CTNF 18/716,487 CTNF 79520 DETAILED ACTION This office action is in response to the preliminary claim amendment filed on June 4, 2024. Claims 1-4 have been amended, while new claim 5 has been added. Claims 1-5 are pending, with claim 1 as the sole independent. 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. Information Disclosure Statement The prior art documents submitted by Applicant in the Information Disclosure Statements filed on June 4, 2024, have been considered and made of record (note attached copy of forms PTO-1449). Drawings The original drawings (ten (10) pages) were received on June 4, 2024. These drawings are acknowledged. 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 and 2 are rejected under 35 U.S.C. 102( a)(1 ) as being anticipated by Botez et al. U.S. Patent No. 9,244,225 B1 . Botez et al. U.S. Patent No. 9,244,225 B1 teaches (ABS; Figs. 1A, 1B; corresponding text, in particular columns 4, line 9 through column 8, line 46; column 10, line 62 through column 12, line 18; Table 2; Claims) an optical device (Fig. 1A) comprising: a cladding layer 106 / 108 (also, at least broadly, layer 110 can function as a clad); and a core 105 / 111 (although 105 is a waveguide core, feature 111 is also a “core” functionally as a high-refractive-index ridge) formed on the cladding layer (frame-of-reference for formed “on”, see element 105 in Fig. 1B and ridge 111 in Fig. 1B) and including a crystal of a III-V compound semiconductor (Botez dependent claims 4-5; see column 4, line 1 through column 5, line 32; III-V materials listed as large group of selectable, at least GaP, AlGaAs, InGaP, etc.); wherein the core has a plurality of regions periodically connected in series (left-to-right, Fig. 1A), and adjacent regions have a reversal of polarization ( - , +, -, + Fig. 1A), which clearly, fully meets Applicant’s claimed structural limitations for sole pending independent claim 1. Regarding claim 2, the reversal regions of Botez are in a direction perpendicular to the waveguide direction (Fig. 1A, in a direction from 112 to 114) . 07-15 AIA Claim s 1 and 2 are rejected under 35 U.S.C. 102( a)(1 ) as being anticipated by JP 2007-240743 A (Oki Electric) . JP 2007-240743 A teaches (ABS; Figs. 1(A), 1(B), 3(C); corresponding text, in particular paragraphs [0016] – [0033], [0045], [0076] – [0077]; Claims) an optical device 100 (Figs. 1A-1B) comprising: a cladding layer 60 (signals are maintained in the core, para [0019]); and a core 70 formed on the cladding layer (frame-of-reference for formed “on”, see elements as located in Figs. 1A, 1B, and 3C, para [0045]) and including a crystal of a III-V compound semiconductor (JP ‘743 material of “AlGaAs” is a III-V semiconductor); wherein the core has a plurality of regions periodically connected in series (left-to-right, Figs. 1A, 3B), and adjacent regions have a reversal of polarization (JP ‘743 is period domain inverted, see Figs. 1A, 3B), which clearly, fully meets Applicant’s claimed structural limitations for sole pending independent claim 1. Regarding claim 2, the reversal regions of JP ‘743 are in a direction perpendicular to the waveguide direction (Figs. 1A, 3B, in a direction from left-right) . 07-15 AIA Claim s 1 and 2 are rejected under 35 U.S.C. 102( a)(1 ) as being anticipated by Yoo U.S. Patent No. 5,434,700 . Yoo U.S. Patent No. 5,434,700 teaches (ABS; Figs. 4, 5, 7, 28; corresponding text, in particular columns 6-8; Claims) an optical device (Fig. 4 / 28) comprising: a cladding layer 42 (element 42 can function as a clad (signals are maintained in the core); also 54 / 56 show claddings); and a core 40 formed on the cladding layer (frame-of-reference for formed “on”, see elements as located in Figs. 4 and 28) and including a crystal of a III-V compound semiconductor (Yoo “AlGaAs” is a III-V semiconductor, “Field of Invention”); wherein the core has a plurality of regions periodically connected in series (left-to-right, Figs. 4 and 28), and adjacent regions have a reversal of polarization (alternating sections 44 and 46 are reversed in polarization), which clearly, fully meets Applicant’s claimed structural limitations for sole pending independent claim 1. Regarding claim 2, the reversal regions of Yoo are in a direction perpendicular to the waveguide direction (Figs. 4 and 28, in a direction from 48 to 50) . 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. 07-23-aia AIA 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. 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 3-5 are rejected under 35 U.S.C. 103 as being unpatentable over JP 2007-240743 A (Oki Electric), based on independent claim 1 (above), standing alone . Regarding base independent claim 1, JP 2007-240743 A teaches (ABS; Figs. 1(A), 1(B), 3(C); corresponding text, in particular paragraphs [0016] – [0033], [0045], [0076] – [0077]; Claims) an optical device 100 (Figs. 1A-1B) comprising: a cladding layer 60 (signals are maintained in the core, para [0019]); and a core 70 formed on the cladding layer (frame-of-reference for formed “on”, see elements as located in Figs. 1A, 1B, and 3C, para [0045]) and including a crystal of a III-V compound semiconductor (JP ‘743 material of “AlGaAs” is a III-V semiconductor); wherein the core has a plurality of regions periodically connected in series (left-to-right, Figs. 1A, 3B), and adjacent regions have a reversal of polarization (JP ‘743 is period domain inverted, see Figs. 1A, 3B). Regarding further dependent claim 2, see JP ‘743 left-to-right and perpendicularity of the direction of waveguide travel to the period inverted regions. Regarding further dependent claims 3-5, there is no express and exact teaching found within JP ‘743 for the feature in that a semiconductor laser (of the waveguide type) is formed on the cladding layer to emit pulsed light, and such pulsed light is incident upon an optical waveguide of the core (claims 3 and 5); or the exact type of semiconductor laser to include III-V compound semiconductor with the n-type and p-type materials to create the laser. However, based on the overall level or ordinary skill in the optical waveguide art, such a person having ordinary skill in the art would have recognized using these types of lasers to input light(s) to the waveguide of JP ‘743, for the purpose and motivation of having directed light into the waveguide. JP ‘743 itself teaches (para [0076]) that laser light is obtained in the optical device by applying a voltage to a laminated body between a first and second electrode, and this laser light is used as pump light to pump the waveguide core feature(s). Therefore, laser light enters to core feature for the intended purpose to be propagated along the waveguide length of the device of JP ‘743 for a wavelength conversion functionality. Furthermore, one having ordinary skill in the art at the time of the effective filing date of the current application would have recognized such laser light being pulsed laser light for an obvious intended use and operation of the wavelength conversion. Applicant has not disclosed that using such features (pulsed laser light (claims 3 and 5) or the III-V formation of p-type and n- type (claim 4)) provides an advantage, is used for a particular purpose, or solves a stated problem. One of ordinary skill in the art, furthermore, would have expected JP ‘743 to perform equally well with such features as the optical dependencies (selectable type of laser for the light transmission into the waveguide core (for conversion)) because these claim terms would have been easily integrated and would have also been recognized by one with common skill in the art to improve optical signal propagation narrowly tailor an output based on a pulsed laser input. It would have required no undue burden or unnecessary experimentation to arrive at those features with a wavelength conversion device such as in JP ‘743. Further, the base structure of the sole independent claim 1 clearly anticipated by JP ‘743 and a number of other prior art references of record. Therefore, it would have been an obvious matter of common skill and design choice to modify (and/or update) JP ‘743 to obtain the invention as specified in claims 3-5 ( type of laser ). See KSR v. Teleflex , 127 S.Ct. 1727 (2007) . CONCLUSION 07-96 AIA The prior art made of record and not relied upon is considered pertinent to applicant's disclosure : PTO-892 form reference C to Rodriguez US ‘269, which pertains to the state of the art of III-V semiconductor materials for the core and SiO 2 cladding . Any inquiry concerning this communication or earlier communications from the examiner should be directed to Daniel Petkovsek whose telephone number is (571 )272-4174. The examiner can normally be reached M-F 7:30 - 6 PM. 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. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Uyen-Chau Le can be reached at (571) 272-2397. 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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. /DANIEL PETKOVSEK/Primary Examiner, Art Unit 2874 April 24, 2026 Application/Control Number: 18/716,487 Page 2 Art Unit: 2874 Application/Control Number: 18/716,487 Page 3 Art Unit: 2874 Application/Control Number: 18/716,487 Page 4 Art Unit: 2874 Application/Control Number: 18/716,487 Page 5 Art Unit: 2874 Application/Control Number: 18/716,487 Page 6 Art Unit: 2874 Application/Control Number: 18/716,487 Page 7 Art Unit: 2874 Application/Control Number: 18/716,487 Page 8 Art Unit: 2874 Application/Control Number: 18/716,487 Page 9 Art Unit: 2874
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