestThe method of claim 21, further comprising: forming a back-side waveguide cladding layer over the substrate, an outer edge of the back-side waveguide cladding layer having a second bevel profile; and removing the back-side waveguide cladding layer from the substrate while the front-side waveguide cladding layer remains over the substrate.
Conclusion
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/KIRSTEN D. ENDRESEN/Examiner, Art Unit 2874
/THOMAS A HOLLWEG/Supervisory Patent Examiner, Art Unit 2874
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