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 .
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
Response to Amendment
Receipt is acknowledged of applicant’s amendment filed November 7, 2025. Claims 1-20 are pending and an action on the merits is as follows.
Response to Arguments
Applicant's arguments filed November 7, 2025 have been fully considered but they are not persuasive.
In regard to independent claim 1, applicant’s arguments, on pages 9-10 of the Remarks, that the previously applied prior art fails to disclose all of the limitations of claim 1, as newly amended, have been fully considered and are appreciated.
Namely, applicant argues that the previously applied prior art fails to disclose “a second electrode configured to receive a second voltage and transmit laser light;” and “wherein the first electrode is configured to receive the laser light transmitted through the second electrode and reflect the laser light to the second electrode.” However, the newly cited rejection to Kim et al. (US 2005/0002101 A1) discloses said limitations as set forth below.
Similar arguments apply to independent claims 9 and 10.
Claim Objections
Claim 9 is objected to because of the following informalities.
In line 8 of claim 9, “light-guiding” should be replaced with “light-guiding layer” in order to correct what appears to be a typographical error.
Appropriate correction is required.
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.
Claims 1-5 and 9 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Kim et al. (US 2005/0002101 A1).
In regard to claim 1, Kim et al. discloses a light-guiding device (denoted “reflective type modulator”, see e.g. paragraph [0038]) comprising (see e.g. Figure 5):
a first electrode layer 51 configured to receive a first voltage (see e.g. Figure 5 and paragraph [0039] for metal electrode 51);
a second electrode layer 50 configured to receive a second voltage and transmit laser light 46 (see e.g. Figure 5 and paragraph [0039] for transparent electrode plate 50 and laser beam 46); and
a light-guiding layer 2,21 between the first electrode layer 51 and the second electrode layer 52 (see e.g. Figure 5 and paragraph [0041] for phase diffraction members 2,21);
wherein the first electrode layer 51 is configured to receive the laser light 46 transmitted through the second electrode 50 and reflect the laser light 46 to the second electrode 50 (see e.g. Figure 5 and paragraph [0039] where 50 is transparent and 51 is reflective),
a reflection angle of the laser light 46 reflected by the first electrode layer 51 is controlled by deformation of the first electrode layer 51 when the first voltage and the second voltage are applied (see e.g. Figure 5 and paragraph [0039] where it is noted that 51 is a metal electrode), and
the light-guiding layer 2,21 is configured to control a propagation direction of the laser light 46 according to the first voltage and the second voltage (see e.g. paragraph [0037]).
The limitation, “a reflection angle of the laser light reflected by the first electrode layer is controlled by deformation of the first electrode layer when the first voltage and the second voltage are applied” is functional in nature. Such a functional limitation is only given patentable weight insofar as it imparts a structural limitation. Here, the device of Kim et al. disclose all cited structures necessary to perform the claimed function. It is further noted that the limitation, “when the first voltage and the second voltage are applied” is conditional and the claim is additionally satisfied when the voltages are not applied.
In regard to claim 2, Kim et al. discloses the limitations as applied to claim 1 above, and
wherein a refractive index of the light-guiding layer 2,21 changes as the difference between the first and the second voltages changes (see e.g. Figure 5 and paragraph [0011] for refractive index change with voltage), thereby controlling the propagation direction of the laser light 46.
In regard to claim 3, Kim et al. discloses the limitations as applied to claim 1 above, and
wherein the light-guiding layer 2,21 comprises electro-optic material, and the refractive index changes continuously as the difference between the first and the second voltages changes (see e.g. paragraph [0011] where it is noted that element 2,21 may be an electro-optic material whose refractive index varies according to an electrical signal applied).
In regard to claim 4, Kim et al. discloses the limitations as applied to claim 3 above, and
wherein the light-guiding layer 2,21 comprises at least one of a nonlinear electro-optic material and a linear electro-optic material (see e.g. paragraph [0011] where it is noted that element 2,21 may be an electro-optic material whose refractive index varies according to an electrical signal applied).
In regard to claim 5, Kim et al. discloses the limitations as applied to claim 1 above, and
wherein the first electrode layer 51 is made of metal (see e.g. Figure 5 and paragraph [0039] where it is noted that 51 is a metal electrode).
In regard to claim 9, Kim et al. discloses a light-guiding device (denoted “reflective type modulator”, see e.g. paragraph [0038]) comprising (see e.g. Figure 5):
a first electrode layer 51 configured to receive a first voltage (see e.g. Figure 5 and paragraph [0039] for metal electrode 51);
a second electrode layer 50 configured to receive a second voltage and transmit laser light 46 (see e.g. Figure 5 and paragraph [0039] for transparent electrode plate 50 and laser beam 46); and
a light-guiding layer 2,21 between the first electrode layer 51 and the second electrode layer 52 (see e.g. Figure 5 and paragraph [0041] for phase diffraction members 2,21);
wherein the first electrode layer 51 is configured to receive the laser light 46 transmitted through the second electrode 50 and reflect the laser light 46 to the second electrode 50 (see e.g. Figure 5 and paragraph [0039] where 50 is transparent and 51 is reflective),
the first electrode layer 51 and the light-guiding layer 2,21 are configured to control an exit angle of the laser light 46 reflected by the first electrode layer 51 according to the first voltage and the second voltage (see e.g. paragraph [0037]).
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.
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Kim et al. (US 2005/0002101 A1) in view of Jang et al. (US 2022/0197043 A1).
In regard to claim 6, Kim et al. discloses the limitations as applied to claim 1 above, but fails to disclose
wherein the second electrode layer is made of transparent conductive oxide.
However, Jang et al. discloses
wherein the second electrode layer is made of transparent conductive oxide (see e.g. paragraph [0123] where ITO is noted to be used as a conductive electrode).
Given the teachings of Jang et al., it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim et al. with wherein the second electrode layer is made of transparent conductive oxide.
Selecting ITO or another conductive oxide is known in the art for use in applying electric fields to electro optic devices when transparency to light is required, due to its high conductivity and transparency.
Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Kim et al. (US 2005/0002101 A1) in view of Kim et al. (US 2018/0136539 A1), cited in previous office action, hereinafter Kim ‘539.
In regard to claim 7, Kim et al. discloses the limitations as applied to claim 1 above, but fails to disclose
wherein the light-guiding layer comprises a heat dissipation substrate at a side of the first electrode layer away from the second electrode layer, and the heat dissipation substrate is configured to dissipate heat generated by the first electrode layer.
However, Kim ‘539 discloses
wherein the light-guiding layer 30 comprises a heat dissipation substrate 10 at a side of the first electrode layer 20 away from the second electrode layer 40 (see e.g. paragraph [0044] where it is noted that the substrate may be made of silicon, which would dissipate heat), and the heat dissipation substrate 10 is configured to dissipate heat generated by the first electrode layer 20 (see e.g. paragraph [0044] where it is noted that the substrate may be made of silicon, which would dissipate heat).
Given the teachings of Kim ‘539, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim et al. with wherein the light-guiding layer comprises a heat dissipation substrate at a side of the first electrode layer away from the second electrode layer, and the heat dissipation substrate is configured to dissipate heat generated by the first electrode layer.
Providing a heat dissipation structure allows any heat generated by the device to be efficiently dissipated from the device, thus improving performance.
Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Kim et al. (US 2005/0002101 A1) in view of in view of Hikmet (US 2008/0089073 A1).
In regard to claim 8, Kim et al. discloses the limitations as applied to claim 1 above, but fails to disclose
wherein the first electrode layer is an anode electrode, and the second electrode layer is a cathode electrode.
However, Hikmet discloses
wherein the first electrode layer is an anode electrode, and the second electrode layer is a cathode electrode (see e.g. paragraph [0068] where a cathode and anode electrode are used to apply an electric field to an electrooptic layer).
Given the teachings of Hikmet, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim et al. with wherein the first electrode layer is an anode electrode, and the second electrode layer is a cathode electrode.
Using a cathode and anode electrode to apply an electric field to electrooptic layer is known to change the optical characteristics such as the refractive index of the material, which may be used in various deflection applications.
Claims 10, 11, 14-17, and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Kim ‘539 (US 2018/0136539 A1), in view of Kim et al. (US 2005/0002101 A1).
In regard to claim 10, Kim et al. ‘539 discloses an optical radar comprising (see e.g. Figures 1 and 11):
a laser source 410 configured to emit a laser light (see e.g. paragraph [0085] where a laser diode may be used as a light source);
a light-guiding device comprising:
a first electrode layer 20 (denoted “waveguide”) configured to receive a first voltage (see e.g. paragraph [0048] where it is noted that element 20 may operate as a common electrode, thus receiving a common voltage);
a second electrode layer 40 (denoted “electrode layer”) configured to receive a second voltage (see e.g. paragraph [0048] where it is noted element 40 serves as an electrode for applying a voltage); and
and
a light-guiding layer 30 (denoted “cladding layer”) between the first electrode layer 20 and the second electrode layer 40 (see e.g. paragraph [0046]);
a light detector 440 configured to receive a reflected light and generate a sensing signal according to the reflected light (see e.g. paragraphs [0084]-[0085]), the reflected light being reflected by the external object O according to the laser light (see e.g. paragraph [0085]); and
the first electrode layer 20 and the light-guiding layer 30 are configured to guide the laser light to an external object O (see e.g. paragraph [0084]), and
a controller 430 electrically connected to the first electrode layer 20, the second electrode layer 40, and the light detector 440 (see e.g. paragraph [0084]), the controller 430 configured to control the first voltage and the second voltage to control the exit angle (see e.g. paragraph [0084] where it is noted that it includes a circuit for driving a beam steering device), and generate a direction and distance of the external object according to the sensing signal (see e.g. paragraph [0085]).
Kim ‘539 fails to disclose
the second electrode layer configured to transmit light;
wherein the first electrode layer is configured to receive the laser light transmitted through the second electrode and reflect the laser light to the second electrode,
the first electrode layer and the light-guiding layer are configured to control an exit angle of the laser light according to the first voltage and the second voltage.
However, Kim et al. discloses (see e.g. Figure 5):
the second electrode layer 50 configured to transmit light (see e.g. Figure 5 and paragraph [0039] for transparent electrode plate 50 and laser beam 46);
wherein the first electrode layer 51 is configured to receive the laser light 46 transmitted through the second electrode 50 and reflect the laser light 46 to the second electrode 50 (see e.g. Figure 5 and paragraph [0039] where 50 is transparent and 51 is reflective),
the first electrode layer 51 and the light-guiding layer 2,21 are configured to control an exit angle of the laser light 46 reflected by the first electrode layer 51 according to the first voltage and the second voltage (see e.g. paragraph [0037]).
Given the teachings of Kim et al., it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim ‘539 with the second electrode layer configured to transmit light; wherein the first electrode layer is configured to receive the laser light transmitted through the second electrode and reflect the laser light to the second electrode, the first electrode layer and the light-guiding layer are configured to control an exit angle of the laser light according to the first voltage and the second voltage.
Providing a reflective type beam steering device would allow the device to be adapted to be used in applications where reflection configurations are more easily implemented than transmission applications.
In regard to claim 11, Kim ‘539 discloses the limitations as applied to claim 10 above, and
a reflection angle of the laser light reflected by the first electrode layer 20 is controlled by deformation of the first electrode layer 20 when the first voltage and the second voltage are applied, and the light-guiding layer 30 is configured to control a propagation direction of the laser light according to the first voltage and the second voltage (see e.g. paragraph [0046] where it is noted that element 30 may be an electro-optic material whose refractive index varies according to an electrical signal applied).
In regard to claim 14, Kim ‘539 discloses the limitations as applied to claim 11 above, and
wherein a refractive index of the light-guiding layer 30 changes with the first voltage and the second voltage to change the propagation direction of the laser light (see e.g. paragraph [0046] where it is noted that element 30 may be an electro-optic material whose refractive index varies according to an electrical signal applied).
In regard to claim 15, Kim ‘539 discloses the limitations as applied to claim 11 above, and
wherein the light-guiding layer 30 comprises electro-optic material, and the refractive index changes continuously as the difference between the first and the second voltages changes (see e.g. paragraph [0046] where it is noted that element 30 may be an electro-optic material whose refractive index varies according to an electrical signal applied).
In regard to claim 16, Kim ‘539 discloses the limitations as applied to claim 11 above, and
wherein the light-guiding layer 30 comprises at least one of a nonlinear electro-optic material and a linear electro-optic material (see e.g. paragraph [0046] where it is noted that element 30 may be an electro-optic material whose refractive index varies according to an electrical signal applied).
In regard to claim 17, Kim ‘539 discloses the limitations as applied to claim 11 above, but fails to disclose
wherein the first electrode layer is made of metal.
However, Kim et al. discloses
wherein the first electrode layer 51 is made of metal (see e.g. Figure 5 and paragraph [0039] where it is noted that 51 is a metal electrode).
Given the teachings of Kim et al., it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim ‘539 with wherein the first electrode layer is made of metal.
Using metal would allow the first electrode layer to be both conductive and reflective, allowing the device to operate in a reflective mode.
In regard to claim 19, Kim et al. ‘539 discloses the limitations as applied to claim 11 above, and
wherein the light-guiding layer 30 comprises a heat dissipation substrate 10 at a side of the first electrode layer 20 away from the second electrode layer 40 (see e.g. paragraph [0044] where it is noted that the substrate may be made of silicon, which would dissipate heat), and the heat dissipation substrate 10 is configured to dissipate heat generated by the first electrode layer 20 (see e.g. paragraph [0044] where it is noted that the substrate may be made of silicon, which would dissipate heat).
Claims 12 and 13 are rejected under 35 U.S.C. 103 as being unpatentable over Kim ‘539 (US 2018/0136539 A1) in view of Kim et al. (US 2005/0002101 A1) and further in view of Behroozpour et al. (US 2021/0003675 A1).
In regard to claim 12, Kim ‘539, in view of Kim et al., discloses the limitations as applied to claim 11 above, but fails to disclose
an emitting device configured to receive the laser light from the light-guiding device and emit the laser light out the optical radar; and
a receiving device configured to receive the reflected light and guide the reflected light to the light detector.
However, Behroozpour et al. discloses (see e.g. Figure 1a):
an emitting device TX optics configured to receive the laser light from the light-guiding device Light source and emit the laser light out the optical radar; and
a receiving device RX optics configured to receive the reflected light and guide the reflected light to the light detector Photodiode (array).
Given the teachings of Behroozpour et al., it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim ‘539, in view of Kim et al., with an emitting device configured to receive the laser light from the light-guiding device and emit the laser light out the optical radar; and a receiving device configured to receive the reflected light and guide the reflected light to the light detector.
Providing optics as emitting and receiving devices allows the light to be directed accordingly, i.e. toward the object or the detector, in a LIDAR application.
In regard to claim 13, Kim ‘539, in view of Kim et al., discloses the limitations as applied to claim 12 above, but fails to disclose
wherein the emitting device comprises at least one lens and the receiving device comprises at least one lens.
However, Behroozpour et al. discloses (see e.g. Figure 1a):
wherein the emitting device TX optics comprises at least one lens and the receiving device RX optics comprises at least one lens (see e.g. Figure 1a and note each have at least one lens).
Given the teachings of Behroozpour et al., it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim ‘539, in view of Kim et al., with wherein the emitting device comprises at least one lens and the receiving device comprises at least one lens.
Providing optics such as a lens as emitting and receiving devices allows the light to be directed accordingly, i.e. toward the object or the detector, in a LIDAR application.
Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Kim ‘539 (US 2018/0136539 A1) in view of Kim et al. (US 2005/0002101 A1) and further in view of Jang et al. (US 2022/0197043 A1).
In regard to claim 18, Kim ‘539, in view of Kim et al., discloses the limitations as applied to claim 11 above, but fails to disclose
wherein the second electrode layer is made of transparent conductive oxide.
However, Jang et al. discloses
wherein the second electrode layer is made of transparent conductive oxide (see e.g. paragraph [0123] where ITO is noted to be used as a conductive electrode).
Given the teachings of Jang et al., it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim ‘539, in view of Kim et al., with wherein the second electrode layer is made of transparent conductive oxide.
Selecting ITO or another conductive oxide is known in the art for use in applying electric fields to electro optic devices when transparency to light is required, due to its high conductivity and transparency.
Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Kim ‘539 (US 2018/0136539 A1) in view of Kim et al. (US 2005/0002101 A1) and further in view of in view of Hikmet (US 2008/0089073 A1).
In regard to claim 20, Kim ‘539, in view of Kim et al., discloses the limitations as applied to claim 11 above, but fails to disclose
wherein the first electrode layer is an anode electrode, and the second electrode layer is a cathode electrode.
However, Hikmet discloses
wherein the first electrode layer is an anode electrode, and the second electrode layer is a cathode electrode (see e.g. paragraph [0068] where a cathode and anode electrode are used to apply an electric field to an electrooptic layer).
Given the teachings of Hikmet, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Kim ‘539, in view of Kim et al., with wherein the first electrode layer is an anode electrode, and the second electrode layer is a cathode electrode.
Using a cathode and anode electrode to apply an electric field to electrooptic layer is known to change the optical characteristics such as the refractive index of the material, which may be used in various deflection applications.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The following reference is cited for disclosing related limitations of the applicant’s claimed and disclosed invention: Sakurai (US 2014/0016079 A1).
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.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to JESSICA M MERLIN whose telephone number is (571)270-3207. The examiner can normally be reached Monday-Thursday 7:00AM-5:00PM.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Jennifer Carruth can be reached at (571) 272-9791. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/JESSICA M MERLIN/Primary Examiner, Art Unit 2871