DETAILED ACTION
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Claim(s) 1-4 are rejected under 35 U.S.C. 102(a1).
Claim(s) 7-10 are rejected under 35 U.S.C. 103.
Claims 5-6 are objected to as being dependent upon a rejected base claim.
Response to Arguments
Applicant's arguments filed 06/01/2026 have been fully considered but they are not persuasive.
In regards to the applicant’s arguments to claim 1, that Preston fails to disclose a multiplexer/demultiplexer having distinct first and second optical coupling regions, the Examiner respectfully disagrees. Attention is brought to Figures 3 and 6, which explicitly disclose a wavelength multiplexer/demultiplexer (52) having a first optical coupling region (first surface of the dispersive element; coupled to the input fiber 22i) and at least one second optical coupling region (output surface of the dispersive element; 22o; coupled to the waveguide array inputs) opposite to each other (Figures 3, 6, 8) (Par. 78, 84, 98).
Applicant’s arguments with respect to claim 5 have been considered and are persuasive. The prior art fails to disclose a plurality of tunable optical filters connected to a plurality of opposite coupling regions of an arrayed waveguide grating. In other words, the prior art is silent to first and second tunable optical filters receiving a broadband light beam, wherein the first tunable optical filter provides first filtered light to a first coupling region of a wavelength multiplexer/demultiplexer and the second optical filter provides a second filtered light to the second coupling region of the wavelength multiplexer/demultiplexer.
In regards to the applicant’s arguments to claims 7-8, that the prior art fails to disclose the different widths between the straight and bending waveguide portions, the Examiner respectfully disagrees. Attention is brought to Figures 9-10 of Cheben, wherein a plurality of arrayed waveguide gratings are explicitly illustrated as having larger, straight, coupling regions, with narrower, bending sections in between the coupling regions, and wherein the waveguides form a z-shape (Figure 9) (col. 8, ll. 40 to col. 9, ll. 17). Further, Preston discloses and shows in Figures 3, 6 and 8, an integrated optical spectrometer, that utilizes an Arrayed Waveguide Grating AWG (22, 24) comprising a plurality of waveguide channels, wherein the “width of the waveguides” can be tailored or designed to meet desired bandwidth specifications (par. 15, 22, 69, 78-79, 84-85).
In regards to the applicant’s arguments to claim 9 that the prior art fails to recite resolution performance at the level of the currently claimed invention, the Examiner respectfully disagrees. Attention is brought to the fact that the claims as written fail to recite any limitations directed to the resolution of the claimed invention.
In regards to the applicant’s arguments to claim 10, that the reference to Day discloses an entirely different application and domain from the current invention, the Examiner respectfully disagrees. Attention is brought to the current rejection, which relies upon the primary reference to Preston as disclosing all of the elements of a handheld miniature spectrometer system (10), and the reference to Day was merely relied upon to teach a handheld spectrometer, having a shell comprising a main body portion and a handle grip portion.
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.
Claim(s) 1-4 are rejected under 35 U.S.C. 102(a1) as being anticipated by US Publication 2014/0085633 to Preston et al.
In regards to claims 1-4, Preston discloses and shows in Figures 2-3 and 6-8, an optical integrated chip integrated with a silicon substrate (Figure 8) (Par. 15, 59-61, 98), comprising:
a wavelength multiplexer/demultiplexer (52) having a first optical coupling region (first surface of the dispersive element; coupled to the input fiber 22i) and at least one second optical coupling region (output surface of the dispersive element; 22o; coupled to the waveguide array inputs) opposite to each other (Figures 3, 6, 8) (Par. 78, 84, 98);
a first light guiding element (22i, Input light optical fiber; 58, drop port input) optically coupled to the wavelength multiplexer/demultiplexer through the first optical coupling region thereof (par. 84, 92, 98; wherein the dispersive element has an input light fiber, or drop port input fiber, which is coupled to a first surface of the dispersive element); and
a plurality of second light guiding elements (24; waveguide array) optically coupled to the wavelength multiplexer/demultiplexer through the second optical coupling region thereof (Figures 3, 6, 8) (Par. 79, 84-85, 92, 98; wherein an Arrayed Waveguide Grating AWG is coupled to a second surface of a dispersive element);
[claim 2] further comprising at least one tunable optical filter (30) (Figure 7-8), wherein the tunable optical filter further comprises:
an optical filter (50, optical resonator) optically coupled to the first optical coupling region of the wavelength multiplexer/demultiplexer, wherein the optical filter is configured to receive a broadband light beam from the first light guiding element and filter the broadband light beam, thereby outputting a filtered light beam (Par. 25, 27, 36-37, 93-95; wherein a plurality of well-known optical filters are disclosed); and
a modulation device coupled to the optical filter and configured to adjust a characteristic of the optical filter, thereby adjusting optical characteristics of sub-light beams of the filtered light beam (par. 95, 98; wherein the filter is coupled to an integrated thin-film heater; Par. 27; wherein the various disclosed filter types are known to include modulators to adjust an output frequency);
[claim 3] wherein the modulation device modulates the characteristic of the optical filter, such that peak wavelengths of sub-light beams of the filtered light beam are shifted (par. 25, 27, 98; wherein an optical comb filter, which outputs a plurality of wavelength peaks, is modulated by a thin-film heater, to obtain desired output frequencies and spacing; further the various disclosed filter types are known to include modulators to adjust an output frequency);
[claim 4] wherein the modulation device comprises a temperature modulation device, wherein the temperature modulation device is configured to adjust temperature of the optical filter (par. 95, 98; wherein the filter is coupled to an integrated thin-film heater).
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.
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.
Claim(s) 7-8 are rejected under 35 U.S.C. 103 as being unpatentable over Preston, in view of US Patent 8,351,043 to Cheben et al.
In regards to claims 7-8, Preston discloses and shows in Figures 3, 6 and 8, an integrated optical spectrometer, that utilizes an Arrayed Waveguide Grating AWG (22, 24) comprising a plurality of waveguide channels, wherein the “width of the waveguides” can be tailored or designed to meet desired bandwidth specifications (par. 15, 22, 69, 78-79, 84-85).
Preston differs from the limitations in that it is silent to the optical integrated chip:
[claim 7] wherein each of the channel waveguides comprises a plurality of straight waveguide portions and a plurality of bending waveguide portions, wherein two adjacent straight waveguide portions is connected by one of the bending waveguide portions, and a width of the straight waveguide portion is different from that of the bending waveguide portion;
[claim 8] wherein from a top view of the optical integrated chip, the straight waveguide portions and the bending waveguide portions collectively form a Z-like shaped arrayed waveguide grating.
However, Cheben teaches and shows in Figures 8-10, a miniaturized spectrometer that utilizes an AWG, wherein the AWG is comprised of a plurality of straight waveguide portions (50), which include input tapers (26, 46), and bend waveguide sections (52), and wherein the waveguides form a z-shape (Figure 9) (col. 8, ll. 40 to col. 9, ll. 17).
Therefore, it would have been obvious to one of ordinary skill in the art at the time of the effective filing date of the invention, to modify Preston to include the AWG configuration discussed above for the advantage of controlling or obtaining desired light coupling conditions in the AWG, with a reasonable expectation of success.
Claim(s) 9 is rejected under 35 U.S.C. 103 as being unpatentable over Preston, in view of US Publication 2017/0071510 to Delbeke.
In regards to claim 9, Preston differs from the limitations in that it is silent to the optical integrated chip, wherein the wavelength multiplexer/demultiplexer further comprises a primary-stage arrayed waveguide grating having the first optical coupling region and a plurality of secondary-stage arrayed waveguide gratings having the second optical coupling regions, wherein the primary arrayed waveguide grating is optically coupled to each of the secondary arrayed waveguide gratings.
However, Delbeke teaches and shows in Figure 8, an integrated spectrometer for spectral measurements, wherein an increased number of channels may be obtained by cascading AWG demultiplexers together, wherein a first AWG demultiplexer (810) is utilized to provide light to a plurality of second AWG demultiplexers (820) (par. 105).
Therefore, it would have been obvious to one of ordinary skill in the art at the time of the effective filing date of the invention, to modify Preston to include the cascaded AWG configuration discussed above for the advantage of increasing the number of detection channels, with a reasonable expectation of success.
Claim(s) 10 is rejected under 35 U.S.C. 103 as being unpatentable over Preston, in view of US Publication 2017/0227469 to Day.
In regards to claim 10, Preston discloses and shows in Figures 2-3 and 6-8, a high resolution low-cost integrated handheld miniature spectrometer system (10), configured to detect an object (18a), comprising:
a light source (12) configured to emit an optical signal (par. 20, 69, 70, 93);
a splitter (14) coupled to the light source, the splitter configured to split the optical signal into a first and a second portions (par. 20, 69, 71, 93);
a reference arm (16) coupled to the splitter to receive the first portion of the optical signal to generate a reference optical signal (par. 20, 69, 72, 93);
a sample arm (18) coupled to the splitter to receive the second portion of the optical signal and guides the second portion of the optical signal to the object, wherein the second portion of the optical signal is reflected by the objected to generate a sample optical signal (par. 20, 69, 73, 93);
a spectrometer (20) coupled to the splitter to receive an interference optical signal resulting from a combination of the reference optical signal and the sample optical signal, wherein the spectrometer comprises an optical integrated chip integrated with a silicon substrate (par. 20, 69, 77, 93, 100), and the optical integrated chip comprises:
a wavelength multiplexer/demultiplexer (52) having a first optical coupling region (first surface of the dispersive element; coupled to the input fiber 22i) and at least one second optical coupling region (output surface of the dispersive element; 22o; coupled to the waveguide array inputs) opposite to each other (Figures 3, 6, 8) (Par. 78, 84, 98);
a first light guiding element (22i, Input light optical fiber; 58, drop port input) optically coupled to the wavelength multiplexer/demultiplexer through the first optical coupling region thereof (par. 84, 92, 98; wherein the dispersive element has an input light fiber, or drop port input fiber, which is coupled to a first surface of the dispersive element); and
a plurality of second light guiding elements (24; waveguide array) optically coupled to the wavelength multiplexer/demultiplexer through the second optical coupling region thereof (Figures 3, 6, 8) (Par. 79, 84-85, 92, 98; wherein an Arrayed Waveguide Grating AWG is coupled to a second surface of a dispersive element);
at least one optical sensor (26) configured to receive and convert the interference optical signal processed by the optical integrated chip into an electrical signal (par. 20, 69, 80, 93); and
a processor (28) coupled to the optical sensor and configured to receive the electrical signal, such that the processor generates an image based on the electrical signal (par. 20, 69, 77, 83, 93).
Preston differs from the limitations in that it is silent to the apparatus further comprising:
a handheld miniature spectrometer system, configured to detect an object having a shell comprising a main body portion and a handle grip portion extending from the main body portion.
However, Day teaches and shows in Figures 1-3, a handheld spectrometer device (10) with a housing (12), enclosing all of the optical and electronic components of the system (par. 3, 32).
Therefore, it would have been obvious to one of ordinary skill in the art at the time of the effective filing date of the invention, to modify Preston to include the handheld housing discussed above for the advantage of providing a portable spectrometer device capable of in-situ measurements at remote locations, with a reasonable expectation of success.
Allowable Subject Matter
Claims 5-6 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
As to claim 5, the prior art of record, taken alone or in combination, fails to disclose or render obvious, “the optical integrated chip” wherein the at least one tunable optical filter further comprises a first and a second optical filter, each providing a filtered light beam to a first coupling region and a second, different or opposite, coupling region, in combination with the rest of the limitations of the claim.
Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled “Comments on Statement of Reasons for Allowance.”
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
US Publication 2014/0376861 to Nakamura et al. discloses and shows an arrayed waveguide grating, wherein a first and second interference membrane filters (121, 122) are utilized to provide different wavelengths to different waveguide arrays (Figures 1, 4-5, 21). The reference differs from the limitations in that it is silent to the filters being tunable filters, which both receive a same broadband light beam and provide separate filtered beams to separate coupling regions of an arrayed waveguide grating.
US Patent 7,190,856 to Iazikov et al. discloses and shows an optical add/drop multiplexer comprising an arrayed waveguide grating, wherein a plurality of optical inputs are provided to a first optical coupler (120) and a second optical coupler (122). The reference differs from the limitations in that it is silent to the system including tunable filters, and wherein the optical couplers both receive a same broadband light beam and provide separate filtered beams to separate coupling regions of an arrayed waveguide grating.
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to JONATHAN M HANSEN whose telephone number is (571)270-1736. The examiner can normally be reached Monday to Friday, 8am to 4pm.
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JONATHAN M. HANSEN
Primary Examiner
Art Unit 2877
/JONATHAN M HANSEN/Primary Examiner, Art Unit 2877
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