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 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 July 17, 2024.
The earliest effective filing date of this AIA application is seen as January 12, 2022, the date of the earliest priority application (United States provisional patent application serial number 63/298,900) for any claims which are fully supported under 35 U.S.C. 112(a) by the provisional application.
The same is similarly true for the following United States provisional, non-provisional, or international PCT patent application(s):
United States patent application serial number 17/826,098 filed May 26, 2022, now U.S. Patent No. 12,066,671.
The effective filing date of this AIA application is seen as July 17, 2024, the actual filing date, for any claims that are not fully supported by the foregoing provisional or non-provisional application(s).
The present application is also related to the applications giving rise to the following patent publication(s) (some redundancy may be present):
Office
Application
App. Date
Pub. #
Pub. Date
US
17826098
05/26/2022
US 20230221511 A1
US 12066671 B2
07/13/2023
08/20/2024
TW
111132785
08/30/2022
TW 202328723 A
TW I840933 B
07/16/2023
05/01/2024
CN
202310008115
01/04/2023
CN 116299844 A
06/23/2023
The claims originally filed July 17, 2024 are entered, currently outstanding, and subject to examination.
This action is in response to the information disclosure statement/IDS filing of May 28, 2026.
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No claims have been amended, cancelled, withdrawn, or added.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.
Specification
Applicant must provide the same terminology/vocabulary/phrasing in the specification that is present in the claims. At least one term or phrase is missing from the specification present in the claim(s).
The specification is objected to as failing to provide proper antecedent basis for the claimed subject matter. See 37 CFR 1.75(d)(1) and MPEP § 608.01(o).
Correction is required as the following amendment(s)/text in the claims find(s) no antecedent in the specification.
Claim(s)
Antecedent Missing For
1, 3, 12, and 18
"plurality of first waveguides"
2, 4, 6, 12, and 18
"second waveguide"
2, 4, 6, 12, and 18
"third waveguide"
5, 13, and 18
"corresponding one"
6
"fourth varying width"
6
"third varying width"
6
"second fixed width"
6
"first fixed width"
As set forth in MPEP § 608.01(o):
The meaning of every term used in any of the claims should be apparent from the descriptive portion of the specification with clear disclosure as to its import; and in mechanical cases, it should be identified in the descriptive portion of the specification by reference to the drawing, designating the part or parts therein to which the term applies. A term used in the claims may be given a special meaning in the description. See MPEP § 2111.01 and § 2173.05(a).
Usually the terminology of the original claims follows the nomenclature of the specification, but sometimes in amending the claims or in adding new claims, new terms are introduced that do not appear in the specification. The use of a confusing variety of terms for the same thing should not be permitted.
. . . While an applicant is not limited to the nomenclature used in the application as filed, he or she should make appropriate amendment of the specification whenever this nomenclature is departed from by amendment of the claims so as to have clear support or antecedent basis in the specification for the new terms appearing in the claims. This is necessary in order to insure [sic, ensure] certainty in construing the claims in the light of the specification, Ex parte Kotler, 1901 C.D. 62, 95 O.G. 2684 (Comm’r Pat. 1901). See 37 CFR 1.75 and MPEP §§ 608.01(i), § 1302.01.
Consequently, identity between terms and phrases in the specification and claims is preferred and is seen as mandatory to ensure “certainty in construing the claims in the light of the specification”.
Further, under 37 C.F.R. § 1.121(e) regarding disclosure consistency:
The disclosure must be amended, when required by the Office, to correct inaccuracies of description and definition, and to secure substantial correspondence between the claims, the remainder of the specification, and the drawings.
Examiner considers direct correspondence between the specification and the claims to be important with respect to determining the scope of the claims.
Examiner strongly urges Applicant to review its claims with a fine-toothed comb and scrutinize them for any discrepancies between claim language and language that is used in the written description/specification as originally filed. Applicant is responsible for what it drafts. Discrepancies may be interpreted to Applicant’s detriment.
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 § 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 1-20 are rejected under 35 U.S.C. § 102(a)(1) as being anticipated by U.S. Patent Application Publication No. 20130343695 of Ben Bakir et al. (Ben Bakir).
With respect to claim 1, Ben Bakir discloses a semiconductor device (¶¶ 2, 3), comprising:
a plurality of first waveguides (Figs. 6, 7, ¶ 58 et seq.) vertically disposed on top of one another and laterally offset from one another;
wherein at least one of the plurality of first waveguides comprises a first portion (24) with a first varying width and a second portion with a second varying width.
With respect to claim 2, Ben Bakir as set forth above discloses the semiconductor device of claim 1, including one further comprising (Fig. 7):
a second waveguide (24-2) vertically disposed below the plurality of first waveguides; and
a third waveguide (24-n, ¶ 60) vertically disposed above the plurality of first waveguides.
With respect to claim 3, Ben Bakir as set forth above discloses the semiconductor device of claim 2, including one wherein
the second waveguide is laterally offset from a bottommost one of the plurality of first waveguides, and
the third waveguide is laterally offset from a topmost one of the plurality of first waveguides.
Per Figs. 6 and 7.
With respect to claim 4, Ben Bakir as set forth above discloses the semiconductor device of claim 3, including one wherein
the second waveguide comprises a tapered portion overlapping at least one of the first or second portion of the bottommost first waveguide, and
the third waveguide comprises a tapered portion overlapping at least one of the first or second portion of the topmost first waveguide.
Per Figs. 6 and 7.
With respect to claim 5, Ben Bakir as set forth above discloses the semiconductor device of claim 4, including one wherein
the first varying width increases from a first end of a corresponding one of the first waveguides to a middle of the corresponding first waveguide, and
the second varying width decreases from the middle of the corresponding first waveguide to a second end of the corresponding first waveguide.
Per Figs. 6 and 7.
With respect to claim 6, Ben Bakir as set forth above discloses the semiconductor device of claim 5, including one wherein
the tapered portion of the second waveguide has a third varying width that monotonically decreases from a first fixed width, and
the tapered portion of the third waveguide has a fourth varying width that monotonically increases to a second fixed width.
Per Figs. 6 and 7.
With respect to claim 7, Ben Bakir as set forth above discloses the semiconductor device of claim 1, including one wherein
the first portion of the at least one first waveguide monotonically increases to a fixed width, and
the second portion of the at least one first waveguide monotonically decreases from the fixed width.
Per Figs. 6 and 7.
With respect to claim 8, Ben Bakir as set forth above discloses the semiconductor device of claim 1, including one wherein
the first portion and second portion of the at least one first waveguide are back-to-back connected to each other,
with no transitioning portion disposed therebetween.
¶ 59, "According to a variation, portion 27 may be absent. In this case, the two portions 25 and 26 are directly connected to each other."
With respect to claim 9, Ben Bakir as set forth above discloses the semiconductor device of claim 1, including one wherein
vertically adjacent ones of the first waveguides are laterally offset from each other with a distance that is greater than zero and less than one half of a length of the first waveguides.
With solely tapered elements per ¶ 59, the stated offset is seen to be present in Fig. 7.
With respect to claim 10, Ben Bakir as set forth above discloses the semiconductor device of claim 1, including one further comprising
a dielectric material interposed between the first waveguides.
¶ 2, "Nanophotonics especially uses planar optical waveguides having a low or a high index contrast. Currently guides have a core made of silicon or of another semiconductor and a cover layer made of silicon oxide or nitride or of another dielectric."
With respect to claim 11, Ben Bakir as set forth above discloses the semiconductor device of claim 10, including one wherein
the dielectric material includes a high-k dielectric material.
Silicon nitride per ¶ 2.
With respect to claim 12, Ben Bakir as set forth above discloses a semiconductor device, comprising:
a plurality of first waveguides vertically disposed on top of one another and laterally offset from one another;
a second waveguide vertically disposed below the plurality of first waveguides; and
a third waveguide vertically disposed above the plurality of first waveguides;
wherein at least one of the plurality of first waveguides comprises a first portion with a first varying width and a second portion with a second varying width.
Per the rejections above, including claims 5 and 6.
With respect to claim 13, Ben Bakir as set forth above discloses the semiconductor device of claim 12, including one wherein
the first varying width increases from a first end of a corresponding one of the first waveguides to a middle of the corresponding first waveguide, and
the second varying width decreases from the middle of the corresponding first waveguide to a second end of the corresponding first waveguide.
Per claim 5.
With respect to claim 14, Ben Bakir as set forth above discloses the semiconductor device of claim 12, including one wherein
the first portion of the at least one first waveguide monotonically increases to a fixed width, and
the second portion of the at least one first waveguide monotonically decreases from the fixed width.
Per claim 7.
With respect to claim 15, Ben Bakir as set forth above discloses the semiconductor device of claim 12, including one wherein
the first portion and second portion of the at least one first waveguide are back-to-back connected to each other,
with no transitioning portion disposed therebetween.
Per claim 8.
With respect to claim 16, Ben Bakir as set forth above discloses the semiconductor device of claim 12, including one wherein
vertically adjacent ones of the first waveguides are laterally offset from each other with a distance that is greater than zero and less than one half of a length of the first waveguides.
Per claim 9.
With respect to claim 17, Ben Bakir as set forth above discloses the semiconductor device of claim 12, including one further comprising
a dielectric material interposed between the first waveguides,
wherein the dielectric material includes a high-k dielectric material.
Per claim 11.
With respect to claim 18, Ben Bakir as set forth above discloses a semiconductor device, comprising:
a plurality of first waveguides vertically disposed on top of one another and laterally offset from one another;
a second waveguide vertically disposed below the plurality of first waveguides; and
a third waveguide vertically disposed above the plurality of first waveguides,
the first waveguides, second waveguide, and third waveguide being optically coupled to one another;
wherein at least one of the plurality of first waveguides comprises a first portion with a first varying width and a second portion with a second varying width, and
wherein the first varying width increases from a first end of a corresponding one of the first waveguides to a middle of the corresponding first waveguide, and
the second varying width decreases from the middle of the corresponding first waveguide to a second end of the corresponding first waveguide.
Per the rejections above, including claims 5 and 6.
With respect to claim 19, Ben Bakir as set forth above discloses the semiconductor device of claim 18, including one wherein
the first portion of the at least one first waveguide monotonically increases to a fixed width, and
the second portion of the at least one first waveguide monotonically decreases from the fixed width.
Per claim 5. Per Figs. 6 and 7.
With respect to claim 20, Ben Bakir as set forth above discloses the semiconductor device of claim 18, including one wherein
vertically adjacent ones of the first waveguides are laterally offset from each other with a distance that is greater than zero and less than one half of a length of the first waveguides.
Per claim 9.
Conclusion
Applicant’s publication US 20240369785 A1 published November 7, 2024 is cited.
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 waveguide coupling systems and the like.
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.
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/Andrew Jordan/
Primary Examiner, Art Unit 2874
V: (571) 270-1571 (Pacific time)
F: (571) 270-2571
June 19, 2026
Prosecution Insights