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 .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on January 9, 2026 has been entered.
Response to Arguments
Applicant's arguments filed January 9, 2026 have been fully considered but they are not persuasive. Applicant argues that the amendment to Claims 21 and 30 overcomes the art of record. Examiner disagrees. Liu teaches in Fig. 5 the high contrast grating structure is configured to enable applying two different voltages to at least two different portions within the high contrast grating structure. Page 7 Paragraph 1 “the first half-ring conductive region 61 and the second half-ring conductive region 62 are applied with different voltages, easy to breakdown”. See the rejection below for complete rejection. For the given reasons Examiner does not find Applicant’s arguments persuasive.
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claims 21-23, 25-30, 32-34, 36-40 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Liu CN 113054531.
Regarding claim 21, Liu teaches An optical device (Fig. 4) comprising:
an optical source (Fig. 4, 4 Page 7 Paragraph 6 of translation “Correspondingly, the present embodiment provides a tunable vertical cavity surface emitting laser, referring to FIG. 4, comprising: a substrate layer 2; a gain structure 4 located on the substrate layer 2;”); and
a modulator on the optical source (Fig. 4, 8 Page 8 Paragraph 9 of translation “the refractive index change of the gate main body can modulate the reflection rate and reflection bandwidth and reflection center wavelength of the whole grating layer, so as to realize the tuning of the vertical cavity surface emitting laser emitting laser wavelength.” 8 is shown to be on 4),
wherein the modulator comprises a high contrast grating structure comprising a plurality of grating lines, and (Page 6 Paragraph 4 of translation “Referring to FIG. 3, a grating layer 8 is formed on one side of the gain structure 4 facing away from the substrate layer 2. The grating layer 8 comprises a plurality of grating main bodies 81 and a grating gap 82 between the adjacent gate main bodies 81.”)
wherein the grating lines comprise Pockels material. (Page 7 Paragraph 3 of translation “The material of the gate body 81 includes a lithium niobate crystal or a potassium niobate crystal.” See pertinent art #1 showing lithium niobate crystal to be Pockels material)
wherein the high contrast grating structure comprises a periodic or quasi-periodic structure (Figs. 4 & 5 shows the high contrast grating structure 8 having a periodic or quasi-periodic structure) of alternating low and high refractive index (RI) elements (Figs. 4 & 5 show the high contrast grating 8 alternating between element 81 which is made of lithium niobate and element 82 which is made of air. The refractive index of air is very close to 1 and is the low refractive index element. Lithium niobate has a refractive index greater than 2 depending on the wavelength and is the high refractive index element. See pertinent art #4 for the index of refraction of Lithium niobate.)and,
wherein the high contrast grating structure is configured to enable applying two different voltages to at least two different portions within the high contrast grating structure. (Page 7 Paragraph 1 “the first half-ring conductive region 61 and the second half-ring conductive region 62 are applied with different voltages, easy to breakdown” With 61 applying one voltage and 62 applying a second voltage the edges of the high contrast grating structures will have at least two different voltages in at least to portions of the high contrast grating structures.)
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Regarding claim 22, Liu teaches at least one grating line of the plurality of grating lines comprises a contact. (Fig. 4 & 5, 6 Page 7 Paragraph 1 of translation “the first half-ring conductive region 61 and the second half-ring conductive region 62 are applied with different voltages, easy to breakdown; the size of the first insulating layer 9 along the circumferential direction of the first electrode layer 6 is less than or equal to 4 microns, so that the first electrode layer 6 and the gate main body 81 contact area, so that the first electrode layer 6 can better power modulation gate main body 81.”)
Regarding claim 23, Liu teaches the modulator is operable to reflect optical signals from the optical source back towards the optical source when a voltage is applied to the contact. (Page 8 Paragraph 9 of translation “In this embodiment, the material of the gate main body is electro-optical material, the first electrode layer 6 is adapted to the gate main body modulation, capable of adjusting the refractive index of the gate main body. the reflection rate and the reflection bandwidth of the whole grating layer and the reflection center wavelength are the same with the period of the gate main body;”)
Regarding claim 25, Liu teaches the plurality of grating lines comprises sub-wavelength dimensions in at least one dimension. (Page 7 Paragraph 2 of translation “The grating layer 8 is a sub-wavelength grating structure.”)
Regarding claim 26, Liu teaches the optical source comprises a vertical-cavity surface-emitting laser (VCSEL), a photonic-crystal surface-emitting laser (PCSEL), or a high-order distributed feedback (DFB) laser. (Page 7 Paragraph 6 of translation “Correspondingly, the present embodiment provides a tunable vertical cavity surface emitting laser, referring to FIG. 4”)
Regarding claim 27, Liu teaches a refractive index associated with the modulator is configured by one or more of: a width of the grating lines, a spacing between the grating lines, and a periodicity of the grating lines. (It is inherent to a grating that the refractive index will change depending on the width of the grating lines, the spacing between the lines and the periodicity of the grating lines. As such the refractive index associated with the modulator is configured by the width of the grating lines, the spacing between the grating lines and the periodicity of grating lines)
Regarding claim 28, Liu teaches the modulator is configured to provide phase modulation to incident beams or waves coupled into the modulator based on an adjustment to the refractive index (RI) associated with the modulator. (Page 8 Paragraph 9 “the refractive index change of the gate main body can modulate the reflection rate and reflection bandwidth and reflection center wavelength of the whole grating layer, so as to realize the tuning of the vertical cavity surface emitting laser emitting laser wavelength.”)
Regarding claim 29, Liu teaches the modulator is configured to provide polarization modulation to incident beams or waves coupled into the modulator. (Page 8 Paragraph 9 of translation “wherein the grating layer is suitable for selecting the polarization state of the laser. setting the grating layer as sub-wavelength grating structure is to obtain the polarized light output, the structure can perform polarization selection and replace or partially replace the top Bragg reflector to serve as a reflective layer.”)
Regarding claim 30, Liu teaches An optical device comprising:
an optical source (Fig. 4, 4 Page 7 Paragraph 6 of translation “Correspondingly, the present embodiment provides a tunable vertical cavity surface emitting laser, referring to FIG. 4, comprising: a substrate layer 2; a gain structure 4 located on the substrate layer 2;”); and
a modulator on the optical source (Fig. 4, 8 Page 8 Paragraph 9 of translation “the refractive index change of the gate main body can modulate the reflection rate and reflection bandwidth and reflection center wavelength of the whole grating layer, so as to realize the tuning of the vertical cavity surface emitting laser emitting laser wavelength.” 8 is shown to be on 4),
wherein the modulator comprises:
a high contrast grating structure comprising a plurality of grating lines (Page 6 Paragraph 4 of the translation “Referring to FIG. 3, a grating layer 8 is formed on one side of the gain structure 4 facing away from the substrate layer 2. The grating layer 8 comprises a plurality of grating main bodies 81 and a grating gap 82 between the adjacent gate main bodies 81.”) comprising a first material (Fig. 4, 82 the first material is the air between 81); and
Pockels material between or on the first material (Fig 4, 82 is between 82 Page 7 Paragraph 3 “The material of the gate body 81 includes a lithium niobate crystal or a potassium niobate crystal.” See pertinent art #1 showing lithium niobate crystal to be Pockels material); and
wherein the high contrast grating structure comprises a periodic or quasi-periodic structure (Figs. 4 & 5 shows the high contrast grating structure 8 having a periodic or quasi-periodic structure) of alternating low and high refractive index (RI) elements (Figs. 4 & 5 show the high contrast grating 8 alternating between element 81 which is made of lithium niobate and element 82 which is made of air. The refractive index of air is very close to 1 and is the low refractive index element. Lithium niobate has a refractive index greater than 2 depending on the wavelength and is the high refractive index element. See pertinent art #4 for the index of refraction of Lithium niobate.)
wherein the high contrast grating structure is configured to enable applying two different voltages to at least two different portions within the high contrast grating structure. (Page 7 Paragraph 1 “the first half-ring conductive region 61 and the second half-ring conductive region 62 are applied with different voltages, easy to breakdown” With 61 applying one voltage and 62 applying a second voltage the edges of the high contrast grating structures will have at least two different voltages in at least to portions of the high contrast grating structures.)
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Regarding claim 32, Liu teaches the first material comprises a dielectric material. (Air is a dielectric material)
Regarding claim 33, Liu teaches at least one grating line of the plurality of grating lines comprises a contact. (Fig. 4 & 5, 6 Page 7 Paragraph 1 of translation “the first half-ring conductive region 61 and the second half-ring conductive region 62 are applied with different voltages, easy to breakdown; the size of the first insulating layer 9 along the circumferential direction of the first electrode layer 6 is less than or equal to 4 microns, so that the first electrode layer 6 and the gate main body 81 contact area, so that the first electrode layer 6 can better power modulation gate main body 81.”)
Regarding claim 34, Liu teaches the modulator is operable to reflect optical signals from the optical source back towards the optical source when a voltage is applied to the contact. (Page 8 Paragraph 9 of translation “In this embodiment, the material of the gate main body is electro-optical material, the first electrode layer 6 is adapted to the gate main body modulation, capable of adjusting the refractive index of the gate main body. the reflection rate and the reflection bandwidth of the whole grating layer and the reflection center wavelength are the same with the period of the gate main body;”)
Regarding claim 36, Liu teaches the plurality of grating lines comprises sub-wavelength dimensions in at least one dimension. (Page 7 Paragraph 2 “The grating layer 8 is a sub-wavelength grating structure.”)
Regarding claim 37, Liu teaches the optical source comprises a vertical-cavity surface-emitting laser (VCSEL), a photonic-crystal surface-emitting laser (PCSEL), or a high-order distributed feedback (DFB) laser. (Page 7 Paragraph 6 “Correspondingly, the present embodiment provides a tunable vertical cavity surface emitting laser, referring to FIG. 4”)
Regarding claim 38, Liu teaches a refractive index associated with the modulator is configured by one or more of: a width of the grating lines, a spacing between the grating lines, and a periodicity of the grating lines. (It is inherent to a grating that the refractive index will change depending on the width of the grating lines, the spacing between the lines and the periodicity of the grating lines. As such the refractive index associated with the modulator is configured by the width of the grating lines, the spacing between the grating lines and the periodicity of grating lines)
Regarding claim 39, Liu teaches the modulator is configured to provide phase modulation to incident beams or waves coupled into the modulator based on an adjustment of the refractive index associated with the modulator. (Page 8 Paragraph 9 of translation “the refractive index change of the gate main body can modulate the reflection rate and reflection bandwidth and reflection center wavelength of the whole grating layer, so as to realize the tuning of the vertical cavity surface emitting laser emitting laser wavelength.”)
Regarding claim 40, Liu teaches the modulator is configured to provide polarization modulation to incident beams or waves coupled into the modulator. (Page 4 Paragraphs 9-10 “wherein the grating layer is suitable for selecting the polarization state of the laser. setting the grating layer as sub-wavelength grating structure is to obtain the polarized light output, the structure can perform polarization selection and replace or partially replace the top Bragg reflector to serve as a reflective layer.”)
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 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.
Claims 24, 31, 35 are rejected as being unpatentable over 35 U.S.C. 103 over Liu in view of Qiao et al. US 20210167580
Regarding claim 24, Liu does not teach the modulator is operable to deflect optical signals received from the optical source at a tunable angle from perpendicular to a surface of the modulator based on a voltage applied to the contact.
However,
Qiao teaches the modulator is operable to deflect optical signals received from the optical source at a tunable angle from perpendicular to a surface of the modulator based on a voltage applied to the contact. (Claim 44 “The apparatus or method of any preceding embodiment, wherein the at least one said vertical cavity surface emitting laser (VCSEL) comprises a VCSEL array over which said top side high contrast gratings (HCGs) are integrated; and wherein said apparatus is configured to provide beam steering and polarization switching by electrically addressing either individually, and/or in groups, the VCSELs within the VCSEL.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the laser device as taught by Liu by having the modulator deflect optical source based on voltage applied to the contact as disclosed by Qiao. One of ordinary skill in the art would have been motivated to make this modification in order to change the far field patterns of the light. (Qiao Paragraphs 0104-0105)
Regarding claim 31, Liu does not teach the first material comprises a semiconductor.
However,
Qiao teaches the first material comprises a semiconductor. (Fig. 4B show the grating material 196. the first material in between 196 labeled as 194 Paragraph 0059 “It should be appreciated that the refractive indices n1, n2 and n3 can theoretically be any values, while more preferably the values of n1, n2 and n3 are more typically among 1.5 (SiO2), 1.8 (Al2O3), 2.0 (SiNx), 2.9 (AlAs), 3.2 (AlGaAs or InGaP), 3.5 (GaAs) or in a similar range.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the first material as taught by Liu by having the first material be a semiconductor as disclosed by Qiao. The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945) MPEP 2144.07. The reference has demonstrated air being the first material or a semiconductor being the first material can be low index material between the grating material (See Fig. 4A 174 showing air as the in between material and Fig. 4B 194 showing semiconductor material as the in between material)
Regarding claim 35, Liu does not teach the modulator is operable to deflect optical signals received from the optical source at a tunable angle from perpendicular to a surface of the modulator based on a voltage applied to the contact.
However,
Qiao teaches the modulator is operable to deflect optical signals received from the optical source at a tunable angle from perpendicular to a surface of the modulator based on a voltage applied to the contact. (Claim 44 “The apparatus or method of any preceding embodiment, wherein the at least one said vertical cavity surface emitting laser (VCSEL) comprises a VCSEL array over which said top side high contrast gratings (HCGs) are integrated; and wherein said apparatus is configured to provide beam steering and polarization switching by electrically addressing either individually, and/or in groups, the VCSELs within the VCSEL.”)
It would have been obvious for one of ordinary skill in the art before the effective filing date of the claimed invention to have modified the laser device as taught by Liu by having the modulator deflect optical source based on voltage applied to the contact as disclosed by Qiao. One of ordinary skill in the art would have been motivated to make this modification in order to change the far field patterns of the light. (Qiao Paragraphs 0104-0105)
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
https://web.archive.org/web/20210723213259/https://www.rp-photonics.com/pockels_effect.html
US 20220209502 shows many features claimed in Claim 21 & 30
Connie J. Chang-Hasnain and Weijian Yang, "High-contrast gratings for integrated optoelectronics," Adv. Opt. Photon. 4, 379-440 (2012) “Recently, we discovered a new near-wavelength grating structure in which the high-index grating is fully surrounded by low-index materials, referred to as a high-contrast grating (HCG)”
https://web.archive.org/web/20210508154552/https://refractiveindex.info/?shelf=main&book=LiNbO3&page=Zelmon-e#google_vignette
Connie J. Chang-Hasnain and Weijian Yang, "High-contrast gratings for integrated optoelectronics," Adv. Opt. Photon. 4, 379-440 (2012) Fig. 1(a) shows air used as the low index medium “Figure 1 shows the schematic of a generic HCG, with air as the low-index medium on top and between the grating bars,”
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/STEPHEN SUTTON KOTTER/Examiner, Art Unit 2828
/MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828