Prosecution Insights
Last updated: April 19, 2026
Application No. 18/836,234

SPECTROSCOPIC DEVICE, SPECTROSCOPIC METHOD, RAMAN SCATTERING ANALYSIS DEVICE, LUMINESCENCE SPECTROSCOPIC ANALYSIS DEVICE, AND HARMONIC OBSERVATION DEVICE

Non-Final OA §103
Filed
Aug 06, 2024
Examiner
PEREZ-GUZMAN, CARLOS GABRIEL
Art Unit
2877
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Tohoku University
OA Round
1 (Non-Final)
81%
Grant Probability
Favorable
1-2
OA Rounds
2y 3m
To Grant
99%
With Interview

Examiner Intelligence

Grants 81% — above average
81%
Career Allow Rate
108 granted / 134 resolved
+12.6% vs TC avg
Strong +26% interview lift
Without
With
+25.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 3m
Avg Prosecution
26 currently pending
Career history
160
Total Applications
across all art units

Statute-Specific Performance

§101
4.1%
-35.9% vs TC avg
§103
50.6%
+10.6% vs TC avg
§102
21.4%
-18.6% vs TC avg
§112
18.6%
-21.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 134 resolved cases

Office Action

§103
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 . Claim Interpretation The following is a quotation of 35 U.S.C. 112(f): (f) Element in Claim for a Combination. – An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof. The following is a quotation of pre-AIA 35 U.S.C. 112, sixth paragraph: An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof. The claims in this application are given their broadest reasonable interpretation using the plain meaning of the claim language in light of the specification as it would be understood by one of ordinary skill in the art. The broadest reasonable interpretation of a claim element (also commonly referred to as a claim limitation) is limited by the description in the specification when 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is invoked. As explained in MPEP § 2181, subsection I, claim limitations that meet the following three-prong test will be interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph: (A) the claim limitation uses the term “means” or “step” or a term used as a substitute for “means” that is a generic placeholder (also called a nonce term or a non-structural term having no specific structural meaning) for performing the claimed function; (B) the term “means” or “step” or the generic placeholder is modified by functional language, typically, but not always linked by the transition word “for” (e.g., “means for”) or another linking word or phrase, such as “configured to” or “so that”; and (C) the term “means” or “step” or the generic placeholder is not modified by sufficient structure, material, or acts for performing the claimed function. Use of the word “means” (or “step”) in a claim with functional language creates a rebuttable presumption that the claim limitation is to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites sufficient structure, material, or acts to entirely perform the recited function. Absence of the word “means” (or “step”) in a claim creates a rebuttable presumption that the claim limitation is not to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is not interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites function without reciting sufficient structure, material or acts to entirely perform the recited function. Claim limitations in this application that use the word “means” (or “step”) are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action. Conversely, claim limitations in this application that do not use the word “means” (or “step”) are not being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action. This application includes one or more claim limitations that do not use the word “means,” but are nonetheless being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, because the claim limitation(s) uses a generic placeholder that is coupled with functional language without reciting sufficient structure to perform the recited function and the generic placeholder is not preceded by a structural modifier. Such claim limitation(s) is/are: “a wavelength dispersion spectroscopic unit configured to detect”, in claim 1; “a first polarization adjustment unit configured to receive”, in claim 4; “a delay unit configured to delay”, in claim 4; “ a first adjustment unit con figured to apply”, in claim 4; “a second polarization adjustment unit configured to receive”, in claim 4; “detection unit configured to individually detect”, in claim 5. Because this/these claim limitation(s) is/are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, it/they is/are being interpreted to cover the corresponding structure described in the specification as performing the claimed function, and equivalents thereof. If applicant does not intend to have this/these limitation(s) interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, applicant may: (1) amend the claim limitation(s) to avoid it/them being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph (e.g., by reciting sufficient structure to perform the claimed function); or (2) present a sufficient showing that the claim limitation(s) recite(s) sufficient structure to perform the claimed function so as to avoid it/them being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. 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. Claims 1 and 4-6 are rejected under 35 U.S.C. 103 as being unpatentable over Polli et al. (US 2021/0123808 A1), hereafter Polli in view of Noda et al. (US 2018/0087961 A1), hereafter Noda, and further in view of Sera et al. (WO 2020196693 A1), hereafter Sera. Regarding claims 1 and 6, Polli teaches a spectroscopic device and method (Fig. 1, [0027]) comprising: a light source unit (Fig. 1 elements 2 + 200) configured to output signal light generated from a sample (Fig. 1 element 1), [0031]; a Fourier spectroscopic unit (Fig. 1 element 6, “adjustable birefringent common-path interferometer module”, [0036]) configured to receive the signal light, (element 6 can be place after element 1 as shown in Fig. 1 and Fig. 5, [0044, 0098]), generate a pair of light beams with any time delay, [0037], and output first output light obtained by causing the pair of light beams to interfere with each other, [0036, 0040]; a wavelength dispersion spectroscopic unit (Fig. 1 element 5, (analysis device 5 may include a spectrometer or a detector, [0035]) configured to detect second output light obtained by dispersing the received first output light according to a wavelength, (analysis device 5 is a spectrometer, i.e. a device measuring the intensity of fluorescence radiation RF as a function of its wavelength, [0056]); and a control device (Fig. 1 element 13) configured to extract a component of the signal light in the second output light based on a detection result of the second output light, [0039, 0065], wherein the control device comprises: a control unit configured to extract the component of the signal light in the second output light based on the detection result of the second output light, [0062] the control unit (Fig. 1 element 13) controls the Fourier spectroscopic unit (Fig. 1 element 6), (the computing and control module 13 controls the actuator 12 for adjusting the time delay of the wedge pair element 7, [0052]), generates an interferogram corresponding to all wavelengths in the second output light based on a detection value of the second output light detected by adjusting the time delay, [0052, 0074], performs Fourier transform on the interferogram, [0074-0075], calculates a Fourier spectrum corresponding to the all wavelengths in the second output light, and extracts the component of the signal light based on image processing on the Fourier spectrum and the detection value of the second output light, ( the device determine the absorption spectra, fluorescence properties and generate a EEM map by performing Fourier transform on the interferogram and adjusting the time delay introduced by the wedge pair 7 by the control module 13, [0065, 0073]). Polli fail to teach control unit configured to remove a stray light component, a display unit configured to display a display image in which the detection result is imaged and the component of the signal light is extracted based on image processing, and However, Noda related to spectrum analysis apparatus and thus from the same field of endeavor teaches control unit (Fig. 1 element 6, [0039]) configured to remove a stray light component, (a controller configured to perform calibration including a correction for eliminating an stray light incident on the detector from a wavelength distribution, [0009, 0037]). Therefore, it would been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Polli by including control unit configured to remove a stray light component (as taught by Noda) for several advantages such as: the calibration and correction of the stray line allow to decrease the time of measurement, thus increase the device efficiency, ([0019-0020], Noda). Polli and Noda still lack to teach a display unit configured to display a display image in which the detection result is imaged and the component of the signal light is extracted based on image processing. However, Sera related to spectrum analysis apparatus and thus from the same field of endeavor teaches a display unit (Fig. 1 element 4) configured to display a display image in which the detection result is imaged and the component of the signal light is extracted based on image processing (“interferogram data is output from the array detector 21 and input to the calculation means 4 via the AD converter 6. The arithmetic means 4 performs arithmetic processing including the discrete Fourier transform to calculate the spectrum. The calculated spectrum is compared with the reference spectrum data stored in the storage unit 42, and the absorption spectrum is calculated. The absorption spectrum is displayed on a display or the like as a measurement result”, [page 7, fourth paragraph]). Therefore, it would been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify the modified device of Polli by including a display unit configured to display a display image in which the detection result is imaged and the component of the signal light is extracted based on image processing. (as taught by Sera) for several advantages such as: the device allow to remove noise in the measurement result, so that the accuracy of the spectroscopic measurement is improved and the reliability of the measurement result is improved, ([page 7, fifth paragraph], Sera). Additionally, a display in a spectroscopic device allows for the precise determination of light wavelengths, intensities, and high-resolution spectral analysis. It enables identification of chemical components, measurement of sample composition, and analysis of molecular properties. Regarding claim 4, Polli in the combination outlined above teaches the spectroscopic device according to claim 1. Polli further teaches wherein the Fourier spectroscopic unit (Fig. 1 element 6) comprises: a first polarization adjustment unit (Fig. 1 element 11) configured to receive the signal light, ( as shown in Fig, 1 element 11 receive the light generated by element 1 + 2, wherein element 6 is path 4, [0044]), adjust a polarization direction by applying a predetermined rotation angle in an oblique direction with respect to a polarization plane as viewed from an incident direction of the signal light, and output the signal light, (an input polarizer 11 provide an output radiation of linear polarization transversal to the optical axes OX1 and OX2 and, preferably, having tilt of 45° with respect to such axes, [0044]), a delay unit (Fig. 1 element 8) provided downstream of the first polarization adjustment unit (11), (as shown in Fig. 1), the delay unit being configured to apply a time delay to input light and output the input light, [0053, 0058] a first adjustment unit (Fig. 1 elements 7 + 10) provided adjacent to and downstream or upstream of the delay unit (8), (as shown in Fig. 1), the first adjustment unit being configured to apply a relative time difference between a vertical component and a horizontal component of the input light and output light, [0058-0059] and a second polarization adjustment unit (Fig. 1 element 14) provided downstream of the delay unit (8) and the first adjustment unit (7 + 10), (as shown in Fig. 1) , the second polarization adjustment unit (14) being configured to receive the output light, allow passage of a component in an oblique direction with respect to the polarization plane as viewed from an incident direction of the output light, and generate and output the pair of light beams, (the second polarizer 14 projects the two delayed components exiting the adjustable wedge pair 7 to a common polarization state (at 45° “oblique” to the linear polarization), allowing the two radiation components to interfere, [0060]). Regarding claim 5, Polli in the combination outlined above teaches the spectroscopic device according to claim 1. Even though that Polli teaches wherein the wavelength dispersion spectroscopic unit (Fig. 1 element 5), Polli do not clearly teach a wherein the wavelength dispersion spectroscopic unit comprises a spectroscopic element configured to disperse the first output light into light components of respective wavelengths, and a detection unit configured to individually detect intensities of the respective light components dispersed by the spectroscopic element. However, Noda further teaches a wherein the wavelength dispersion spectroscopic unit (Fig. 1 element 4) comprises a spectroscopic element ( element 4 is a diffraction grating, [0036] configured to disperse the first output light into light components of respective wavelengths, [0037], and a detection unit (Fig. 1 element 5) configured to individually detect intensities of the respective light components dispersed by the spectroscopic element, [0038]. Therefore, it would been obvious to a person having ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Polli by including a wherein the wavelength dispersion spectroscopic unit comprises a spectroscopic element configured to disperse the first output light into light components of respective wavelengths, and a detection unit configured to individually detect intensities of the respective light components dispersed by the spectroscopic element (as taught by Noda) for several advantages such as: the measuring device comprising the calibration and correction of the stray line allow to decrease the time of measurement, thus increase the device efficiency, ([0019-0020], Noda). Also the measuring device allow to acquire light absorbance of the sample for each of the wavelength components, ([0033], Noda). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to CARLOS G PEREZ-GUZMAN whose telephone number is (571)272-3904. The examiner can normally be reached Monday - Friday 7:30 am - 5:00 pm ET. 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, Tarifur Chowdhury can be reached at (571) 272-2287. 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. /CARLOS PEREZ-GUZMAN/ Examiner, Art Unit 2877 /TARIFUR R CHOWDHURY/Supervisory Patent Examiner, Art Unit 2877
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Prosecution Timeline

Aug 06, 2024
Application Filed
Jan 23, 2026
Non-Final Rejection — §103 (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
81%
Grant Probability
99%
With Interview (+25.5%)
2y 3m
Median Time to Grant
Low
PTA Risk
Based on 134 resolved cases by this examiner. Grant probability derived from career allow rate.

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