CTNF 18/658,564 CTNF 87139 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. 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 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 May 8, 2024. The earliest effective filing date of this AIA application is seen as May 8, 2023, the date of the earliest priority application (CHINA 202310512917.9) for any claims which are fully supported under 35 U.S.C. 112(a) by the parent application. The effective filing date of this AIA application is seen as May 8, 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): Office Application App. Date Pub. # Pub. Date CN 202310512917 05/08/2023 CN 118915231 A 11/08/2024 The claims originally filed May 8, 2024 are entered, currently outstanding, and subject to examination. This action is in response to the original filing of the same date. 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 No claims have been amended, cancelled, withdrawn, or added.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. 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 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 – 07-12-aia AIA (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. 07-15-03-aia AIA Claim s 1-3, 5-8, 11-15, and 17-20 are rejected under 35 U.S.C. § 102(a)(2) as being anticipated by U.S. Patent Application Publication No. 20240231104 of Zhao et al. (Zhao) . With respect to claim 1, Zhao discloses a diffractive optical waveguide ( title, Figs. 1A/B, 3A, 4A, 5A, & 6A inter alia, diffraction optical waveguide 100, ¶ 44 ), comprising: a total reflection layer ( waveguide substrate 101 ), wherein the total reflection layer comprises a first light propagation layer ( Fig. 1A, top layer below gratings coupling-in grating 102 and coupling-out grating 103 ) and a second light propagation layer ( per Fig. 1A and below that first layer ), which are disposed in a stacked manner ( per Fig. 1A ), a refractive index of the second light propagation layer is less than a refractive index of the first light propagation layer ( ¶ 48, "Each layer of waveguide medium 101a has a different refractive index, wherein a refractive index of an ith layer of waveguide medium 101a is ni, an air refractive index is n0, and |ni−ni−1|≥0.05, such that the diffracted light coupled out of the waveguide substrate 101 has a preset energy distribution.” Such absolute value between layers being consistent with the i th layer having a lower refractive index than the i th -1 layer. E.g., layer 2 as the i th layer has a lower refractive index than layer 1 as the i th -1 layer. Also see ¶ 72 where "each layer of waveguide medium has a refractive index of n1=1.9, n2=1.8, n3=1.7, n4=1.5 in sequence, n1>n2>n3>n4, and a refractive index difference between adjacent waveguide media is >0.05". ), and the second light propagation layer is deposited on one surface of the first light propagation layer ( per Fig. 1A ) via a deposition method ( product by process, see below ); and a coupling-in grating ( 102 ) and a coupling-out grating ( 103 ), wherein the coupling-in grating and the coupling-out grating are disposed at intervals on a side of the first light propagation layer that faces away from the second light propagation layer ( per Fig. 1A ). Under MPEP § 2113, product-by-process claims are not limited to the manipulations of the recited steps, only the structure implied by the steps. “[E]ven though product-by-process claims are limited by and defined by the process, determination of patentability is based on the product itself. The patentability of a product does not depend on its method of production. If the product in the product-by-process claim is the same as or obvious from a product of the prior art, the claim is unpatentable even though the prior product was made by a different process.” In re Thorpe , 777 F.2d 695, 698, 227 USPQ 964, 966 (Fed. Cir. 1985) (citations omitted). MPEP § 2113. Consequently, as the same structure is maintained, claim 1 is anticipated in light of Zhao. Below, this analysis is referred to as “product-by-process”. With respect to claim 2, Zhao as set forth above discloses the diffractive optical waveguide according to claim 1, including one wherein the refractive index of the first light propagation layer ranges from 1.7 to 5.0, and the refractive index of the second light propagation layer ranges from 1 to 1.7. ¶ 71 has "waveguide refractive index is n0=1.8" which places both layers in the proper ranges. With respect to claim 3, Zhao as set forth above discloses the diffractive optical waveguide according to claim 1, including one wherein the second light propagation layer is of a single-layer structure or a multi-layer structure, the multi-layer structure is a plurality of sub-film layers, which are disposed in the stacked manner, and in a direction away from the first light propagation layer, refractive indexes of the plurality of sub-film layers gradually decrease. Per the figures. With respect to claim 5, Zhao as set forth above discloses the diffractive optical waveguide according to claim 1, including one wherein the thickness of the first light propagation layer ranges from 0.1 μm to 5 mm, and the thickness of the second light propagation layer ranges from 50 nm to 2 mm. ¶ 11, "According to one aspect of the disclosure, the ith layer of waveguide medium has a thickness of hi, hi≤1 mm." With respect to claim 6, Zhao as set forth above discloses the diffractive optical waveguide according to claim 1, including one further comprising a bonding layer and/or an optical functional layer, wherein the bonding layer is disposed on a side of the first light propagation layer that is close to the gratings, and the optical functional layer is disposed on a side of the coupling-in grating and the coupling-out grating that faces away from the first light propagation layer. Both the bonding and optical functional layers are seen to be present where the bonding layer occurs at the grating and the optical function layer occurs at each waveguide layer. The place where two elements meet is seen to create the associated layer. With respect to claim 7, Zhao as set forth above discloses the diffractive optical waveguide according to claim 6, including one wherein at least one of the following conditions are satisfied: the thickness of the bonding layer ranges from 0.5 nm to 1 μm; the heights of coupling-in grating and the coupling-out grating respectively range from 50 nm to 5000 nm ( see below ); the refractive index of the coupling-in grating and the coupling-out grating respectively range from 1.5 to 2.1; the thickness of the optical functional layer ranges from 20 nm to 500 nm; and the optical functional layer is made from titanium dioxide, aluminum, silicon nitride or hafnium dioxide. Zhao ¶¶ 46, 47 indicated nanoimprinting for the gratings which is between 50 nm to 5000 nm in height. With respect to claim 8, Zhao as set forth above discloses a method for preparing a diffractive optical waveguide, comprising: depositing a second light propagation layer on one surface of a first light propagation layer, so as to obtain a total reflection layer, wherein a refractive index of the second light propagation layer is less than a refractive index of the first light propagation layer; and forming a coupling-in grating and a coupling-out grating on a side of the first light propagation layer that faces away from the second light propagation layer. The method of claim 8 is naturally achieved by the making of a device according to claim 1. With respect to claim 11, Zhao as set forth above discloses the method according to claim 8, including one wherein the method for forming the coupling-in grating and the coupling-out grating is imprinting or etching. See claim 7. Zhao ¶¶ 46, 47 indicated nanoimprinting for the gratings. With respect to claim 12, Zhao as set forth above discloses the method according to claim 8, including one further comprising the step of forming a bonding layer and/or an optical functional layer, wherein the bonding layer is formed on a side of the first light propagation layer that is close to the gratings, and the optical functional layer is formed on a side of the coupling-in grating and the coupling-out grating that faces away from the first light propagation layer. Per claim 6, above. With respect to claim 13, Zhao as set forth above discloses an augmented reality display device ( ¶ 91, "In some embodiments, the near-eye display device is an Augmented Reality display device or a Virtual Reality display device, wherein the Augmented Reality display device includes, but is not limited to, Augmented Reality (AR) glasses, a vehicle-mounted head-up display (HUD), and the like." ), including one comprising a diffractive optical waveguide, wherein the diffractive optical waveguide comprises: a total reflection layer, wherein the total reflection layer comprises a first light propagation layer and a second light propagation layer, which are disposed in a stacked manner, a refractive index of the second light propagation layer is less than a refractive index of the first light propagation layer, and the second light propagation layer is deposited on one surface of the first light propagation layer via a deposition method; and a coupling-in grating and a coupling-out grating, wherein the coupling-in grating and the coupling-out grating are disposed at intervals on a side of the first light propagation layer that faces away from the second light propagation layer. The remainder per claim 1, above. With respect to claim 14, Zhao as set forth above discloses the augmented reality display device according to claim 13, including one wherein the refractive index of the first light propagation layer ranges from 1.7 to 5.0, and the refractive index of the second light propagation layer ranges from 1 to 1.7. Per claim 2, above. With respect to claim 15, Zhao as set forth above discloses the augmented reality display device according to claim 13, including one wherein the second light propagation layer is of a single-layer structure or a multi-layer structure, the multi-layer structure is a plurality of sub-film layers, which are disposed in the stacked manner, and in a direction away from the first light propagation layer, refractive indexes of the plurality of sub-film layers gradually decrease. Per claim 3, above. With respect to claim 17, Zhao as set forth above discloses the augmented reality display device according to claim 13, including one wherein the thickness of the first light propagation layer ranges from 0.1 μm to 5 mm. Per claim 5, above. With respect to claim 18, Zhao as set forth above discloses the augmented reality display device according to claim 13, including one wherein the thickness of the second light propagation layer ranges from 50 nm to 2 mm. Per claim 5, above. With respect to claim 19, Zhao as set forth above discloses the augmented reality display device according to claim 13, including one wherein the diffractive optical waveguide further comprises a bonding layer and/or an optical functional layer, wherein the bonding layer is disposed on a side of the first light propagation layer that is close to the gratings, and the optical functional layer is disposed on a side of the coupling-in grating and the coupling-out grating that faces away from the first light propagation layer. Per claim 6, above. With respect to claim 20, Zhao as set forth above discloses the augmented reality display device according to claim 19, including one wherein at least one of the following conditions are satisfied: the thickness of the bonding layer ranges from 0.5 nm to 1 μm; the heights of coupling-in grating and the coupling-out grating respectively range from 50 nm to 5000 nm; the refractive index of the coupling-in grating and the coupling-out grating respectively range from 1.5 to 2.1; the thickness of the optical functional layer ranges from 20 nm to 500 nm; and the optical functional layer is made from titanium dioxide, aluminum, silicon nitride or hafnium dioxide. Per claim 7, above . Claim Rejections - 35 USC § 103 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 of this title, 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. 07-20-02-aia AIA 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. 07-21-aia AIA Claim s 4, 9, and 16 are rejected under 35 U.S.C. § 103 as being unpatentable over Zhao as set forth above in view of U.S. Patent Application Publication No. 20050063659 of Jansen (Jansen) . With respect to claim 4, Zhao as set forth above discloses the diffractive optical waveguide according to claim 1, including one wherein the first light propagation layer is made from glass or resin ( ¶ 45, "The waveguide substrate 101 may be a thin sheet of an optical material transparent to visible light, such as glass, plastic or polymer." ) Zhao as set forth above does not disclose: the second light propagation layer is made from at least one of silicon dioxide, silicon monoxide, magnesium fluoride and aluminum oxide. Jansen discloses a method and apparatus for decreasing signal propagation delay in a waveguide that includes ( ¶ 75 ): "Numerous coating materials are available and some examples applicable to a waveguide 10 according to the invention include: Aluminum, Germanium, Gold, Magnesium Fluoride, Nickel, Silicon Dioxide ( SiO2 ), Tantalum Oxide, Titanium Oxide and Zinc Sulfide ( ZnS ) as well as many others." It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to use coatings to enhance refractive index as part of a waveguide layer along the lines of Jansen in a system according to Zhao as set forth above in order to control light beam operation and inter-layer transits and/or prevention. This provides one rationale to combine the references. Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), the combining of prior art elements (listed above) according to known methods (per the references) to yield predictable results (a multi-layer diffractive optical waveguide) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024). Further, the combination would then provide: the second light propagation layer is made from at least one of silicon dioxide, silicon monoxide, magnesium fluoride and aluminum oxide. With respect to claim 9, Zhao as set forth above discloses the method according to claim 8, but not one wherein the method for depositing the second light propagation layer is chemical vapor deposition, physical vapor deposition, or atomic layer deposition. Jansen discloses vapor deposition per ¶ 76: ( ¶ 76, "These thin film coatings are typically manufactured by a deposition process where the substrate material to be coated is placed in a vacuum chamber and the coating materials are vaporized and deposited to the substrate." ) It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to use lithographic techniques along the lines of the deposition processes set forth in Jansen in a system according to Zhao as set forth above in order to fabricate different layers with different characteristics. This provides one rationale to combine the references. Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), the combining of prior art elements (listed above) according to known methods (per the references) to yield predictable results (a multi-layer diffractive optical waveguide) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024). Further, the combination would then provide: the method for depositing the second light propagation layer is chemical vapor deposition, physical vapor deposition, or atomic layer deposition. With respect to claim 16, Zhao in view of Jansen as set forth above discloses the augmented reality display device according to claim 13, including one wherein the first light propagation layer is made from glass or resin, and the second light propagation layer is made from at least one of silicon dioxide, silicon monoxide, magnesium fluoride and aluminum oxide. Per claim 4, above . 07-21-aia AIA Claim 10 is rejected under 35 U.S.C. § 103 as being unpatentable over Zhao as set forth above in view of U.S. Patent Application Publication No. 2020/0309691 of Sakamoto et al. (Sakamoto) . With respect to claim 10, Zhao as set forth above discloses the method according to claim 8, but not one further comprising: performing a polishing treatment on a surface of the second light propagation layer that faces away from the first light propagation layer. Sakamoto discloses an optical density measuring apparatus and optical waveguide that includes (¶ 138): "The active substrate 12a is then ground, polished, or the like to a predetermined thickness to adjust the film thickness of the active substrate 12a." It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to polish surfaces of layers along the lines of Sakamoto in a system according to Zhao as set forth above in order to make them flat (Zhao ¶ 59) or to adjust thickness. This provides one rationale to combine the references. Another completely independent and separately sufficient rationale arises as follows. In making the combination (above), the combining of prior art elements (listed above) according to known methods (per the references) to yield predictable results (a multi-layer diffractive optical waveguide) would occur as each element merely performs the same function in combination as it does separately. MPEP § 2141(III). This additional rationale is a sufficient, a complete, and an explicitly-recognized rationale to combine the references and conclude that the claim is obvious both under the controlling KSR Supreme Court case and MPEP § 2141(III)(A). Current Office policy regarding the determination of obviousness is set forth in the Federal Register notice at 89 Fed. Reg. 14449 (Feb. 27, 2024). Further, the combination would then provide: performing a polishing treatment on a surface of the second light propagation layer that faces away from the first light propagation layer . Conclusion Applicant’s publication US 20240377569 A1 published November 14, 2024 is cited. 07-96 AIA 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 transmission/projection devices and related systems . 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. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /Andrew Jordan/ Primary Examiner, Art Unit 2874 V: (571) 270-1571 (Pacific time) F: (571) 270-2571 May 9, 2026 Application/Control Number: 18/658,564 Page 2 Art Unit: 2874 Application/Control Number: 18/658,564 Page 3 Art Unit: 2874 Application/Control Number: 18/658,564 Page 4 Art Unit: 2874 Application/Control Number: 18/658,564 Page 5 Art Unit: 2874 Application/Control Number: 18/658,564 Page 6 Art Unit: 2874 Application/Control Number: 18/658,564 Page 7 Art Unit: 2874 Application/Control Number: 18/658,564 Page 8 Art Unit: 2874 Application/Control Number: 18/658,564 Page 9 Art Unit: 2874 Application/Control Number: 18/658,564 Page 10 Art Unit: 2874 Application/Control Number: 18/658,564 Page 11 Art Unit: 2874 Application/Control Number: 18/658,564 Page 12 Art Unit: 2874 Application/Control Number: 18/658,564 Page 13 Art Unit: 2874 Application/Control Number: 18/658,564 Page 14 Art Unit: 2874 Application/Control Number: 18/658,564 Page 15 Art Unit: 2874 Application/Control Number: 18/658,564 Page 16 Art Unit: 2874 Application/Control Number: 18/658,564 Page 17 Art Unit: 2874 Application/Control Number: 18/658,564 Page 18 Art Unit: 2874
Prosecution Insights