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 .
Information Disclosure Statement
The prior art documents submitted by applicant in the Information Disclosure Statements filed on May 14, 2025 have all been considered and made of record (note the attached copies of form PTO-1449).
Drawings
Twelve (12) sheets of drawings were filed on May 30,2024.
Specification
Applicant’s cooperation is requested in correcting any errors of which applicant may become
aware in the specification.
Claim Rejections - 35 USC § 102
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.
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 1-2, 17 and 19-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by over Luo et al. (AlN thin film based reconfigurable integrated photonic devices), hereafter Luo.
Regarding claim 1, Luo discloses an apparatus (FIG. 9d: Modulator and FIG. 11) comprising: an optical waveguide (FIG. 9d) including a piezoelectric layer (Abstract; Page 2, Par. 3, lines 1-2; Section VI, Subsection A: Scandium doped AIN for properties enhancement) comprising aluminum scandium nitride (AlScN) (Section VI. Summary and outlook: Future development of AlN-based reconfigurable photonic systems using AlScN. Subsection A: Scandium doped AIN for properties enhancement. AlScN improves piezoelectric properties. Subsection B: AlScN waveguides), the piezoelectric layer having an axis from a first side of the optical waveguide to a second side of the optical waveguide (Section V, Subsection B: AlN EO Devices. Par. 6); an electrical signal line formed on the first side of the optical waveguide (FIG. 9d: Upper Electrode); and a reference node formed on the second side of the optical waveguide (FIG. 9d: Bottom Electrode).
Regarding claim 2, Luo discloses the apparatus of claim 1. Luo further discloses the optical waveguide is disposed on a first silicon oxide (SiO2) layer, and wherein the reference node is disposed in the first SiO2 layer (See annotated FIG. 9d below).
Regarding claim 17, Luo discloses an apparatus (FIG. 9d) comprising: an aluminum scandium nitride (AlScN) piezoelectric (Abstract. Page 2, Par. 3, lines 1-2. Section VI. Subsection A: Scandium doped AIN for properties enhancement) waveguide (Section VI. Summary and outlook: Future development of AlN-based reconfigurable photonic systems using AlScN. Subsection A: Scandium doped AIN for properties enhancement. AlScN improves piezoelectric properties. Subsection B: AlScN waveguides) having a c-axis (Section V, Subsection B: AlN EO Devices. Par. 6); an electrical signal line formed on a first side of the AlScN piezoelectric waveguide (FIG. 9d: Upper Electrode); and a reference node formed on a second side of the AlScN piezoelectric waveguide (FIG. 9d: Bottom Electrode); wherein the c-axis is aligned from the electrical signal line to the reference node (Section V, Subsection B: AlN EO. Devices. Par. 6. See annotated FIG. 9d)
Regarding claim 19, Lou discloses A method of fabricating an electro-optical modulator comprising: forming a first conductive line (FIG. 9d: Upper Electrode); forming an aluminum scandium nitride (AlScN) piezoelectric waveguide (Abstract. Page 2, Par. 3 line 1-2. Section VI. Subsection A: Scandium doped AIN for properties enhancement) (Section VI. Summary and outlook: Future development of AlN-based reconfigurable photonic systems using AlScN. Subsection A: Scandium doped AIN for properties enhancement. AlScN improves piezoelectric properties. Subsection B: AlScN waveguides), wherein the first conductive line is on a first side of the AlScN piezoelectric waveguide (FIG. 9d), and wherein the AlScN piezoelectric waveguide has a c-axis (Section V, Subsection B: AlN EO Devices. Par. 6); and forming a second conductive line on a second side of the AlScN piezoelectric waveguide (FIG. 9d: Bottom Electrode), wherein the first conductive line, the second conductive line, and the AlScN piezoelectric waveguide are positioned such that the c-axis is aligned to be parallel with an electrical field (vertical electric field) generated by an electrical potential between the first conductive line and the second conductive line (FIG. 9d; Section V, Subsection B: AlN EO Devices. Par. 6).
Regarding claim 20, Luo discloses the method of claim 19. Luo further discloses the AlScN piezoelectric waveguide is formed of a layer comprising Al(1-x)Sc(x)N, where x =0.01*n, and n is a real number from 0 through 45, inclusive (Section IV Subsection A Par. 2).
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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.
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 3-7 are rejected under 35 U.S.C. 103 as being unpatentable over Luo et al. (AlN thin film based reconfigurable integrated photonic devices), hereafter Luo, as applied to claim 1 above, and further in view of Zhang et al. (Aluminum scandium nitride waveguide in the near-infrared), hereafter Zhang.
Regarding claim 3, Luo discloses the apparatus of claim 2. Luo further discloses the optical waveguide formed from the AlScN of the piezoelectric layer (Section V: Subsection A: Scandium Doped AlN for Properties Enhancement: Subsection B: High-Quality AlN Thin-Film Processing; Par. 3. Because the optical waveguide is fabricated from AlScN, it functions as an active piezoelectric layer).
Luo fails to disclose the optical waveguide is a rib waveguide.
Zhang teaches a AlScN optical rib waveguide (FIG. 1b)
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to utilize Zhang's rib waveguide design in Luo's apparatus to achieve well-confined optical modes and single-mode operations, relying on Zhang's teaching that this is readily achieved by adjusting waveguide width, slab thickness, and Sc concentration (Zhang Conclusion Page 6). Zhang provides specific, quantifiable design rules for tuning the waveguide properties(Conclusion Page 6). Thus, a person of ordinary skill in the art would have a reasonable expectation that combining these elements will yield the expected result without undue experimentation.
Regarding claim 4, Luo/Zhang discloses the apparatus of claim 3. Luo further discloses a second SiO2 layer disposed on the piezoelectric layer; wherein the electrical signal line is disposed on the second SiO2 layer(See annotated FIG 9d below).
Regarding claim 5, Luo/Zhang discloses the apparatus of claim 4. Luo further discloses a silicon substrate, wherein the first SiO2 layer is disposed on the silicon substrate(FIG. 9d).
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Regarding claim 6, Luo/Zhang discloses the apparatus of claim 5. Luo further discloses an input waveguide disposed on the silicon substrate, wherein the input waveguide is positioned to overlap a first end of the optical waveguide for optical coupling from the input waveguide to the first end of the optical waveguide (FIG. 11d).
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Regarding claim 7, Luo/Zhang discloses the apparatus of claim 6. Luo/Zhang fails to disclose a light source having an output coupled to the input waveguide.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to utilize a light source in the apparatus of Luo/Zhang since an input waveguide inherently require an optical signal to function and it would have been obvious to couple a known light source to the input waveguide. Such modification would yield the predictable benefit of injecting an optical signal into the apparatus.
Claims 8-10 and 18 rejected under 35 U.S.C. 103 as being unpatentable over Luo et al. (AlN thin film based reconfigurable integrated photonic devices), hereafter Luo.
Regarding claim 8, Luo discloses the apparatus of claim 1. Luo fails to disclose an output waveguide positioned to accept a modulated light signal from a second end of the optical waveguide.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to include an output waveguide to extract the modulated signal, as routing, redirecting, or coupling light out of optical structures using adjacent or sequential waveguides was a well-established, fundamental principle in optical engineering. Integrating input and output waveguides on a single substrate is standard practice to achieve compact, miniaturized optical circuits.
Regarding claim 9, Luo discloses the apparatus of claim 1. Luo fails to disclose signal generation circuitry coupled to the electrical signal line; and a memory and one or more processors coupled to the memory, wherein the one or more processors are configured to provide data from the memory to the signal generation circuitry.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to modify the prior art to include standard, well-known processor and memory components and combine the apparatus with conventional signal generation circuitry. Employing standard processors and memory to control signal generation was a matter of routine engineering design for intended use. A person of ordinary skill in the art looking to automate, control, or digitize the electrical output of a device would naturally turn to these fundamental, well-known computing components. Combining Luo’s apparatus with conventional signal generation circuitry and standard processor/memory elements requires nothing more than the predictable application of known techniques. The added elements perform no new or unexpected functions, and their combination yields purely predictable results
Regarding claim 10, Luo discloses the apparatus of claim 9. Luo fails to disclose the signal generation circuitry is configured to provide an electrical signal modulated at radio frequencies or microwave frequencies for modulation of light in the optical waveguide.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to configure the signal generation circuitry to provide radio frequencies or microwave modulation because that is precisely what a modulated signal is designed to do. It was well known in the art that high-speed optical modulators require electrical signals at radio frequencies or microwave frequencies to properly encode information or shift the optical carrier phase. Because the purpose of a modulator is to impart information or shift light frequencies, applying a Radio frequency microwave electrical signal is the standard, predictable way to achieve this outcome. Doing so yields the predictable and expected result of successfully modulating the light within the optical waveguide.
Regarding claim 18, Luo disclose the device of claim 17. Luo fails to disclose signal generation circuitry coupled to the electrical signal line.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to couple a known signal generation circuitry to the electrical signal line. This combination yields only the predictable result of generating and sending an electrical signal through the line, representing nothing more than the application of common sense to standard electronic design.
Claims 11-16 are rejected under 35 U.S.C. 103 as being unpatentable over Luo et al. (AlN thin film based reconfigurable integrated photonic devices), hereafter Luo, as applied to claim 1 above, and further in view of Wang et al. ( Double-tip Scandium Aluminum Nitride Edge Couplers- cited by Applicant - IDS filed May 14,2025), hereafter wang.
Regarding claim 11, Luo discloses the apparatus of claim 2. Luo further discloses an optical waveguide formed from the AlScN of piezoelectric layer (Subsection A: Scandium Doped AlN for Properties Enhancement: Par. Subsection B: High-Quality AlN Thin-Film Processing Par. 3. Because the optical waveguide is fabricated from AlScN, it functions as an active piezoelectric layer). Luo fails to disclose the optical waveguide is a ridge waveguide.
Wang teaches and AlScN ridge waveguide (FIG. 1b).
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to modify Luo's apparatus by implementing Wang's ridge waveguide design in order to better confine the optical mode and enable efficient electro-optic modulation. Ridge waveguides provide lateral optical confinement compared to a planar design. A person of ordinary skill in the art would have been motivated to adopt this ridge geometry to prevent optical signal loss and improve waveguide efficiency.
Regarding claim 12, Luo discloses the apparatus of claim 11. Luo further discloses a second SiO2 layer disposed on the piezoelectric layer and the first SiO2 layer (See annotated FIG 9d below).
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Regarding claim 13, Luo discloses the apparatus of claim 11. Luo further discloses an optical waveguide formed in the first SiO2 layer (FIG. 9d). Luo fails to disclose the ridge waveguide is a trapezoidal waveguide.
Wang teaches the ridge waveguide is a trapezoidal waveguide (FIG. 1b).
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to modify/replace the waveguide of Luo with a ridge waveguide to have the trapezoidal cross-section taught by Wang, in order to improve optical confinement and reduce scattering losses, because such waveguide geometries were well-known in the art and interchangeable selecting specific angles for a ridge waveguide is a matter of routine optimization and predictable design choice.
Regarding claim 14, Luo/Wang discloses the apparatus of claim 13. Luo further discloses a silicon substrate, wherein the first SiO2 layer is disposed on the silicon substrate (FIG. 9d).
Regarding claim 15, Luo/Wang disclosed the apparatus of claim 14. Luo further discloses a tapered input waveguide disposed on the silicon substrate, wherein the tapered input waveguide is positioned to overlap a first end of the optical waveguide for optical coupling from the tapered input waveguide to the first end of the optical waveguide (FIG 11d.).
Regarding claim 16, Luo/Wang disclosed the apparatus of claim 14. Luo further discloses a tapered input waveguide (FIG. 11d). Lou/Wang fail to disclose a light source having an output coupled to the tapered input waveguide.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to utilize a light source in the apparatus of Luo/Wang since input waveguides inherently require an optical signal to function it would have been obvious to coupler a known light source to the input waveguide. Doing so yields the predictable benefit of injecting an optical signal into the apparatus.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant’s
disclosure:
➢ Zhu (US20230333418A1) see entire disclosure.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to TAJANAE N GREEN whose telephone number is (571)272-2188. The examiner can normally be reached Tues-Fri. 5:30a-3:30p.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Uyen-Chau Le can be reached at (571) 272-2397. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/TAJANAE NICOLE GREEN/Examiner, Art Unit 2874
/UYEN CHAU N LE/Supervisory Patent Examiner, Art Unit 2874
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