DETAILED ACTION
This office action is response to the application and claims filed on March 1, 2024. Claims 1-20 are pending, with claims 1 and 14 in independent form.
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 .
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The prior art documents submitted by Applicant in the Information Disclosure Statements (PTO-1449’s) as filed on March 1, 2024, November 15, 2024, February 28, 2025, and July 15, 2025, have been considered and made of record (note attached copy of forms PTO-1449).
Drawings
The original drawings (eight (8) pages) were received on March 1, 2024. These drawings are acknowledged.
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
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.
Claims 1-20 are rejected under 35 U.S.C. 103 as being unpatentable over Iwatsuka et al. CN 111051970 A (note also similar US PG Publication 2020/0218126 A1 (attached PTO-892 form reference A)) as applied to independent claims 1 and 14 above, and further in view of Kharel et al. US 2021/0157177 A1.
Regarding independent claims 1 and 14, Iwatsuka et al. CN 111051970 A teaches (ABS; Figs. 1(a), 1(b), 2-5, 6(a), 6(b), 9; corresponding text, in particular paragraphs [0045] – [0173]; Claims) an electro-optic modulator 1 (for claim 1), and electro-optic device 100 / 500 including same (for claim 14), comprising: a first optical waveguide 10a, a second optical waveguide 10b, and a traveling wave electrode (overall combination of electrode elements as shown in Figs. cited above), wherein each of the first optical waveguide, the second optical waveguide, and the traveling wave electrode is arranged to extend along an extension direction of the electro-optic modulator (see extension to right, Figs. 1(a), 1(b) and curving extension, Figs. 6(a), 6(b)), wherein the traveling wave electrode comprises a first grounding electrode 8a, a first signal electrode 7a, a second signal electrode 7b, and a second grounding electrode 8b (shown from Figs. 1(a)-(b) and with view in Figs. 2-5), wherein the first grounding electrode, the first signal electrode, the second signal electrode, and the second grounding electrode are spaced apart from each other (Figs. 2-5); and are configured such that optical signals transmitted within the first optical waveguide and the second optical waveguide are subjected to voltage modulation between the first signal electrode and the second signal electrode (electrodes of Iwatsuka modulate the optical waveguides using voltage application), wherein the electro-optic modulator has a plurality of extension sections along the extension direction thereof, and the plurality of extension sections comprise: a plurality of straight sections and at least one curved section, wherein each of the at least one curved section is provided between respective two adjacent ones of the plurality of straight sections (note Figs. 6(a) and 6(b) for the curving waveguide shape along the path in 500 (ground at 8a and 8b).
Regarding independent claims 1 and 14, the close prior art of Iwatsuka CN ‘970 does not expressly and exactly teach the configuration in which the “first optical waveguide and the second optical waveguide are both arranged between the first signal electrode and the second signal electrode.”
However, such configuration is taught as an example, in particular with a curved waveguide path, in Kharel et al. US 2021/0157177 A1 (see ABS; Figs. 1A-1C, 9-11, 14J, 14K, 15A-B, 16, 22, 24; corresponding text; Claims). Kharel US ‘177 teaches configurations in which the optical waveguide(s) include first and second opposing electrodes on either side of such waveguide(s), in that such positioning allows for improved optical signal modulation, notably with a waveguide curve feature, to allow for better and more consistent modulation application of such voltages based on having those electrodes on opposing sides of the waveguide(s). Therefore, Kharel US ‘177 teaches embodiments using such design (see for example Figs. 15A-15B, 22, 24) which 1st and 2nd spaced electrodes with a curved waveguide path arranged between.
Since Iwatsuka CN ‘970 and Kharel US ‘177 are both from the same field of endeavor, the purpose disclosed by Kharel US ‘177would have been recognized in the pertinent art of Iwatsuka CN ‘970.
A person having ordinary skill in the art at a time before the effective filing date of the current application would have recognized the teaching of Kharel US ‘177, to use 1st and 2nd signal electrodes on either side of a centrally located optical waveguide(s), in the base design of the electro-optic modulator of Iwatsuka CN ‘970, to allow for improved voltage application (and better / more consistent modulation) of the optical waveguides on a curved path (as the curved claimed in claims 1 and 14 are key features). Further, it would have required no undue burden or unnecessary experimentation to arrive at such feature of the placement of the signal electrodes on the opposing side of central waveguide(s) as in Iwastuka. See KSR v. Teleflex, 127 S.Ct. 1727 (2007). For these reasons, independent claims 1 and 14 are found obvious over Iwatsuka CN ‘970and further in view of Kharel US ’177 (henceforth “COMBO”).
Regarding further dependent claims 2-13 and 15-20, the hypothetical combination of a device from COMBO must be considered. Therefore, with careful consideration of both separate references (Iwatsuka CN ‘970 and/or Kharel US ‘177), all such claimed dependencies are found either within those references themselves, or are obvious design choices and modifications. As a result, the base combination (in claims 1 and 14) is found obvious in view of all dependent claims 2-13 and 15-20. See KSR.
Additionally, the Examiner fully incorporates, and agrees with, the logic and rationale found in the multiple INTL Search Reports and Written Opinions that all come to such same conclusion, notably with the secondary prior art reference of Kharel.
COMBO (note claims 1 / 14) makes obvious all such following features:
-Claims 2 and 15: a plurality of first electrode extensions connected to the first signal electrode and spaced apart, wherein the plurality of first electrode extensions are all arranged to extend toward the second signal electrode, and each of the first electrode extensions comprises a first sub-electrode and a second sub-electrode; and a plurality of second electrode extensions connected to the second signal electrode and spaced apart, wherein the plurality of second electrode extensions are all arranged to extend toward the first signal electrode, and each of the second electrode extensions comprises a third sub-electrode and a fourth sub-electrode, wherein the first sub-electrode and the third sub-electrode are arranged on two sides of the first optical waveguide, respectively; and the second sub-electrode and the fourth sub-electrode are arranged on two sides of the second optical waveguide, respectively.
-Claims 3 and 16 (further from claim 2): wherein the first optical waveguide has a first side facing the second optical waveguide and a second side away from the second optical waveguide, and the second optical waveguide has a third side facing the first optical waveguide and a fourth side away from the first optical waveguide, wherein the plurality of straight sections comprise a first type of straight section and/or a second type of straight section, the first type of straight section is configured such that the first sub-electrode and the second sub-electrode are arranged on the first side of the first optical waveguide and the third side of the second optical waveguide, respectively; and the third sub-electrode and the fourth sub-electrode are arranged on the second side of the first optical waveguide and the fourth side of the second optical waveguide, and the second type of straight section is configured such that the first sub-electrode and the second sub-electrode are arranged on the second side of the first optical waveguide and the fourth side of the second optical waveguide, respectively; and the third sub-electrode and the fourth sub-electrode are arranged on the first side of the first optical waveguide and the third side of the second optical waveguide.
-Claims 4 and 17: wherein each of the first electrode extensions further comprises: a first extension arm configured to connect the first sub-electrode and the second sub-electrode to the first signal electrode; and each of the second electrode extensions further comprises: a second extension arm configured to connect the third sub-electrode and the fourth sub-electrode to the second signal electrode.
-Claims 5 and 18: wherein a number of the first electrode extensions is equal to a number of the second electrode extensions, wherein the first sub-electrode of each of the first electrode extensions is arranged opposite the third sub-electrode of the corresponding second electrode extension; and the second sub-electrode of each of the first electrode extensions is arranged opposite the fourth sub-electrode of the corresponding second electrode extension.
-Claims 6 and 19 (on claim 3): wherein the plurality of extension sections comprise a first straight section, a second straight section, and a first curved section provided between the first straight section and the second straight section, wherein the first optical waveguide and the second optical waveguide are arranged to extend spaced apart in the first curved section, and the first straight section and the second straight section are the same type of straight sections.
-Claims 7 and 20 (from claim 3): wherein the plurality of extension sections comprise a third straight section, a fourth straight section, and a second curved section provided between the third straight section and the fourth straight section, wherein the first optical waveguide and the second optical waveguide are arranged crosswise in the second curved section, and the third straight section and the fourth straight section are different types of straight sections.
-Claim 8 (from claim 2): wherein a width of at least one of the first signal electrode, the second signal electrode, the first grounding electrode, and the second grounding electrode in the straight section is different from a width of a corresponding electrode in the curved section.
-Claim 9 (from claim 8): wherein the plurality of extension sections further comprise: a plurality of transitional sections, each configured to connect the straight section and the curved section immediately adjacent to the straight section, wherein in each of the transitional sections, a width of each of the first signal electrode, the second signal electrode, the first grounding electrode, and the second grounding electrode gradually changes from a width of the corresponding electrode in the straight section to a width of the corresponding electrode in the curved section along a direction from the straight section to the curved section.
-Claim 10 (from claim 2): can comprise: a substrate; an isolating layer located on the substrate; a thin film layer configured to form the first optical waveguide and the second optical waveguide; a first covering layer located on the first optical waveguide; and a second covering layer located on the second optical waveguide.
-Claim 11 (from claim 10): wherein the plurality of first electrode extensions and the plurality of second electrode extensions both extend to upper surfaces an upper surface of the first covering layer and an upper surface the second covering layer.
-Claim 12 (from claim 11): wherein the first sub-electrode and the third sub-electrode are arranged on the upper surface of the first covering layer; and the second sub-electrode and the fourth sub-electrode are arranged on the upper surface of the second covering layer.
-Claim 13 (from claim 2): can further comprise: an optical splitter configured to split an optical input signal into optical signals a first optical signal transmitted within the first optical waveguide and a second optical signal transmitted within the second optical waveguide; and an optical combiner configured to recombine the first optical-signals signal transmitted within the first optical waveguide and the second optical signal transmitted within the second optical waveguide into an optical output signal.
All such dependencies do not serve to create any patentable distinction over the base (hypothetical) combination found in claims 1 / 14, and would have been easily conceivable and reduced to practice by one having ordinary skill in the art at the time of the effective filing date of the current application. KSR. Mere common skill and ordinary implementation of the general state of the art of electro-optical modulators using optical waveguides and electrodes (both signal and ground) would be needed by POSITA to create such design.
Inventorship
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.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure: PTO-892 form references B-H, which pertain to the state of the art of electro-optical modulators using voltage application between signal and ground electrodes, for control of the optical waveguide(s) signal(s).
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Daniel Petkovsek whose telephone number is (571) 272-4174. The examiner can normally be reached M-F 7:30 - 6 PM.
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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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/DANIEL PETKOVSEK/Primary Examiner, Art Unit 2874 July 23, 2026
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