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 .
Continued Examination Under 37 CFR 1.114
2. A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 07/30/2025 has been entered.
Response to Arguments
3. Applicant’s arguments (see Remarks dated 12/29/2025) with respect to claims 1-11, 14-18, and 21-22 have been considered, but are moot because of the new grounds of rejection.
Claim Objections
4. Claim 2 is objected to because of the following informality:
Claim 2 should read “plurality of sub-wavelength structures are in contact” (lines 2-3)
Appropriate correction is required.
Claim Rejections - 35 USC § 112
5. The following is a quotation of 35 USC 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 USC 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
6. Claim 1 is rejected under 35 USC 112(b) or 35 USC 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 USC 112, the applicant), regards as the invention.
Regarding claim 1, the applicant first claims “the lens structure is a flat lens or a phase plate” (line 6), but then claims “each of the flat lens and the phase plate.” It is unclear whether applicant intends to claim one/both of the flat lens and phase plate. For the purposes of this Office action, the examiner will interpret line 7 to read “or the phase plate.”
Claim Rejections - 35 USC § 103
7. The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
8. 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).
Regarding claim 1, as best understood, 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 each of the flat lens and 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”).
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 is 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 lens structure 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”).
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).
9. 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]).
10. 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).
11. 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
12. 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.
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, Stephone Allen can be reached at 571-272-2434. 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.
/D. J. J./Examiner, Art Unit 2872
/STEPHONE B ALLEN/Supervisory Patent Examiner, Art Unit 2872