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 .
Claim Rejections - 35 USC § 103
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.
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.
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 1-23 are rejected under 35 U.S.C. 103 as being unpatentable over Chen et al. (US 2024/0077728), of record, in view of Wang (US 2006/0029889).
Regarding claims 1 and 23, Chen discloses a method for manufacturing a stepped diffraction grating, and a stepped diffraction grating (Figs. 2-3), comprising:
forming a plurality of parallel grating lines (101) on a substrate surface (10a), each grating line formed by:
forming a plurality of stacked layers (Fig. 3) of optically transmissive material (paras. [0022-0023, 0054]) extending away from the substrate surface (10a) such that, in cross-section within a plane normal to the parallel grating lines, each grating line (101) comprises:
an upper layer (e.g., layer including points P3-P5, Fig. 3) having an upper surface at a grating height (H4 or H5, Fig. 3) away from the substrate surface (10a), the upper layer having a first end (at P3 or P4, Fig. 3) and a second end (at P5, Fig. 3);
a bottom layer (e.g., layer including points P1-P3 and P6, Fig. 3) having:
a bottom surface abutting the substrate surface (10a); and
an upper surface having a first end (at P2, Fig. 3) and a second end (between P5 and P6, Fig. 3);
a rising staircase portion (e.g., left side of 101) extending from the first end of the upper surface of the upper layer to the first end of the upper surface of the bottom layer (P2 to P4) at a rising staircase angle, defined relative to the substrate surface (10a), between 10 degrees and 60 degrees (Fig. 3); and
a falling staircase portion (e.g., right side of 101) extending from the second end of the upper surface of the upper layer to the second end of the upper surface of the bottom layer (P5 to P6) at a falling staircase angle, defined relative to the substrate surface (10a), that is greater than the rising staircase angle (Fig. 3).
Chen fails to explicitly disclose the rising staircase portion including one or more discrete first steps disposed between the first end of the upper layer and the first end of the bottom layer; the falling staircase angle is less than 80 degrees, the falling staircase portion including one or more discrete second steps disposed between the second end of the upper layer and the second end of the bottom layer, wherein a width of an upper surface of a second discrete step of the one or more discrete second steps is less than a width of an upper surface of a first discrete step of the one or more discrete first steps where the upper surface of the second discrete step is substantially coplanar with the upper surface of the first discrete step.
However, Wang discloses a method for manufacturing a stepped diffraction grating, and a stepped diffraction grating (Figs. 2A-2J),
the rising staircase portion (left side, Fig. 2) including one or more discrete first steps disposed between the first end of the upper layer (230A, Fig. 2F) and the first end of the bottom layer (230E or 220C, Fig. 2F); and
the falling staircase angle is less than 80 degrees (Figs. 2F-2G), the falling staircase portion (right side, Fig. 2) including one or more discrete second steps disposed between the second end of the upper layer (230A) and the second end of the bottom layer (220B) (Fig. 2F),
wherein a width of an upper surface of a second discrete step (right upper surface of 220A, Fig. 2F) of the one or more discrete second steps is less than a width of an upper surface of a first discrete step (left upper surface of 220A, Fig. 2F) of the one or more discrete first steps where the upper surface of the second discrete step is substantially coplanar with the upper surface of the first discrete step (Figs. 2F-2G).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate the rising staircase portion including one or more discrete first steps disposed between the first end of the upper layer and the first end of the bottom layer; the falling staircase angle is less than 80 degrees, the falling staircase portion including one or more discrete second steps disposed between the second end of the upper layer and the second end of the bottom layer, wherein a width of an upper surface of a second discrete step of the one or more discrete second steps is less than a width of an upper surface of a first discrete step of the one or more discrete first steps where the upper surface of the second discrete step is substantially coplanar with the upper surface of the first discrete step, as in Wang, into the method and stepped diffraction grating of Chen to create a stack of optical elements having the desired thicknesses and shapes (Wang, para. [0036]).
Regarding claim 2, Chen discloses wherein:
forming each grating line (101) further comprises:
forming a master of the grating line by:
etching a master material from the grating height to the substrate surface (10a) in a first region, thereby forming a falling staircase face of the bottom layer extending to the substrate surface from the second end of the upper surface of the bottom layer (Fig. 3; para. [0102]).
Chen fails to explicitly disclose repeating, for each of one or more further layers including the upper layer: etching the master material to an upper surface of a previously-formed layer in a further region, thereby forming a falling staircase face of the further layer above the previously-formed layer; forming a working stamp over the master, an underside of the working stamp being shaped as a negative of an upper side of the master; and imprinting the working stamp into the optically transmissive material to form the grating line.
However, Wang discloses repeating, for each of one or more further layers including the upper layer (paras. [0026-0036]):
etching the master material to an upper surface of a previously-formed layer in a further region, thereby forming a falling staircase face of the further layer above the previously-formed layer (Figs. 2A-2F; para. [0036]);
forming a working stamp (250A) over the master, an underside of the working stamp being shaped as a negative of an upper side of the master (Figs. 2F-2I; paras. [0040-0041]); and
imprinting the working stamp (250A) into the optically transmissive material (260) to form the grating line (Figs. 2I-2J; para. [0041]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate repeating, for each of one or more further layers including the upper layer: etching the master material to an upper surface of a previously-formed layer in a further region, thereby forming a falling staircase face of the further layer above the previously-formed layer; forming a working stamp over the master, an underside of the working stamp being shaped as a negative of an upper side of the master; and imprinting the working stamp into the optically transmissive material to form the grating line, as in Wang, into the method of Chen to fabricate a grating by molding (Wang, paras. [0037-041]).
Regarding claim 3, Chen fails to explicitly disclose further comprising, after forming the working stamp: forming a metal layer on an underside of the working stamp.
However, Wang discloses further comprising, after forming the working stamp (250A):
forming a metal layer on an underside of the working stamp (Fig. 2G; para. [0040]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate further comprising, after forming the working stamp: forming a metal layer on an underside of the working stamp, as in Wang, into the method of Chen to easily apply a reflective coating over the grating line to produce a reflective-type diffractive optical element.
Regarding claim 4, Chen discloses wherein:
the falling staircase face of each layer defines, in cross-section within the plane, a layer edge angle with the substrate surface (10a) that is greater than the rising staircase angle and less than 90 degrees (Fig. 3).
Regarding claim 5, Chen fails to explicitly disclose wherein forming each grating line further comprises, after forming the plurality of stacked layers: depositing a coating on the grating line.
However, Wang discloses wherein forming each grating line further comprises, after forming the plurality of stacked layers:
depositing a coating on the grating line (Figs. 2A-2F; paras. [0026-0036]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate wherein forming each grating line further comprises, after forming the plurality of stacked layers: depositing a coating on the grating line, as in Wang, into the method of Chen to apply a reflective coating over the grating line to produce a reflective-type diffractive optical element.
Regarding claim 6, Chen fails to explicitly disclose wherein: the coating comprises a material having a high refractive index.
However, Wang discloses wherein:
the coating comprises a material having a high refractive index (paras. [0028, 0040]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate wherein: the coating comprises a material having a high refractive index, as in Wang, into the method of Chen to apply a reflective coating over the grating line to produce a reflective-type diffractive optical element.
Regarding claim 7, Chen fails to explicitly disclose wherein: the material having the high refractive index comprises titanium dioxide (TiO2).
However, Wang discloses wherein:
the material having the high refractive index comprises TiO2 (para. [0028]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate wherein the material having the high refractive index comprises TiO2, as in Wang, into the method of Chen, since it has been held to be within the general skill of a worker in the art to select a known material on the basis of its suitability for the intended use as a matter of obvious design choice. See MPEP 2144.07.
Regarding claim 8, Chen fails to explicitly disclose wherein: the optically transmissive material comprises a transparent or partially transparent resin.
However, Wang discloses wherein:
the optically transmissive material comprises a transparent or partially transparent resin (para. [0028]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate wherein: the optically transmissive material comprises a transparent or partially transparent resin, as in Wang, into the method of Chen to use a material useful in a transmission-type diffractive optical element and that is easily moldable.
Regarding claim 9, Chen discloses wherein:
the substrate surface (10a) is an upper surface of a waveguide body (Fig. 2; para. [0054]).
Regarding claim 10, Chen discloses wherein:
the rising staircase angle is between 15 degrees and 45 degrees (Fig. 3).
Regarding claim 11, Chen fails to explicitly disclose wherein: the rising staircase angle is between 20 degrees and 25 degrees.
However, Wang discloses wherein:
the rising staircase angle is between 20 degrees and 25 degrees (Figs. 2F-2G).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate the rising staircase angle between 20 degrees and 25 degrees, as in Wang, into the method of Chen to provide a phase shift profile as desired.
Regarding claims 12-14, Chen and Wang fail to explicitly disclose wherein: the falling staircase angle is greater than 60 degrees and less than 80 degrees, is greater than 60 degrees and less than 70 degrees, and is 65 degrees.
However, the angle is a result-effective variable which achieves a recognized result (Wang, para. [0036]). One having ordinary skill in the art before the effective filing date of the claimed invention would have been motivated to incorporate the falling staircase angle greater than 60 degrees and less than 80 degrees, greater than 60 degrees and less than 70 degrees, and 65 degrees to provide a phase shift profile as desired. Furthermore, it would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate the recited angle ranges and value, 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. See MPEP 2144.05.
Regarding claim 15, Chen discloses wherein:
the grating height (H4 or H5) is between 50 nm and 250 nm (para. [0011]).
Regarding claim 16, Chen discloses wherein:
the stepped diffraction grating further comprises, between each adjacent pair of grating lines (101), a gap (Fig. 3) having a width between 10 nm and 130 nm (paras. [0061, 0066]; Tables).
Regarding claim 17, Chen discloses wherein:
the plurality of stacked layers consists of the bottom layer and the upper layer (Fig. 3), the bottom layer having a thickness between 20 and 80 nm (para. [0011]).
Chen fails to explicitly disclose an intermediate layer, each layer having a thickness between 20 and 80 nm.
However, Wang discloses an intermediate layer (220, 230, Figs. 2D-2F), each layer having a thickness between 20 and 80 nm (para. [0048]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate an intermediate layer, each layer having a thickness between 20 and 80 nm, as in Wang, into the method of Chen to control the optical element with great accuracy.
Regarding claim 18, Chen and Want fail to explicitly disclose wherein: the plurality of stacked layers comprises: the bottom layer, having a width, in cross-section within the plane, between 250 and 350 nm; an intermediate layer, having a width, in cross-section within the plane, between 200 and 300 nm; and the upper layer, having a width, in cross-section within the plane, between 80 and 150 nm.
However, the thickness is a result-effective variable which achieves a recognized result (Wang, paras. [0036, 0048]). One having ordinary skill in the art before the effective filing date of the claimed invention would have been motivated to incorporate the bottom layer, having a width, in cross-section within the plane, between 250 and 350 nm; an intermediate layer, having a width, in cross-section within the plane, between 200 and 300 nm; and the upper layer, having a width, in cross-section within the plane, between 80 and 150 nm to control the optical element with great accuracy. Furthermore, it would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate the recited thickness ranges, 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. See MPEP 2144.05.
Regarding claim 19, Chen discloses wherein:
the plurality of parallel grating lines (101) share a common rising staircase angle and a common falling staircase angle (Figs. 2-3).
Regarding claims 20-21, Chen and Wang fail to explicitly disclose wherein: at least two of the plurality of parallel grating lines have different rising staircase angles, and have different falling staircase angles.
However, it would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to incorporate gratings having different rising and falling staircase angles, since choosing from a finite number of identified, predictable solutions, with a reasonable expectation of success involves only routine skill in the art. See MPEP 2141 and 2143.
Regarding claim 22, Chen discloses wherein:
the stepped diffraction grating is configured to propagate light along a light propagation path beginning at a first region and ending at a second region (Figs. 2-3; paras. [0054, 0056]; e.g., through total internal reflection in either coupling in or coupling out direction); and
the parallel grating lines (101) have a first falling staircase angle in the first region and a second falling staircase angle in the second region, the first falling staircase angle being closer to 90 degrees than the second falling staircase angle (Fig. 3).
Response to Arguments
Applicant’s arguments with respect to claims 1 and 23 have been considered but are moot because the new ground of rejection does not rely on the secondary reference applied in the prior rejection of record for the teaching or matter specifically challenged in the argument. Therefore, the new ground of rejection under 35 U.S.C. 103 further in view of Wang is considered appropriate in accordance with the amendments to the claims.
Conclusion
Applicant’s amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to PAISLEY L WILSON whose telephone number is (571)270-5023. The examiner can normally be reached Monday-Friday, 9:00am-5:00pm ET.
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/PAISLEY L WILSON/Primary Examiner, Art Unit 2871
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