CTNF 18/604,482 CTNF 101381 DETAILED ACTION Notice of Pre-AIA or AIA Status 07-03-aia AIA 15-10-aia The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA. Election/Restrictions Applicant’s election without traverse of Species D, Sub-Species II (Claims 1-3, 8-9, and 16-20) in the reply filed April 16, 2026 is acknowledged. Claims 4-7 and 10-15 have been withdrawn from further consideration, pursuant to 37 CFR 1.142(b) as being drawn to nonelected Invention and/or Species. Accordingly, claims 1-3, 8-9, and 16-20 will be examined. Drawings Thirteen (13) sheets of drawings were filed on March 13, 2024. 06-36 AIA The drawings are objected to under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the “third coupler” must be shown or the feature(s) canceled from the claim(s). No new matter should be entered. Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance. Specification Applicant’s cooperation is requested in correcting any errors of which applicant may become aware in the specification. Claim Rejections - 35 USC § 112 07-30-02 AIA The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. 07-34-01 Claim 20 is rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Regarding claim 20 , The limitation “and the third coupler positioned in a proximity outside the edge facet and configured to collect a light signal with multiplexed wavelengths from an external device and couple the light signal to the second image, the multiplexed wavelengths comprising all different wavelengths of the multiple output lights” renders the claim indefinite because if the third coupler is configured to collect multiplexed light signal from an external device and couple it into the second coupler’s image spot, it acts as an input (multiplexer). It cannot simultaneously act as the extraction point for demultiplexing. The scope of claim 20 is unclear as discussed above. As a result, a meaningful formulation of art rejections cannot be done at this time. See MPEP 2173.06 II, 2 nd paragraph: … where there is a great deal of confusion and uncertainty as to the proper interpretation of the limitations of a claim, it would not be proper to reject such a claim on the basis of prior art . … a rejection under 35 U.S.C. 103 should not be based on considerable speculation about the meaning of terms employed in a claim or assumptions that must be made as to the scope of the claims. Claim 20 has not been further considered with respect to prior art. This is not an indication of allowable subject matter. Claim Rejections - 35 USC § 102 07-06 AIA 15-10-15 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. 07-07-aia AIA 07-07 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 – 07-08-aia AIA (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. 07-15 AIA Claim s 1-3 are rejected under 35 U.S.C. 102( a)(1 ) as being anticipated by Delisle et al. (US 20010033714 A1), hereafter Delisle . Regarding claim 1, Delisle discloses an apparatus (FIG.2) comprising: a first coupler (Star coupler 16) formed on a substrate (substrate 22) coupled with multiple waveguides spaced apart (Par. [003]) respectively to channel multiple input lights (Waveguides 18) with different wavelength (FIG. 2) ; a wavelength dispersive device (grating of arrayed waveguides 14) formed on the substrate (FIG. 2) and configured to diffract the multiple input lights to generate an image of diffracted lights coincident at a spot on a focal line associated with the wavelength dispersive device (as the wavelength dispersive device separates light via diffraction and directs light to a specific focal line, each wavelength focused to distinct corresponding spot along the focal line and creating an optical image composed of separated spectral components. The word image refers to the spatial focusing of the diffracted wavelengths at the specific focal spot. This limitation is merely a description of the core function of any arrayed waveguide grating); and a second coupler (FIG. 3. Lens 30) positioned in a proximity outside of the substrate (FIG.2) and configured to out-couple light with multiplexed wavelengths (Par. [003]: If the device was operated in reverse it would have to pass through the lens 30 to be outcoupled to the optical fiber 10) directly from the image at the spot on the focal line to an external optical device (Optical fiber 10) , the multiplexed wavelengths comprising all different wavelengths (waveguide 10) of the multiple input lights. (The device can be operated in reverse according as depicted in Par. [003]). Delisle teaches a structure that is substantially identical to that of the claimed invention, therefore the claimed properties and functions are presumed to be necessarily present. The burden is on the applicant to show that the device of Delisle does not possess and is not capable of these functional characteristics or properties. See MPEP 2112.01. Regarding claim 2 , Delisle discloses the device of claim 1. Delisle further discloses the wavelength dispersive device comprises arrayed waveguides (grating of array of waveguides 14) with varying lengths (Par. [0002]: Grating 14 separating different wavelengths) respectively from multiple input ends (23) to multiple output ends (21), the multiple input ends of the arrayed waveguides being configured to receive the multiple input lights through a first planar region (17), the multiple output ends being configured to focus the diffracted lights through a second planar region on the to a spot on the focal line (This is the fundamental operating principle of an arrayed waveguide grating) . Regarding claim 3, Delisle discloses the device of claim 1. Delisle further discloses the wavelength dispersive device (grating of array of waveguides 14: An AWG is a chip) is a chip device comprising at least an edge facet in vertical direction relative to the substrate (Par [0020]) . Claim Rejections - 35 USC § 103 07-06 AIA 15-10-15 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. 07-20-aia AIA 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. 07-21-aia AIA Claims 8-9 are r ejected under 35 U.S.C. 103 as being unpatentable over D elisle et al. (US 20010033714 A1 - hereafter Delisle ‘714) as applied to claim 1 above, and in view of Delisle et al (US 6701043 B2), hereafter Delisle ‘043. R egarding claim 8, Delisle ‘714 discloses the device of claim 1. Delisle further discloses a second coupler (FIG. 3. Lens 30) . Delisle ‘714 fails to disclose the second coupler comprises a polarization beam combiner with lensing means configured to combine the separated incoming transverse electric (TE) and transverse magnetic (TM) polarized components of multiplexed wavelength light from a birefringent wavelength dispersive device onto the external optical device. Delisle ‘043 teaches the second coupler (Lense 30) comprises a polarization beam combiner with lensing means configured to combine the separated incoming transverse electric (TE) and transverse magnetic (TM) polarized components of multiplexed wavelength light from a birefringent wavelength dispersive device onto the external optical device (FIG. 6B and 6C. Column 5 lines 65-Column 6 lines 22) . 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 TE and TM polarized components onto the external optical device. Recombining these split components yields a predictable outcome—the restoration of the multiplexed signal into a single output mode or waveguide, maximizing optical efficiency. Regarding claim 9, Delisle discloses the device of claim 1. Delisle further discloses multiple waveguides (18) associated with the first coupler (Star coupler 16 ) and the wavelength dispersive device (grating of arrayed waveguides 14). Delisle fails to disclose the multiple waveguides associated with the first coupler and the wavelength dispersive device comprise one or more types of waveguide structures with a single core or multiple cores selected from Si, SiN, and SiON in a cladding of SiOx. Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art to us single core or multicore waveguides selected from Si, SiN, and SiON in a cladding of SiOx. Utilizing SiOx as cladding was the universally accepted foundation for integrated optics. Because SiOx has a much lower refractive index than the core materials Si, SiN, SiON, it provides the essential optical confinement needed for waveguides to function. Applying this cladding to the aforementioned cores is a standard, predictable implementation. The choice between a single-core or multicore (e.g., segmented or strip-loaded) structure is a classic engineering optimization problem. A person of ordinary skill in the art seeking to adjust mode confinement, manage polarization, or reduce dispersion would view single and multicore variations as routine design options that can be calculated and implemented using well-established optical physics principles 07-21-aia AIA Claim s 16-19 are rejected under 35 U.S.C. 103 as being unpatentable over Tabuchi (US7130504B2) in view of Delisle et al. (US 20010033714 A1) . Regarding claim 16, Tabuchi discloses an apparatus (FIG. 12 and 22) comprising: a first coupler (Input slab 603) formed on a substrate (substrate 601) coupled with multiple waveguides spaced apart respectively to channel multiple input lights with different wavelengths (Column 11 lines 13-21) ; a wavelength dispersive device (Channel waveguide 604) formed on the substrate (substrate 601) and configured to diffract (Column 8 lines 58-63) the multiple input lights to generate a first image of diffracted lights coincident to a spot on a focal line (boundary 52: Column 13 Lines 8-15; as the wavelength dispersive device that separates light via diffraction and directs light to a specific focal line, each wavelength focused to distinct corresponding spot along the focal line and creating an optical image composed of separated spectral components. The word image refers to the spatial focusing of the diffracted wavelengths at the specific focal spot. This limitation is merely a description of the core function of any arrayed waveguide grating) ; a second coupler (output slab pattern 605) comprising an array of tapered (waveguides 6T. Column 13 lines 16-27) formed on the substrate to connect the focal line to an edge facet of the wavelength dispersive device (Boundary 54) , generating a second image (The word image refers to the spatial focusing of the diffracted wavelengths) at the edge facet based on the first image at the spot on the focal line (Column 13 Lines 8-15. Rowland circle setup produces multiple images and focuses light into multiple points, corresponding to different wavelengths and diffraction orders); and a third coupler (Lens 2200) positioned in a proximity outside the edge facet (FIG. 22) and configured to collect a light signal from the second image (Boundary 54: The word image refers to the spatial focusing of the diffracted wavelengths ) and couple the light signal into an external device (optical-electrical conversion unit 140) , comprising all different wavelength of the multiple input lights (abstract). Tabuchi fails to disclose it the third coupled configured to collect a light signal is multiplexed. Delisle teaches the third coupler (Lens 30) configured to collect a light signal, is multiplexed (FIG.2 Column. Par.[0003]: If the device was operated in reverse it would have to pass through the lens 30). 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 third coupler to collect and couple a multiplexed light signal. Arrayed Waveguide Gratings (AWGs) inherently operate as both multiplexing and demultiplexing devices. Because their optical routing is completely reciprocal, the same AWG can be used at the transmitter to combine multiple wavelengths and at the receiver to separate them . Delisle teaches the use of multiplexed light signals at the output stage. A person of ordinary skill in the art seeking to increase bandwidth, reduce system footprint, or maximize fiber capacity would be motivated to apply Delisle’s multiplexing to Tabuchi's apparatus. By substituting or adapting Tabuchi's third coupler to handle a multiplexed signal, the system benefits from the combined advantages of Tabuchi’s precise wavelength dispersion and Delisle’s efficient multiplexing output architecture. Regarding claim 17 , Tabuchi/Delisle discloses the device of claim 16. Tabuchi further discloses the wavelength dispersive device (Channel waveguide 604) comprises arrayed waveguides (FIG. 12) with varying lengths respectively from multiple input ends to multiple output ends (Column 13 lines 16-19) , the multiple input ends of the arrayed waveguides being configured to receive the multiple input lights through a first planar region (The input slab 603 is a planar region) , the multiple output ends being configured to focus the diffracted (Column 8 lines 58-63) lights through a second planar region (output slab pattern 605 is a planar region) to a spot on the focal line (boundary 52: Column 13 Lines 8-15) . Regarding claim 18, Tabuchi/Delisle discloses the device of claim 16. Tabuchi further discloses the multiple waveguides associated with at least one of the first coupler, the wavelength dispersive device, and the tapered waveguides, comprise one or more types of waveguide structures selected from a SiN core in SiOx cladding, a SiON core in SiOx cladding, a Si core in SiOx cladding, multiple SiN cores in SiOx cladding, and multiple SiON cores in SiOx cladding (Column 9 lines 15-35). Regarding claim 19, Tabuchi/Delisle discloses the device of claim 16. Tabuchi discloses the array of tapered waveguides comprises five or more tapered waveguides formed in the SiN/SiOx material system (FIG.12. Column 9 lines 15-35). Tabuchi/Delisle fails to disclose each tapered waveguide having a length in a range of 30-300 um and being tapered down from a width of 0.2-2.0 um range to a width of 0.0-0.2 um range. Before the effective filing date of the present invention, it would have been obvious to a person of ordinary skill in the art would have known to modify the device of Tabuchi/Delisle with the claim dimensions achieve specific performance goals, such as adiabatic mode conversion or efficient coupling. Since SiN/SiO waveguides exhibit high index contrast, optimizing the taper length and start/end widths is a standard engineering step to prevent the undesirable scattering and mode-mixing that commonly occur in abruptly terminated or improperly scaled waveguide structures. A person of ordinary skill in the art could arrived at the claimed dimension through routine optimization and experimentation. Conclusion 07-96 The prior art made of record and not relied upon is considered pertinent to applicant’s disclosure: ➢ Dragone et al. (US 6263127 B1) see the entire disclosure. ➢ Kaneko et al. (US 20020057875 A1) see the entire disclosure. 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If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /TAJANAE NICOLE GREEN/Examiner, Art Unit 2874 /UYEN CHAU N LE/Supervisory Patent Examiner, Art Unit 2874 Application/Control Number: 18/604,482 Page 2 Art Unit: 2874 Application/Control Number: 18/604,482 Page 3 Art Unit: 2874 Application/Control Number: 18/604,482 Page 4 Art Unit: 2874 Application/Control Number: 18/604,482 Page 5 Art Unit: 2874 Application/Control Number: 18/604,482 Page 6 Art Unit: 2874 Application/Control Number: 18/604,482 Page 7 Art Unit: 2874 Application/Control Number: 18/604,482 Page 8 Art Unit: 2874 Application/Control Number: 18/604,482 Page 9 Art Unit: 2874 Application/Control Number: 18/604,482 Page 10 Art Unit: 2874 Application/Control Number: 18/604,482 Page 11 Art Unit: 2874 Application/Control Number: 18/604,482 Page 12 Art Unit: 2874
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