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 August 14, 2025 have all been considered and made of record (note the attached copies of form PTO-1449).
Drawings
Twenty-two (22) sheets of drawings were filed on August 12, 2024.
Specification
Applicant’s cooperation is requested in correcting any errors of which applicant may become
aware in the specification.
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.
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 1-3, 7, 11, 16 and 19 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Sugama (US20170115456A1).
Regarding claim 1, Sugama discloses a method of forming an optical device (Grating coupler FIG. 14L and FIGs. 16A-16D) comprising: forming a first set of gratings (gratings 451 and 651) in a grating layer (Polycrystalline Si layer 64) that is present on a cladding layer (lower clad layer 22 and 62); and forming a second set of gratings (gratings 452 and 652) that is horizontally offset and vertically offset from the first set of gratings.
Regarding claim 2, Sugama discloses the method of claim 1. Sugama further discloses the grating layer is a single layer (FIG. 16A illustrate all three gratings in layer 632. FIG. 10B also shows gratings 45 in a single layer 46 of the device).
Regarding claim 3, Sugama discloses the method of claim 2. Sugama further discloses forming the first set of gratings (gratings 651) in the grating layer comprises etching (Par. [0080]: etching is carried out in three steps so as to correspond to the three sections) first trenches in an upper face of the grating layer (Polycrystalline Si layer 64) that is opposite a lower face of the grating layer that is in direct contact with the cladding layer (FIG. 16C. lower clad layer 62. Par.[0080]: the polycrystalline Si layer 64 is etched so that gratings 651 through 653 having different thicknesses for each section are formed.)
Regarding claim 7, Sugama discloses the method of claim 1. Sugama further discloses the grating layer is a multilayered structure (FIG. 14L. Par. [0063]: gratings 451 through 453 made of a SI3N4 layer that is divided into three section).
Regarding claim 11, Sugama discloses an optical device(FIG. 16A-16D. Grating coupler) comprising: a single grating layer (Polycrystalline Si layer 64) having a first set of gratings(Grating 652) extending in a first direction in a first portion of the single grating layer and a second set of gratings (Grating 651) extending in a second direction in a second portion of the single grating layer, the second portion being horizontally offset from the first portion, the first direction being different from the second direction (FIG. 16A); and a cladding layer in contact with the single grating layer (lower clad layer 62).
Regarding claim 16, Sugama discloses an optical device (FIG. 16A-D. Grating coupler) comprising: a first grating layer (631 ) present on a cladding layer (lower clad layer 62), the first grating layer having a plurality of trenches (see annotated FIG. 16D); and a second grating layer (632) present on the first grating layer (631), the second grating layer having a first set of gratings(Grating 651) on an upper surface of the second grating layer(632) and a second set of gratings (Grating 652) on a lower surface of the second grating layer that interfaces (Shares a boundary) with the first grating layer (see annotated FIG. 16D), wherein the first set of gratings extend in a first direction, and the second set of gratings extend in a second direction into the plurality of trenches in the first grating layer (FIGs. 16A-16D) .
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Regarding claim 19, Sugama discloses the device of claim 16. Sugama further discloses a third set of gratings (Grating 653) at an interface of the first grating layer and base cladding layer (lower clad layer 62).
Claim Rejections - 35 USC § 103
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 text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 4-5, 12-13 and 17-18 are rejected under 35 U.S.C. 103 as being unpatentable over Sugama (US20170115456A1) in view of Hsu et al (US 20230064550 A1), hereafter Hsu.
Regarding claim 4, Sugama discloses the method of claim 3. Sugama further discloses the first trenches for the first set of gratings (gratings 651) include an array of grooves (see annotated FIG. 16D). Sugama fails to disclose forming the array of the grooves for the first set of gratings includes etching with an increasing depth from a perimeter of the array of the grooves towards a center of the array of the grooves.
Hsu teaches forming the array of the grooves (FIG. 2. openings 212, 214, 216, 218, 222) for the first set of gratings includes etching (Par. [0050]) with an increasing depth from a perimeter of the array of the grooves towards a center of the array of the grooves (FIG. 2).
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 device of Sugama with the varying groove depths of Hsu to increase the routing possibilities as taught by Hsu. (Par. [0017]) . Combining these elements yields a predictable design enhancement that improves overall device performance without changing the basic function of Sugama.
Regarding claim 5, Sugama discloses the method of claim 3. Sugama further discloses the first set of gratings (gratings 651). Sugama fails to disclose the first set of gratings includes an array of gratings having an increasing height from a perimeter of the array of the gratings towards a center of the array of the gratings.
Hsu teaches gratings having an increasing height from a perimeter of the array of the gratings towards a center of the array of the gratings (FIG. 2. Making the trenches deeper in an would inevitably increase the height of the ridge).
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 device of Sugama with the varying grating heights of Hsu to increase the routing possibilities as taught by Hsu. (Par. [0017]) . Combining these elements yields a predictable design enhancement that improves overall device performance without changing the basic function of Sugama.
Regarding claim 12, Sugama discloses the device of claim 11. Sugama further teaches a first and second set of gratings (Grating 652 and Grating 651). Sugama fails to discloses at least one of the first set of gratings and the second set of gratings include an array of trenches with an increasing depth from a perimeter of the array of the trenches towards a center of the array of the trenches.
Hsu teaches a grating including an array of trenches (FIG. 2. openings 212, 214, 216, 218, 222) with an increasing depth from a perimeter of the array of the trenches toward a center of the array of trenches (FIG.2).
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 device of Sugama with the varying trench depths of Hsu to increase the routing possibilities as taught by Hsu (Par. [0017]). Combining these elements yields a predictable design enhancement that improves overall device performance without changing the basic function of Sugama.
Regarding claim 13, Sugama discloses the device of claim 11. Sugama further teaches a first and second set of gratings (Grating 652 and Grating 651). Sugama fails to disclose at least one of the first set of gratings and the second set of gratings includes an array of gratings having an increasing height from a perimeter of the array of the gratings towards a center of the array of the gratings.
Hsu teaches gratings having an increasing height from a perimeter of the array of the gratings towards a center of the array of the gratings (FIG. 2. Making the trenches deeper in an would inevitably increase the height of the ridge).
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 device of Sugama with the varying grating heights of Hsu to increase the routing possibilities as taught by Hsu (Par. [0017]). Combining these elements yields a predictable design enhancement that improves overall device performance without changing the basic function of Sugama.
Regarding claim 17, Sugama discloses the device of claim 16. Sugama further teaches a first and second set of gratings (Grating 652 and Grating 651). Sugama fails to disclose at least one of the first set of gratings and the second set of gratings include an array of grooves with an increasing depth from a perimeter of the array of the trenches towards a center of the array of the trenches.
Hsu teaches a grating including an array of grooves (openings 212, 214, 216, 218, 222) with an increasing depth from a perimeter of the array of the trenches toward a center of the array of trenches (FIG.2).
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 device of Sugama with the varying grooves depths of Hsu to increase the routing possibilities as taught by Hsu (Par. [0017]). Combining these elements yields a predictable design enhancement that improves overall device performance without changing the basic function of Sugama.
Regarding claim 18, Sugama discloses the device of claim 16. Sugama further teaches a first and second set of gratings (Grating 652 and Grating 651). Sugama fails to disclose at least one of the first set of gratings and the second set of gratings includes an array of gratings having an increasing height from a perimeter of the array of the gratings towards a center of the array of the gratings.
Hsu teaches gratings having an increasing height from a perimeter of the array of the gratings towards a center of the array of the gratings (FIG. 2. Making the trenches deeper in an would inevitably increase the height of the ridge).
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 device of Sugama with the varying grating heights of Hsu to increase the routing possibilities as taught by Hsu (Par. [0017]). Combining these elements yields a predictable design enhancement that improves overall device performance without changing the basic function of Sugama.
Claims 6 and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Sugama (US20170115456A1) in view of Fang et al. (CN110824612A), hereafter Fang.
Regarding claim 6, Sugama discloses the method of claim 2. Sugama further discloses a second set of gratings (gratings 452 and 652). Sugama fails to disclose forming of the second set of gratings in the grating layer comprises patterning the cladding layer to provide second trenches, and depositing the grating layer on the cladding layer, wherein a portion of the grating layer fills the second trenches to form the second set of gratings.
Fang teaches forming of the second set of gratings in the grating layer comprises patterning the cladding layer to provide second trenches (Par. [801]: etching the multiple slots on the cladding, the groove is used for preparing the second tooth of the waveguide grating I), and depositing the grating layer on the cladding layer, wherein a portion of the grating layer fills the second trenches to form the second set of gratings (Par. [801]: depositing a layer of α Si, 10 h to form the polysilicon layer is annealed at 560 degrees centigrade, initially forming a second waveguide grating structure).
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 method of forming a second grating of Sugama with the method of forming a second grating of Fang because a person of ordinary skill in the art would have recognized Fang's trench-patterning and deposition method as a standard, predictable technique for fabricating waveguide gratings, improving structural stability and manufacturing reliability. Fang's method of etching slots in a cladding layer and depositing a grating material provides a well-known, reliable way to form precise grating structures. Selecting Fang's specific deposition and patterning technique is a matter of routine engineering design to achieve proper alignment and filling.
Regarding claim 9, Sugama discloses the method of claim 8. Sugama further discloses etching (Par. [0066]: dry etching so as to form a grating 451) third trenches (451. FIG. 11B. Par. [0066]) before forming the first layer (polycrystalline Si layer 471) of the multilayered structure (FIG. 14L), wherein the forming of the first layer (polycrystalline Si layer 471) of the multilayered structure after the etching of the third trenches into the cladding layer fills the third trenches to form a third set of gratings (Grating 451. Par. [0066]). Sugama fails to disclose the trenches are etched into the cladding layer forming the first layer on the cladding layer.
Fang teaches trenches etched into the cladding layer (Par. [801]) forming a layer on the cladding layer (FIG. 4-12).
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 method of forming the third trenches of Sugama with the method of forming the trenches in the cladding layer of Fang because doing so provides a routine and predictable way to improve optical coupling, enhance structural stability, and better align the grating elements within the integrated optical waveguide layout. Etching directly into the cladding creates a robust anchor for subsequent layers.
Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Sugama (US20170115456A1).
Regarding claim 8, Sugama discloses the method of claim 7. Sugama further disclose forming the first set of gratings and the second set of gratings comprises: etching (Par. [0067]: dry etching so as to form a grating 452) first trenches (FIG. 12D. Gratings 452) into a first layer (polycrystalline Si layer 471) of the multilayered structure for the grating layer (FIG. 14L); depositing a second layer (polycrystalline Si layer 472) of the multilayered structure onto the first layer of the multilayered structure for the grating layer (FIG. 13G), wherein portions of the second layer filling the first trenches in the first layer provide the second set of gratings (Par. [0069]); and forming second trenches in an upper surface of the second layer to provide the first set of gratings (Gratings 453 FIG. 13I). FIG. 11A- 14L of Sugama fails to disclose the portions of the second layer fill the trenches in the first layer providing a second set of gratings.
However, FIGs. 16A-16D of Sugama disclose portions of a second layer (631) fill in the trenches (FIG. 16C) in the first layer (632) providing a first, second and third set of multilevel gratings.
Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to combine the multilayer grating formation techniques of Figures 16A-16D with the embodiment of Figures 11A-14L to achieve the dual-layer grating structure of claim 8 with a reasonable expectation of success. Both embodiments in Sugama relate to forming multilevel or multi-layer gratings using silicon layers and etching processes. Applying the trench-filling technique from one embodiment (FIGS. 16A-16D) to another (FIGS. 11A-14L) is a simple matter of substituting or combining known manufacturing steps.
Claim 14 is rejected under 35 U.S.C. 103 as being unpatentable over Sugama (US20170115456A1) in view of Gambino et al. (US9715064B1), hereafter Gambino.
Regarding claim 14, Sugama discloses the device of claim 11. Sugama further discloses the single grating layer (FIG. 16A.Polycrystalline Si layer 64) and a waveguide joining portion (FIG. 19A). Sugama fails to disclose the single grating layer has a reducing tapered width towards a waveguide joining portion.
Gambino teaches the single grating layer has a reducing tapered width towards a waveguide joining portion (FIG. 3A and 3B).
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 device of Sugama with the tapered width of the gratings towards the waveguide to prevent abrupt optical power transitions, with an expectation of predictable results such as, improve coupling efficiency.
Claims 10 and 15 are rejected under 35 U.S.C. 103 as being unpatentable over Sugama (US20170115456A1) in view of Kim et al. (US20110038588A1), hereafter Kim.
Regarding claim 10 and 15, Sugama discloses the device and method of claims 1 and 11. Sugama further discloses a cladding layer (lower clad layer 62). Sugama fails to disclose a mirror layer is present on the cladding layer.
Kim teaches a mirror layer (Reflector 615) is present on the cladding layer (FIG. 6. Lower cladding layer 610).
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 device of Sugama with the reflector of Kim to increase the coupling efficiency as taught by Kim (Par. [0065]). A person of ordinary skill in the art would have readily combined Sugama's cladding structure with Kim’s reflector layer using standard semiconductor fabrication techniques to improve performance, with the predictable result of achieving enhanced light confinement and reflection without unexpected or unpredictable consequences.
Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Sugama (US20170115456A1) in view of Chang et al. (US20210271023A1), hereafter Chang.
Regarding claim 20, Sugama discloses the device of claim 16. Sugama further discloses a first majority of the first set of gratings (Grating 651) is horizontally offset (FIG. 16A) from a second majority of the second set of gratings (Grating 652). Sugama fails to disclose at least a first edge grating of the first set of gratings and at least a second edge grating of the second set of gratings horizontally overlap at a substantially middle portion of the optical device (This is interpreted as parallel set of lines or grooves).
Chang teaches at least a first edge grating of the first set of gratings (grating segment 105a) and at least a second edge grating of the second set of gratings (grating segment 105b) horizontally overlap at a substantially middle portion of the optical device (FIG. 2A and 2B).
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 device of Sugama with the horizontal grating arrangement of Chang to achieve predictable optical performance. A person of skill in the art would modify Sugama's offset gratings with Chang's overlapping edge arrangement to improve light coupling efficiency, reduce diffraction gaps, and maintain uniform beam distribution across the optical device.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure:
Vaerenbergh et al. (US-20200341200-A1) see entire disclosure.
Bian et al (US-20240419022-A1) 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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