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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address; COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`16/751,666
`
`01/24/2020
`
`Ryuichi KANOH
`
`2020-0083A
`
`3685
`
`CP
`Lind&
`Wenderoth,
`Wenderoth, Lind & Ponack, L.L.P.
`1025 Connecticut Avenue, NW
`Suite 500
`Washington, DC 20036
`
`KWAN, MATTHEW K
`
`2482
`
`PAPER NUMBER
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`08/20/2020
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`eoa@ wenderoth.com
`kmiller@wenderoth.com
`
`PTOL-90A (Rev. 04/07)
`
`

`

`Application No.
`Applicant(s)
`16/751,666
`KANOH etal.
`
`Office Action Summary Art Unit|AIA (FITF) StatusExaminer
`MATTHEW K KWAN
`2482
`Yes
`
`
`
`-- The MAILING DATEofthis communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING
`DATE OF THIS COMMUNICATION.
`Extensions of time may be available underthe provisions of 37 CFR 1.136(a). In no event, however, may a reply betimely filed after SIX (6) MONTHSfrom the mailing
`date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHSfrom the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133}.
`Any reply received by the Office later than three months after the mailing date of this communication, evenif timely filed, may reduce any earned patent term
`adjustment. See 37 CFR 1.704(b).
`
`Status
`
`1) Responsive to communication(s) filed on 05 August 2020.
`LC} A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`
`2a)(J This action is FINAL. 2b))This action is non-final.
`3) An election was madeby the applicant in responseto a restriction requirement set forth during the interview
`on
`; the restriction requirement and election have been incorporated into this action.
`4\(Z Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Exparte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`
`
`Disposition of Claims*
`1-36 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) 17-18 and 35-36 is/are withdrawn from consideration.
`(1) Claim(s)__ is/are allowed.
`Claim(s) 1-9,12-16,19-27 and 30-34 is/are rejected.
`)
`Claim(s) 10-11 and 28-29 is/are objected to.
`OO Claim(s
`are subject to restriction and/or election requirement
`)
`“ If any claims have been determined allowable, you maybeeligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`http:/Awww.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`Application Papers
`10)L) The specification is objected to by the Examiner.
`11) The drawing(s)filed on 24 January 2020 is/are: a)l¥) accepted or b)C) objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`
`Priority under 35 U.S.C. § 119
`12) Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d)or (f).
`Certified copies:
`—_c)LJ None ofthe:
`b)LJ Some**
`a)Y) All
`1.¥) Certified copies of the priority documents have been received.
`2.1) Certified copies of the priority documents have been received in Application No.
`3.2.) Copies of the certified copies of the priority documents have been received in this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`
`1)
`
`Notice of References Cited (PTO-892)
`
`Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`2)
`Paper No(s)/Mail Date
`U.S. Patent and Trademark Office
`
`3) (J Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`(Qj Other:
`
`4)
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20200812
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 2
`
`DETAILED ACTION
`
`Notice of Pre-AlA or AIA Status
`
`1.
`
`The present application,filed on or after March 16, 2013, is being examined under the first
`
`inventorto file provisions of the AIA.
`
`2.
`
`Inthe event the determination of the status of the application as subject to AIA35 U.S.C. 102
`
`and 103 (or as subject to pre-AlA 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 ofrejection if the prior art relied upon, and
`
`the rationale supporting the rejection, would be the same under either status.
`
`Election/Restrictions
`
`3.
`
`Claims 17-18 and 35-36 are withdrawn from further consideration pursuant to 37 CFR 1.142(b)
`
`as being drawn to a nonelectedspeciesII, there being no allowable generic orlinking claim. Election was
`
`made without traversein the reply filed on 8/5/2020.
`
`Claim Objections
`
`4.
`
`Claims 2,5, 12 and 13 are objected to because of the following informalities: “the second
`
`quantization”of claim 1 is referred to, however, claim 1 only discusses “a secondary quantization”. The
`
`wording in claims 2,5, 12 and 13 should be changed to “the secondary quantization”. Appropriate
`
`correction is required.
`
`Claim Rejections - 35 USC § 103
`
`5.
`
`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:
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 3
`
`A patent fora claimed invention may not be obtained, notwithstanding that the claimed inventionis
`notidentically 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 ofthe claimed invention to a person having ordinary skillinthe art to which the
`claimed invention pertains. Pa tentability s hall not be negated by the mannerin which the invention
`was made.
`
`6.
`
`The factual inquiries set forth in Graham v. John Deere Co. , 383 U.S. 1, 148 USPQ 459 (1966),
`
`that are applied 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.
`
`7.
`
`Claims 1-9, 12-16, 19-27 and 30-34 are rejected under 35 U.S.C. 103 as being unpatentable over
`
`Shibahara et al. (U.S. 2012/0128065), hereinafter Shibahara in view of Chen etal. (Algorithm Description
`
`of Joint Exploration Test Model 5 (JEM 5)”, JVET-E1001-v2, January 2017), hereinafter Chen. Chen was
`
`cited in the Applicant’s IDS dated 1/24/20.
`
`Regarding claims 1 and 16, Shibahara discloses an encoder which encodes a current block to be
`
`encoded in an image, the encoder comprising:
`
`circuitry ([0096], claim 23 andfig. 45); and
`
`memory ([0049]),
`
`wherein using the memory, the circuitry ([0050] and fig. 45):
`
`performs a primary transform ([0173] andfig. 3, #110) from residuals of the current block to
`
`primary coefficients ([0172] and fig. 12, #420);
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`

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`Application/Control Number: 16/751,666
`Art Unit: 2482
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`Page 4
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`(i) calculates quantized primary coefficients by performing a first quantization on the primary
`
`coefficients when the secondary transform is not to be applied (fig. 3, #140,fig. 12, #420 and claim 1),
`
`(ii) performs a secondary transform from the primary coefficients to secondary coefficients (fig. 3, #130,
`
`claim 1), and calculates quantized secondarycoefficients by performing a secondary quantization on the
`
`secondary coefficients when the secondary transform is to be applied, the secondary quantization being
`
`different from thefirst quantization (fig. 3, claims 1 and 2); and
`
`generates an encoded bitstream by encoding the quantized primary coefficients and the
`
`quantized secondary coefficients (claim 1).
`
`Shibahara does not explicitly disclose determining whether a secondary transform is to be
`
`applied tothe current block and generating an encoded bitstream by encoding either the quantized
`
`primary coefficients or the quantized secondarycoefficients.
`
`However, Chen teaches determining whether a secondary transform is to be applied to the
`
`current block (Chen section p. 30, 2.4.3.1, second paragraph); and
`
`generating an encoded bitstream by encoding either the quantized primary coefficients or the
`
`quantized secondarycoefficients (Chen section p. 30, 2.4.3.1, second paragraph).
`
`It would have been obvious to one of ordinary skill in the art before the effectivefiling date of
`
`the claimed invention to modify Shibahara’s encoder with the missing limitations as taught by Chen to
`
`reduce complexity and lower processing cost as a result of not always applying the secondary transform
`
`(Chen p. 29, section 2.4.3,first paragraph).
`
`As shown above,all of the limitations are known, they can be applied to a known device such as
`
`a processor toyield a predictable result of improving coding efficiency as a result of reducing
`
`complexity.
`
`Regarding claim 2, Shibahara in view of Chen teaches the encoder according to claim 1,
`
`

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`Application/Control Number: 16/751,666
`Art Unit: 2482
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`Page5S
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`wherein the first quantization is a weighted (Shibahara [0109]) quantization usingafirst
`
`quantization matrix (Shibahara [0113], and fig. 3, #142), and
`
`the second quantization is a weighted quantization using a second quantization matrix different
`
`from the first quantization matrix (Shibahara [0114] andfig. 3, #141).
`
`Regarding claim 3, Shibahara in view of Chen teaches the encoder according to claim 2,
`
`wherein the circuitry writes the first quantization matrix and the second quantization matrix
`
`into the encodedbitstream (Shibahara [0117] andfig. 3, #160).
`
`Regarding claim4, Shibahara in view of Chen teachesthe encoder according to claim 3,
`
`wherein the primary coefficients include one or morefirst primary coefficients and one or more
`
`second primary coefficients (Shibahara fig. 3, #140),
`
`the secondary transform is applied to the one or morefirst primary coefficients (Shibaharafig.
`
`3, #130) and is not applied to the one or more second primary coefficients (Chen p. 30, section 2.4.3.1,
`
`paragraph 2),
`
`the second quantization matrix has one or morefirst component values corresponding to the
`
`one or morefirst primary coefficients and one or more second component values corresponding to the
`
`one or more second primary coefficients (Shibahara [0023]),
`
`each of the one or more second componentvalues of the second quantization matrix matches a
`
`corresponding one of componentvalues ofthe first quantization matrix (Shibahara [0109]), and
`
`when thecircuitry writesthe second quantization matrix, the circuitry writes, into the encoded
`
`bitstream, only the one or morefirst component values among the one or morefirst component values
`
`and the one or more second componentvalues (Shibahara [0021] and Chen 2.4.3 / 2.4.3.1).
`
`The same motivation for claim 1 applies to claim 4.
`
`

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`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 6
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`Regarding claim5, Shibahara in view of Chen teaches the encoder according to claim 3,
`
`wherein in the secondary transform, a plurality of bases which has been determined is
`
`selectively used (Shibahara [0021], [0192] andfig. 4),
`
`the encodedbitstream includes a plurality of second quantization matrices corresponding to the
`
`plurality of bases (Shibahara [0021], [0192] and fig. 4), and
`
`in the second quantization, a second quantization matrix corresponding to a basis used for the
`
`second transform is selected from the plurality of second quantization matrices (Shibahara [0021],
`
`[0192] andfig. 4).
`
`Regarding claim 6, Shibahara in view of Chen teaches the encoder according to claim 2,
`
`wherein the first quantization matrix and the second quantization matrix are defined in advance
`
`in a standard (Shibahara [0229]).
`
`Regarding claim 7, Shibahara in view of Chen teaches the encoder according to claim 2,
`
`wherein the circuitry derives the second quantization matrix from the first quantization matrix
`
`(Shibahara [0031]).
`
`Regarding claim 8, Shibahara in view of Chen teaches the encoder according to claim 7,
`
`wherein the primary coefficients include one or morefirst primary coefficients and one or more
`
`second primary coefficients (Shibahara fig. 3, #140),
`
`the secondary transform is applied to the one or morefirst primary coefficients (Shibaharafig.
`
`3, #130) and is not applied to the one or more second primary coefficients (Chen p. 30, section 2.4.3.1,
`
`paragraph 2),
`
`

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`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 7
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`the second quantization matrix has one or morefirst component values corresponding to the
`
`one or morefirst primary coefficients and one or more second component values corresponding to the
`
`one or more second primary coefficients (Shibahara [0023]),
`
`each of the one or more second componentvalues of the second quantization matrix matches a
`
`corresponding one of componentvalues ofthe first quantization matrix (Shibahara [0109]), and
`
`when thecircuitry derives the second quantization matrix, the circuitry derives the one or more
`
`first component values of the second quantization matrix from thefirst quantization matrix (Shibahara
`
`[0109] and [0113]).
`
`The same motivation for claim 1 applies to claim 8.
`
`Regarding claim9, Shibahara in view of Chen teaches the encoder according to claim 7,
`
`wherein the second quantization matrixis derived by applying the secondary transform to the
`
`first quantization matrix (Shibahara [0031]).
`
`Regarding claim12, Shibahara in view of Chen teaches the encoder accordingto claim 1,
`
`wherein the first quantization is a weighted quantization in which a quantization matrix is used
`
`(Shibahara [0109] and [0113]), and
`
`the second quantization is a non-weighted quantization (Shibahara [0020]) in which no
`
`quantization matrix is used (Shibahara [0020] and [0109)).
`
`Regarding claim 13, Shibahara in view of Chen teaches the encoder accordingto claim 1,
`
`wherein the first quantization is a weighted quantization using a first quantization matrix
`
`(Shibahara [0109]),
`
`

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`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 8
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`in the secondary transform,(i) weighted primary coefficients are calculated by multiplying each
`
`of the primary coefficients by a corresponding componentvalue of a weighting matrix (Shibahara
`
`[0032]), and (ii) the weighted primary coefficients are transformed into secondary coefficients
`
`(Shibahara [0018], [0030] and [0320]), and
`
`in the second quantization, each of the secondarycoefficients is divided by a quantization step
`
`common between the secondarycoefficients (Shibahara [0317]).
`
`Regarding claim 14, Shibahara in view of Chen teaches the encoder according to claim 13,
`
`wherein the circuitry derives the weighting matrix from the first quantization matrix (Shibahara
`
`[0032]).
`
`Regarding claim 15, Shibahara in view of Chen teaches the encoder according to claim 13,
`
`wherein the circuitry derives the common quantization step from a quantization parameter for
`
`the current block (Shibahara [0117] and [0109)).
`
`Regarding claims 19 and 34, Shibahara in view of Chen teachesa decoder which decades a
`
`current block to be decoded, the decoder comprising: circuitry; and memory, wherein using the
`
`memory,the circuitry: decodes quantized coefficients of a current block to be decoded from an encoded
`
`bitstream; determines whether an inverse secondary transform is to be applied to the current block;
`
`calculates primary coefficients by performing a first inverse quantization on the quantized coefficients,
`
`and performs an inverse primary transform from the primary coefficients to residuals of the current
`
`block when the inverse secondary transform is not to be applied; and calculates secondary coefficients
`
`by performing a second inverse quantization on the quantized coefficients, performs an inverse
`
`secondary transform from the secondary coefficients to primary coefficients, and performs an inverse
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 9
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`primary transform from the primary coefficients to residuals of the current block when the inverse
`
`secondary transform is to be applied (see claim 1 citations, the claims recite analogous limitations to
`
`claim 1 above and is therefore rejected on the same premise. Furthermore, claims 19 and 34 relatetoa
`
`decoder which performs the inverse operations of an encoder. Shibahara teaches a decoder performing
`
`inverse operations ([0069] and fig. 18).
`
`Regarding claim 20, Shibahara in view of Chen teaches the decoder according to claim 19,
`
`wherein the first inverse quantization is a weighted inverse quantization using a first quantization
`
`matrix, and the second inverse quantizationis a weighted inverse quantization using a second
`
`quantization matrix different from the first quantization matrix (see claim 2 citations and Shibaharafig.
`
`18, #530, claim 20 is a decoder which performs inverse operations of claim 2).
`
`Regarding claim 21, Shibahara in view of Chen teaches the decoder according to claim 20,
`
`wherein the circuitry parses the first quantization matrix and the second quantization matrix from the
`
`encodedbitstream (see claim 3 citations and Shibaharafig. 18, claim 21 is a decoder which performs
`
`inverse operations of claim 3).
`
`Regarding claim 22, Shibahara in view of Chen teaches the decoder according to claim 21,
`
`wherein the secondarycoefficients include one or morefirst secondary coefficients and one or more
`
`second secondary coefficients, the inverse secondary transform is applied to the one or morefirst
`
`secondarycoefficients and is not applied tothe one or more second secondarycoefficients, the second
`
`quantization matrix has one or more first component values corresponding to the one or morefirst
`
`secondary coefficients and one or more second component values corresponding to the one or more
`
`second secondary coefficients, each of the one or more second component values of the second
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 10
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`quantization matrix matchesa corresponding one of componentvaluesof the first quantization matrix,
`
`and when the circuitry parses the second quantization matrix, the circuitry parses, from the encoded
`
`bitstream, only the one or morefirst component values among the one or morefirst component values
`
`and the one or more second component values (see claim 4 citations and Shibaharafig. 18, claim 22 is a
`
`decoder which performs inverse operations of claim 4).
`
`Regarding claim 23, Shibahara in view of Chen teaches the decoder according to claim 21,
`
`wherein in the inverse secondary transform, a plurality of bases which has been deter mined is
`
`selectively used, the encoded bitstream includes a plurality of second quantization matrices
`
`corresponding to the plurality of bases, and in the second inverse quantization, a second quantization
`
`matrix corresponding toa basis used for the inverse secondary transform is selected from the plurality
`
`of second quantization matrices (see claim 5 citations and Shibaharafig. 18, claim 23 is a decoder which
`
`performs inverse operations of claim 5).
`
`Regarding claim 24, Shibahara in view of Chen teaches the decoder according to claim 20,
`
`wherein the first quantization matrix and the second quantization matrix are defined in advancein a
`
`standard (see claim 6 citations and Shibahara fig. 18, claim 24 is a decoder which performs inverse
`
`operations of claim 6).
`
`Regarding claim 25, Shibahara in view of Chen teaches the decoder according to claim 20,
`
`wherein the circuitry derives the second quantization matrix from thefirst quantization matrix (see
`
`claim 7 citations and Shibaharafig. 18, claim 25 is a decoder which performs inverse operations of claim
`
`7).
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 11
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`Regarding claim 26, Shibahara in view of Chen teaches the decoder according to claim 25,
`
`wherein the secondarycoefficients include one or morefirst primary coefficients and one or more
`
`second primary coefficients, the inverse secondary transformis applied to the one or morefirst
`
`secondary coefficients and is not applied tothe one or more second secondary coefficients, the second
`
`quantization matrix has one or morefirst component values corresponding to the one or morefirst
`
`secondary coefficients and one or more second component values corresponding to the one or more
`
`second secondary coefficients, each of the one or more second component values of the second
`
`quantization matrix matchesa corresponding one of componentvaluesof the first quantization matrix,
`
`and when the circuitry derives the second quantization matrix, the circuitry derives only the one or
`
`morefirst component values from the first quantization matrix (see claim 8 citations and Shibaharafig.
`
`18, claim 26 is a decoder which performsinverse operations of claim 8).
`
`Regarding claim 27, Shibahara in view of Chen teaches the decoder according to claim 25,
`
`wherein the second quantization matrixis derived by applying a secondary transform to the first
`
`quantization matrix (see claim 9 citations and Shibahara fig. 18, claim 27 is a decoder which performs
`
`inverse operations of claim 9).
`
`Regarding claim 30, Shibaharain view of Chen teaches the decoder according to claim 19,
`
`wherein the first inverse quantization is a weighted inverse quantization in which a quantization matrix
`
`is used, and the second inverse quantization is a non-weighted inverse quantizationin which no
`
`quantization matrix is used (see claim 12 citations and Shibahara fig. 18, claim 30 isa decoder which
`
`performs inverse operations of claim 12).
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 12
`
`Regarding claim 31, Shibahara in view of Chen teaches the decoder according to claim 19,
`
`wherein the first inverse quantization is a weighted inverse quantization using a first quantization
`
`matrix, in the second inverse transform, the secondary coefficients are calculated by multiplying each of
`
`the quantized coefficients by a quantization step common between the quantized coefficients, and in
`
`the inverse second quantization, the primary coefficients are calculated by (i) performing an inverse
`
`transform on the secondarycoefficients to weighted primary coefficients, and (ii) dividing each of the
`
`weighted primary coefficients by a corresponding componentvalue of a weighting matrix (see claim 13
`
`citations and Shibahara fig. 18, claim 31 is a decoder which performs inverse operations of claim 13).
`
`Regarding claim 32, Shibahara in view of Chen teaches the decoder according to claim 31,
`
`wherein the circuitry derives the weighting matrix from the first quantization matrix (see claim 14
`
`citations and Shibahara fig. 18, claim 32 isa decoder which performs inverse operations of claim 14).
`
`Regarding claim 33, Shibahara in view of Chen teaches the decoder according to claim 31,
`
`wherein the circuitry derives the common quantization step from a quantization parameter for the
`
`current block (see claim 15 citations and Shibaharafig. 18, claim 33 is adecoder which performs inverse
`
`operations of claim 15).
`
`Allowable Subject Matter
`
`8.
`
`Claims 10-11 and 28-29 are objected to as being dependent upon a rejected base claim, but
`
`would be allowable if rewrittenin independent form including all of the limitations of the base claim and
`
`any intervening claims.
`
`

`

`Application/Control Number: 16/751,666
`Art Unit: 2482
`
`Page 13
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`Conclusion
`
`Anyinquiry concerning this communication or earlier communications from the examiner
`
`should be directed to MATTHEW K KWAN whosetelephone number is (571)270-7073. The examiner
`
`can normally be reached on Monday-Friday 9:30am-6:00pm.
`
`Examiner interviews are available via telephone, in-person, and video conferencing using a
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`the USPTO Automated Interview Request (AIR) at http://www. uspto.gov/interviewpra ctice.
`
`If attempts to reachthe examiner by telephone are unsuccessful, the examiner’s supervisor,
`
`Chris Kelley can be reached on (571)272-7331. The fax phone number for the organization wherethis
`
`application or proceedingis assigned is 571-273-8300.
`
`Information regarding the status of an application may be obtained from the Patent Application
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`from either Private PAIR or Public PAIR. Status information for unpublished applications is available
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`
`/MATTHEW K KWAN/
`Primary Examiner, Art Unit 2482
`
`