DETAILED ACTION
Notice of Pre-AIA or AIA Status
1. The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Response to Arguments
2. Applicant’s arguments (see Remarks dated 04/24/2026) with respect to claims 1-11, 14-18, 21-22, and 24 have been fully considered, but they are not persuasive.
Regarding the examiner’s previous 103 rejection citing Zhan in view of Paschotta, the applicant has failed to argue against the combination of references provided. In response to applicant’s arguments against the references individually, one cannot show non-obviousness by attacking references individually where the rejections are based on combinations of references. See In re Keller, 642 F.2d 413, 208 USPQ 871 (CCPA 1981); In re Merck & Co., 800 F.2d 1091, 231 USPQ 375 (Fed. Cir. 1986).
On page 9, applicant alleges that Paschotta does not teach “wherein the phase change required to be provided by each of the plurality of sub-wavelength structures is determined based on [Rin, f, λ, w], and a type of the outgoing Gaussian beam desired” (emphasis added by applicant). Applicant also argues that Paschotta “transform[s]…a defined Gaussian beam at the system level.” Thus, applicant appears to imply that the Gaussian beam characteristics described in Paschotta would not apply to the cylindrical posts within Zhan’s metasurface (which constitute the subwavelength structures of a lens structure, as claimed), seen in Zhan’s Figs. 3(a) & (c).
However, Zhan’s cylindrical posts are collectively responsible for implementing the optical characteristics imparted by its metasurface. Paragraph [0090] of Zhan even teaches that “[t]he main building block of a metasurface is a grating composed of scatterers arranged in a sub-wavelength lattice,” and then cites “cylindrical posts as the scatterers.” Therefore, it is unclear why applicant believes that the Gaussian beam characteristics described by Paschotta could not apply to Zhan’s metasurface.
Applicant further asserts that “Paschotta does not teach any physical implementation” of the optical element(s) described therein. However, the concepts addressed by Paschotta refer to physical lenses, other physical objects/phenomena, and the transmission of light. It is unclear how applicant believes Paschotta discusses “non-physical” implementations of the optical processes described therein.
Claim Rejections - 35 USC § 103
3. The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
4. Claims 1-6, 11, 14-18, and 21 are rejected under 35 USC 103 as being unpatentable over Zhan et al. (US 20180246262 A1, of record) in view of Paschotta (R. Paschotta, "Gaussian Beams" (2006), RP Photonics Encyclopedia, https://doi.org/10.61835/mla — of record).
Regarding claim 1, Zhan discloses an optical system ([0094]-[0095] & Fig. 3c) comprising:
a lens structure ([0094] & Fig. 3c, metasurface) configured to generate an outgoing Gaussian beam based on an incoming Gaussian beam ([0095] & Fig. 4c); and
a light source configured to provide the incoming Gaussian beam to the lens structure ([0094] & Fig. 3c, LED);
wherein the lens structure is a flat lens or a phase plate ([0019], [0063] & Fig. 3a);
wherein the flat lens or the phase plate comprises a plurality of sub-wavelength structures ([0009], “cylindrical posts have a diameter in a range of ⅛ of the first wavelength to ⅔ of the first wavelength”);
wherein dimensions and a position of each of the plurality of sub-wavelength structures are determined based on a phase change required to be provided by each of the plurality of sub-wavelength structures ([0090], “Reproducing these devices using a metasurface involves selecting parameters to achieve the desired spatial phase profile, arranging the scatters on a sub-wavelength lattice, and spatially varying their dimensions”),
wherein the phase change required to be provided by each of the plurality of sub-wavelength structures is determined such that different parts of the lens structure comprising different sub-wavelength structures of the plurality of sub-wavelength structures (Fig. 3a, parts of the lens structure & sub-wavelength structures are “different” by virtue of being located at different positions) cause different phase changes of the incoming Gaussian beam to transform the incoming Gaussian beam into the outgoing Gaussian beam ([0088], “each sub-wavelength structure imparts a discrete, abrupt change in the phase of incoming light”).
Zhan fails to explicitly disclose wherein the phase change required to be provided by each of the plurality of sub-wavelength structures is determined based on a radius of a curvature of the incoming Gaussian beam (Rin), a desired distance between the lens structure and a beam waist of the outgoing Gaussian beam (f), a wavelength of the incoming Gaussian beam (λ), a desired beam radius of the incoming Gaussian beam at the lens structure (w), and a type of the outgoing Gaussian beam desired.
However, Paschotta discusses phase profiles and mathematical properties of Gaussian beams as they interact with lenses, and discloses wherein Rin, f, λ, and w each influence the phase of a Gaussian beam (Gaussian Beams article).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine Zhan and Paschotta such that the phase change required to be provided was determined based on Rin, f, λ, and w, and a type of the outgoing Gaussian beam desired, motivated by allowing a user to produce a desired beam type.
Regarding claim 2, modified Zhan discloses where the lens structure further comprises a substrate such that the plurality of sub-wavelength structures are in contact with the substrate (Zhan - [0007]); and
wherein each of the plurality of sub-wavelength structures has at least one dimension smaller than a wavelength of the incoming Gaussian beam (Zhan - [0009]-[0010], diameter or periodicity).
Regarding claim 3, modified Zhan discloses wherein each of the plurality of sub-wavelength structures is any one selected from a group consisting of a circular pillar, a disk, a bar, a slot on the substrate, and a torus (Zhan - [0009], cylindrical posts).
Regarding claim 4, modified Zhan discloses wherein each of the plurality of sub-wavelength structures has a cross-section of any one shape selected from a group consisting of a circle, an ellipse, a triangle, an annular square, an annular ring, and a polygon (Zhan - [0009], cylindrical posts).
Regarding claims 5 and 21, modified Zhan discloses wherein the plurality of sub-wavelength structures comprises any one material selected from a group consisting of amorphous silicon, titanium dioxide, aluminum oxide, hafnium oxide, niobium oxide, silicon nitride, gallium nitride, aluminum nitride, aluminum gallium nitride, gallium phosphide, aluminum phosphide, aluminum gallium phosphide, crystalline germanium, and crystalline silicon (Zhan - [0087], silicon nitride).
Regarding claim 6, modified Zhan discloses wherein the outgoing Gaussian beam is a converging beam (Zhan - Fig. 3c).
Regarding claim 11, Zhan discloses a method of forming an optical system ([0094]-[0095] & Fig. 3c), the method comprising:
forming a lens structure ([0094] & Fig. 3c, metasurface) configured to generate an outgoing Gaussian beam based on an incoming Gaussian beam ([0095] & Fig. 4c) provided by a light source ([0094] & Fig. 3c, LED);
wherein the lens structure is a flat lens or a phase plate ([0019] & Fig. 3a),
wherein the flat lens or the phase plate comprises a plurality of sub-wavelength structures ([0007], cylindrical posts); and
wherein forming the lens structure includes determining dimensions and a position of each of the plurality of sub-wavelength structures based on a phase change required to be provided by each of the plurality of sub-wavelength structures ([0090], “Reproducing these devices using a metasurface involves selecting parameters to achieve the desired spatial phase profile, arranging the scatters on a sub-wavelength lattice, and spatially varying their dimensions”),
wherein the phase change required to be provided by each of the plurality of sub-wavelength structures is determined such that different parts of the lens structure comprising different sub-wavelength structures of the plurality of sub-wavelength structures (Fig. 3a, parts of the lens structure & sub-wavelength structures are “different” by virtue of being located at different positions) cause different phase changes of the incoming Gaussian beam to transform the incoming Gaussian beam into the outgoing Gaussian beam ([0088], “each sub-wavelength structure imparts a discrete, abrupt change in the phase of incoming light”).
Zhan fails to explicitly disclose wherein the phase change required to be provided by each of the plurality of sub-wavelength structures is determined based on a radius of a curvature of the incoming Gaussian beam (Rin), a desired distance between the lens structure and a beam waist of the outgoing Gaussian beam (f), a wavelength of the incoming Gaussian beam (λ), a desired beam radius of the incoming Gaussian beam at the lens structure (w), and a type of the outgoing Gaussian beam desired.
However, Paschotta discusses phase profiles and mathematical properties of Gaussian beams as they interact with lenses, and discloses wherein Rin, f, λ, and w each influence the phase of a Gaussian beam (Gaussian Beams article).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine Zhan and Paschotta such that the phase change required to be provided was determined based on Rin, f, λ, and w, and a type of the outgoing Gaussian beam desired, motivated by allowing a user to produce a desired beam type.
Regarding claim 14, modified Zhan discloses wherein the type of the outgoing Gaussian beam is any one selected from a diverging beam, a converging beam, and a collimated beam (Paschotta - “a quadratic phase variation is associated with divergence or convergence of the beam”).
Regarding claim 15, modified Zhan discloses wherein forming the lens structure further includes:
depositing a layer of lens material on a substrate (Zhan - [0093], silicon nitride); and
forming the plurality of sub-wavelength structures by patterning the layer of lens material (Zhan - [0093]).
Regarding claim 16, modified Zhan discloses wherein patterning the layer of lens material comprises:
forming a patterned resist layer on the layer of lens materials (Zhan - [0093]); and
etching the layer of lens material based on the patterned resist layer (Zhan - [0093]).
Regarding claim 17, modified Zhan discloses wherein patterning the layer of lens material comprises:
depositing a resist layer on a hard mask layer (Zhan - [0093]);
patterning the resist layer to form a patterned resist layer (Zhan - [0093]);
forming a hard mask based on the hard mask layer using the patterned resist layer (Zhan - [0093]); and
etching the layer of lens materials based on the hard mask (Zhan - [0093]).
Regarding claim 18, modified Zhan discloses wherein each of the plurality of sub-wavelength structures has at least one dimension smaller than a wavelength of the incoming Gaussian beam (Zhan - [0009]-[0010], diameter or periodicity).
5. Claim 7 is rejected under 35 USC 103 as being unpatentable over Zhan in view of Paschotta, and further in view of Sakai et al. (US 20170363876 A1, of record).
Regarding claim 7, modified Zhan fails to disclose wherein the outgoing Gaussian beam is a diverging beam.
However, Sakai teaches a similar Gaussian optical system (Abstract), and discloses wherein an outgoing Gaussian beam is a diverging beam (Fig. 1, L1 after 20).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine modified Zhan with Sakai such that the outgoing Gaussian beam was a diverging beam, motivated by accommodating an amplitude mask (Sakai - [0037]).
6. Claims 8 and 24 are rejected under 35 USC 103 as being unpatentable over Zhan in view of Paschotta, and further in view of Leger et al. (US 20180356642 A1, of record).
Regarding claim 8, modified Zhan fails to disclose wherein the outgoing Gaussian beam is a collimated beam.
However, Leger teaches a similar Gaussian optical system ([0037]-[0047]), and discloses wherein the outgoing Gaussian beam is a collimated beam ([0081] and [0086]).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine modified Zhan with Leger such that the outgoing Gaussian beam was a collimated beam, motivated by promoting good agreement (Leger - [0081], Fig. 6).
Regarding claim 24, modified Zhan discloses wherein the lens structure is a single flat lens or a single phase plate (Zhan - [0019], [0063] & Fig. 3a and 3c).
7. Claim 22 is rejected under 35 USC 103 as being unpatentable over Zhan in view of Paschotta, and further in view of Ikeda et al. (US 20040228000 A1, of record).
Regarding claim 22, modified Zhan fails to explicitly disclose wherein a ratio of a diameter of the lens structure to a radius of a beam waist of the incoming Gaussian beam is any value equal to or greater than 2.
However, Ikeda teaches a similar Gaussian optical system (Abstract), and discloses wherein a ratio of a diameter of the lens structure to a radius of a beam waist of the incoming Gaussian beam is any value equal to or greater than 2 (Fig. 3B).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine modified Zhan with Ikeda, such that the ratio of a diameter of the lens structure to a radius of a beam waist of the incoming Gaussian beam was ≥2, motivated by allowing for the transmittance of multiple beams (Fig. 3B).
Conclusion
8. Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). 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.
9. Any inquiry concerning this communication or earlier communications from the examiner should be directed to Daniel Jeffery Jordan whose telephone number is 571-270-7641. The examiner can normally be reached 9:30a-6:00p.
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/D. J. J./Examiner, Art Unit 2872
/TRAVIS S FISSEL/Primary Examiner, Art Unit 2872
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