CTNF 18/662,308 CTNF 87139 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 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 This is an AIA application filed May 13, 2024. The earliest effective filing date of this AIA application is seen as January 5, 2024, the date of the earliest priority application (United States provisional patent application serial number 63/617,926) for any claims which are fully supported under 35 U.S.C. 112(a) by the provisional application. The effective filing date of this AIA application is seen as May 13, 2024, the actual filing date, for any claims that are not fully supported by the foregoing provisional or non-provisional application(s). The claims originally filed May 13, 2024 are entered, currently outstanding, and subject to examination. This action is in response to the information disclosure statement/IDS filing of October 29, 2025. Claims 1-20 are currently pending and outstanding. No claims have been amended, cancelled, withdrawn, or added. Claims 1-20 are currently outstanding and subject to examination. This is a non-final action and is the first action on the merits. Allowable subject matter is not indicated below. Often, in the substance of the action below, formal matters are addressed first, claim rejections second, and any response to arguments third. Special Definitions for Claim Language - MPEP § 2111.01(IV) No special definitions as defined by MPEP § 2111.01(IV) are seen as present in the specification regarding the language used in the claims. Consequently, the words and phrases of the claims are given their plain meaning. MPEP §§ 2173.01, 2173.05(a), and 2111.01. If special definitions are present, Applicant should bring those to the attention of the examiner and the prosecution history with its next response in a manner both specific and particular. In doing so, there will be no mistake, confusion, and/or ambiguity as to what constitutes the special definition(s). Per above, such special definitions must conform to the requirements of MPEP § 2111.01(IV). 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 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. 07-20-02-aia AIA 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. 07-21-aia AIA Claim s 1-7 and 10-13 rejected under 35 U.S.C. § 103 as being unpatentable over U.S. Patent Application Publication No. 20040202430 of Scheuer et al. (Scheuer) in view of European patent publication number 4443675 of Zhang et al. published October 9, 2024 (Zhang, cited by Applicant and corresponding to WO 2023173738 A1 published September 21, 2023) . With respect to claim 1, Scheuer discloses a semiconductor photonics device Figs. 1C, 3A-4B, comprising: a first optical waveguide structure ( Fig. 1C, top input port/trough port ); and a second optical waveguide structure ( bottom drop port ); and a third optical waveguide structure, between the first optical waveguide structure and the second optical waveguide structure ( ring resonator ). Scheuer as set forth above does not disclose: the third optical waveguide structure comprising a top view shape having a plurality of segments. Zhang Fig. 3 shows: a third optical waveguide structure comprising a top view shape having a plurality of segments. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to use a polygonal shape for a resonant waveguide structure along the lines of Zhang in a system according to Scheuer as set forth above in order to provide a known structure for optical resonance. This provides one rationale to combine the references. Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), the combining of prior art elements (listed above) according to known methods (per the references) to yield predictable results (an optical resonance device) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024). Further, the combination would then provide: a third optical waveguide structure comprising a top view shape having a plurality of segments. Applicant should note ¶ 17 of Zhang where it states: "In another embodiment, the waveguide resonant cavity may also be a polygon of another shape. A triangle and a hexagon are used as examples below. However, it is not limited to this case. The number of sides in the polygon of the waveguide resonant cavity may be determined according to an actual requirement." Examiner sees this disclosure as providing for polygons having any number of sides. With respect to claim 2, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 1, including one wherein a first segment, of the plurality of segments, at a first side of the third optical waveguide structure is adjacent to the first optical waveguide structure; and wherein a second segment, of the plurality of segments, at a second side of the third optical waveguide structure is adjacent to the second optical waveguide structure, wherein the first side and the second side are opposing sides of the third optical waveguide structure. Per the combination of claim 1 with the ring resonator of Zhang Fig. 3 as the ring resonator of Scheuer Fig. 1C. With respect to claim 3, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 1, including one wherein the third optical waveguide structure is a first closed-loop optical waveguide structure in the semiconductor photonics device, comprising a first top view shape having a first plurality of segments; and wherein the semiconductor photonics device further comprises: a second closed-loop optical waveguide structure, adjacent to the first closed-loop optical waveguide structure, comprising a second top view shape having a second plurality of segments. Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3. With respect to claim 4, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 3, including one wherein the first top view shape and the second top view shape are different top view shapes. Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3 and the ring resonator of Zhang Figs. 1 or 2 or any other polygon save that shown in Fig. 3. With respect to claim 5, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 3, including one wherein the first closed-loop optical waveguide structure is adjacent to the first optical waveguide structure; wherein the second closed-loop optical waveguide structure is adjacent to the second optical waveguide structure; and wherein the second closed-loop optical waveguide structure is between the first closed-loop optical waveguide structure and the second optical waveguide structure. Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3. With respect to claim 6, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 3, including one wherein the first closed-loop optical waveguide structure is adjacent to the first optical waveguide structure at a first side of the first closed-loop optical waveguide structure and is adjacent to the second optical waveguide structure at a second side of the first closed-loop optical waveguide structure opposing the first side of the first closed-loop optical waveguide structure; and wherein the second closed-loop optical waveguide structure is adjacent to the first optical waveguide structure at a first side of the second closed-loop optical waveguide structure and is adjacent to the second optical waveguide structure at a second side of the second closed-loop optical waveguide structure opposing the first side of the second closed-loop optical waveguide structure. Scheuer Figs. 4A and 4B show a serial, and not a parallel structure susceptible to the analysis above (as do all the preceding and others herein). With respect to claim 7, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 1, including one wherein the third optical waveguide structure is a first closed-loop optical waveguide structure in the semiconductor photonics device; and wherein the semiconductor photonics device further comprises: a second closed-loop optical waveguide structure, adjacent to the first closed-loop optical waveguide structure, comprising a ring-shaped top view shape. Per the figures of Scheuer showing ring shapes: Figs. 1C and 3A-4B. With respect to claim 10, Scheuer in view of Zhang as set forth above discloses a semiconductor photonics device ( Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3 ), including one comprising: a first optical waveguide structure comprising a first top view shape having a plurality of first segments ( Scheuer Fig. 3B top ring ); and a second optical waveguide structure comprising a second top view shape having a plurality of second segments ( Scheuer Fig. 3B bottom ring ); and a third optical waveguide structure, between the first optical waveguide structure and the second optical waveguide structure ( Scheuer Fig. 3B any of the middle rings ), comprising a third top view shape having a plurality of third segments ( per Zhang ). With respect to claim 11, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 10, including one wherein the first top view shape and the second top view shape are each approximately symmetrical with at least a portion of the third top view shape. Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3 per claim 10, above. With respect to claim 12, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 10, including one wherein the first top view shape and the second top view shape are approximately mirrored top view shapes. Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3 per claim 10, above. With respect to claim 13, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 10, including one wherein the third optical waveguide structure is a first closed-loop optical waveguide structure ( per the references ), the semiconductor photonics device further comprising: a second closed-loop optical waveguide structure between the first closed-loop optical waveguide structure and the second optical waveguide structure, wherein the second closed-loop optical waveguide structure comprises a fourth view shape having a plurality of fourth segments. Scheuer Figs. 3B and 3C with the ring resonator of Zhang Fig. 3 per claim 10, above . 07-21-aia AIA Claim s 8, 9, and 14-20 rejected under 35 U.S.C. § 103 as being unpatentable over Scheuer in view of Zhang as set forth above and further in view of U.S. Patent Application Publication No. 20080008418 of Smith et al. (Smith) . With respect to claim 8, Scheuer in view of Zhang as set forth above discloses the semiconductor photonics device of claim 1, but not one wherein the first optical waveguide structure and the second optical waveguide structure have different material compositions. Smith discloses a coupling light into microresonators that includes waveguides of different materials, including semiconductor and dielectric. ¶ 55: "This monolithic approach is typically realized in glass, polymer, or semiconductor waveguides, and provides excellent stability of coupling between the waveguides and the resonator." ¶ 56: "Next bus waveguide dielectric core layer 520 is deposited and patterned." It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have waveguides of different materials along the lines of Smith in a system according to Scheuer in view of Zhang as set forth above in order to provide options for optical characteristics as well as using available technologies for optical manufacture. This provides one rationale to combine the references. Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), the combining of prior art elements (listed above) according to known methods (per the references) to yield predictable results (an optical resonance device) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024). Further, the combination would then provide: the first optical waveguide structure and the second optical waveguide structure have different material compositions. With respect to claim 9, Scheuer in view of Zhang and Smith as set forth above discloses the semiconductor photonics device of claim 8, including one wherein the first optical waveguide structure comprises a semiconductor material; and wherein second optical waveguide structure comprises a dielectric material. Per claim 8, above. With respect to claim 14, Scheuer in view of Zhang as set forth above discloses a method, comprising: forming, a semiconductor photonics device, with a first optical waveguide structure comprising a first top view shape; forming, a second optical waveguide structure comprising a second top view shape; and forming, a third optical waveguide structure, wherein the third optical waveguide structure is between the first optical waveguide structure and the second optical waveguide structure, and wherein the third optical waveguide structure comprises a third top view shape having a plurality of segments. See claim 1, above. Scheuer in view of Zhang as set forth above does not disclose: forming the foregoing structures above a semiconductor substrate. Smith discloses ¶ 53: "The channel waveguide structure 308 of FIGS. 3-4 is made monolithically on a planar substrate using semiconductor fabrication techniques." It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to provide and use a semiconductor substrate along the lines of Smith in a system according to Scheuer in view of Zhang as set forth above in order to fabricate an optical device according to current/known lithographic techniques. This provides one rationale to combine the references. Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), the combining of prior art elements (listed above) according to known methods (per the references) to yield predictable results (an optical resonance device) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024). Further, the combination would then provide: forming the foregoing structures above a semiconductor substrate, including: above a semiconductor substrate of a semiconductor photonics device, with a first optical waveguide structure comprising a first top view shape; forming, above the semiconductor substrate, a second optical waveguide structure comprising a second top view shape; and forming, above the semiconductor substrate, a third optical waveguide structure, With respect to claim 15, Scheuer in view of Zhang and Smith as set forth above discloses the method of claim 14, wherein forming the first optical waveguide structure comprises: forming the first optical waveguide structure from a semiconductor layer that is above the semiconductor substrate; wherein forming the second optical waveguide structure comprises: forming the second optical waveguide structure from the semiconductor layer; and wherein forming the third optical waveguide structure comprises: forming the third optical waveguide structure from the semiconductor layer. Per claim 14, above. With respect to claim 16, Scheuer in view of Zhang and Smith as set forth above discloses the method of claim 14, wherein forming the first optical waveguide structure comprises: forming the first optical waveguide structure from a semiconductor layer that is above the semiconductor substrate; wherein forming the third optical waveguide structure comprises: forming the third optical waveguide structure from the semiconductor layer; and wherein forming the second optical waveguide structure comprises: depositing, in a recess horizontally adjacent to the third optical waveguide structure, dielectric material to form the second optical waveguide structure. Per claim 14, above, particularly re Smith. Smith ¶ 55 provides: "The etching processes used to fabricate the microresonator, however, invariably introduce surface roughness, that results in a scattering loss thereby degrading the Q of the cavity." The etching process is seen as creating recesses with the geometries present in the relevant figures. With respect to claim 17, Scheuer in view of Zhang and Smith as set forth above discloses the method of claim 14, including one wherein forming the third optical waveguide structure comprises: forming the third optical waveguide structure from a semiconductor layer that is above the semiconductor substrate ( Smith ¶ 49, "The core 320 is partially etched to form a core ridge 324." ); wherein forming the first optical waveguide structure comprises: depositing, in a first recess horizontally adjacent to a first side of the third optical waveguide structure, dielectric material to form the first optical waveguide structure ( per Smith re claim 16 dielectric materials and etching/recesses ); and wherein forming the second optical waveguide structure comprises: depositing, in a second recess horizontally adjacent to a second side of the third optical waveguide structure opposing the first side, dielectric material to form the second optical waveguide structure ( per Smith re claim 16 dielectric materials and etching/recesses ). With respect to claim 18, Scheuer in view of Zhang and Smith as set forth above discloses the method of claim 14, including one wherein forming the first optical waveguide structure comprises: forming the first optical waveguide structure from a semiconductor layer that is above the semiconductor substrate; wherein forming the third optical waveguide structure comprises: forming the third optical waveguide structure from the semiconductor layer; and wherein forming the second optical waveguide structure comprises: depositing, in a recess vertically adjacent to the third optical waveguide structure, dielectric material to form the second optical waveguide structure. The lithographic processes of the cited references are seen as applicable to any related semiconductor structure. With respect to claim 19, Scheuer in view of Zhang and Smith as set forth above discloses the method of claim 14, including one wherein forming the third optical waveguide structure comprises: forming the third optical waveguide structure from a semiconductor layer that is above the semiconductor substrate; wherein forming the first optical waveguide structure comprises: depositing, in a first recess horizontally adjacent to a first side of the third optical waveguide structure, dielectric material to form the first optical waveguide structure; and wherein forming the second optical waveguide structure comprises: depositing, in a second recess vertically adjacent to a second side of the third optical waveguide structure opposing the first side, dielectric material to form the second optical waveguide structure. The lithographic processes of the cited references are seen as applicable to any related semiconductor structure. With respect to claim 20, Scheuer in view of Zhang and Smith as set forth above discloses the method of claim 14, including one wherein forming the third optical waveguide structure comprises: forming the third optical waveguide structure from a semiconductor layer that is above the semiconductor substrate; wherein forming the first optical waveguide structure comprises: depositing, in a first recess vertically adjacent to a first side of the third optical waveguide structure, dielectric material to form the first optical waveguide structure; and wherein forming the second optical waveguide structure comprises: depositing, in a second recess vertically adjacent to a second side of the third optical waveguide structure opposing the first side, dielectric material to form the second optical waveguide structure. The lithographic processes of the cited references are seen as applicable to any related semiconductor structure . Conclusion Applicant’s publication US 20250224566 A1 published July 10, 2025 is cited. 07-96 AIA The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The cited references have elements related to Applicant’s disclosure and/or claims or are otherwise associated with the other cited references, particularly with respect to optical resonator systems, including those with different geometries/configurations . Any inquiry concerning this communication or earlier communications from the examiner should be directed to ANDREW JORDAN whose telephone number is (571) 270-1571. The examiner can normally be reached most days 1000-1800 PACIFIC TIME ZONE (messages are returned). 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. While examiner does not examine over the phone (see 37 C.F.R. § 1.2), examiner is glad to clarify or discuss issues so long as it forwards prosecution. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Thomas (Tom) 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. 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. /Andrew Jordan/ Primary Examiner, Art Unit 2874 V: (571) 270-1571 (Pacific time) F: (571) 270-2571 May 11, 2026 Application/Control Number: 18/662,308 Page 2 Art Unit: 2874 Application/Control Number: 18/662,308 Page 3 Art Unit: 2874 Application/Control Number: 18/662,308 Page 4 Art Unit: 2874 Application/Control Number: 18/662,308 Page 5 Art Unit: 2874 Application/Control Number: 18/662,308 Page 6 Art Unit: 2874 Application/Control Number: 18/662,308 Page 7 Art Unit: 2874 Application/Control Number: 18/662,308 Page 8 Art Unit: 2874 Application/Control Number: 18/662,308 Page 9 Art Unit: 2874 Application/Control Number: 18/662,308 Page 10 Art Unit: 2874 Application/Control Number: 18/662,308 Page 11 Art Unit: 2874 Application/Control Number: 18/662,308 Page 12 Art Unit: 2874 Application/Control Number: 18/662,308 Page 13 Art Unit: 2874 Application/Control Number: 18/662,308 Page 14 Art Unit: 2874 Application/Control Number: 18/662,308 Page 15 Art Unit: 2874 Application/Control Number: 18/662,308 Page 16 Art Unit: 2874 Application/Control Number: 18/662,308 Page 17 Art Unit: 2874 Application/Control Number: 18/662,308 Page 18 Art Unit: 2874 Application/Control Number: 18/662,308 Page 19 Art Unit: 2874
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