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 .
Examiner note:
The most recently filed Application Data Sheet (received 06/17/2025) changes assignment of this application from Seagate Technology, LLC to Luminar Technologies, Inc. An updated Power of Attorney (received 01/12/2026) reflects the same. According to the Examiner’s brief research, it appears that Luminar had acquired intellectual property related to Seagate’s lidar program, possibly in 2023.
The instant claims are drawn to an opto-mechanical phase shifter (OMPS) device that is merely claimed to work in combination with a lidar system (claims 1-8); an actual lidar system that includes an OMPS device (claims 9-17); and a method that recites particulars of an OMPS and derivation of range information but without specifically claiming lidar.
Therefore, the prior art rejection over Jain (2021/0181594) is made herein because it is not readily apparent to the Examiner whether the instant application is considered to be part of Seagate’s past lidar portfolio, and if so, to what extent, or if a change in assignee is unrelated thereto. Further, it is unclear if the Seagate and Luminar assignees are now intended to be considered one in the same or distinct, for purposes of applying prior art to the instant claimed invention.
Due to the uncertainty stated above, it seems prudent that the Examiner make the following prior art rejection, in light of Jain (2021/0181594), pending formal remarks and/or evidence from Applicant that may serve to properly invalidate the prior art reference, if appropriate.
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(s) 1-2, 4, 8-10, 13, 15-16, 18-19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Jain (2021/0181594).
Claim 9 and Claims 1 and 18 mutatis mutandis: Jain teaches a light detection and ranging (LiDAR) system [at least 0038 teaches a lidar application (end of parag.), a lidar system which is implicit thereof] comprising:
a light source configured to generate electromagnetic radiation in the form of a beam of light
[0014 light source 106];
an opto-mechanical phase shifter (OMPS) device [0018 dielectric block 208 includes a phase-
shifting portion 208a wherein tunable metasurface 200 corresponds to the OMPS device
which provides outgoing light, with a portion of 200 (208a) corresponding to the phase
shifter] configured to direct the beam of light from the light source across a selected
field of view (FoV) [fig. 2, tunable metasurface 200 corresponds to the OMPS device
which provides outgoing light], the OMPS device comprising
a semiconductor substrate [0019 semiconductor material of the cell 202] and an array of unit
cells supported by the semiconductor substrate [0019 cell 202 of a plurality of cells],
each of the unit cells comprising opposing first and second doped regions to form a
channel therebetween [0020 positively and negatively doped sides of the cell 202], a
resonator block of dielectric material adjacent the channel [0018 dielectric block 208
includes phase shifting portion 208a which acts as a resonator; see fig. 2 for component
configuration], and a flexible layer extending in noncontacting spaced apart relation to
the resonator block to form a gap therebetween [0023 upper surface of metasurface 200 with flexibility of the layer corresponding to the surface capable of being either reflective or transmissive to light]; and
a control circuit configured to apply a voltage across the first and second doped regions of at
least one of the unit cells to establish an electrical field that controllably deforms the
associated flexible layer to direct the beam of light in a desired direction toward the
FoV [0020 teaches applying voltage to positively and negatively doped regions of the unit cell 202 which affects steering angle within FOV of the unit cell 202; further 0023 teaches electrodes 214/216 are positioned relative to the unit cell so as to cause current to flow laterally along the plane of the metasurface 200 within the base of unit cell 202 and when transparent semiconductor materials are used for high index block 208 and low index dielectric substrate 204, the placement of electrodes 214/216 ensures that there is no light loss due to electrodes blocking incident light and the metasurface 200 operates in either reflective or transmissive mode, controlling direction of a light beam; wherein the flexible layer corresponds to an upper surface of the metasurface 200, with flexibility of the layer corresponding to the surface capable of being either reflective or transmissive to light and the deformation of the layer corresponding to the laying actually being one of transmissive or reflective].
Regarding first and second angles (as in Claim 18): Jain teaches a change in field of view of a unit
cell via variable beam steering angle [0022].
Regarding “a flexible layer extending in noncontacting spaced apart relation to the resonator block to form a gap therebetween”, the disclosure of Jain does not clearly describe the relation between the metasurface 200, the upper surface of the metasurface, and the dielectric block 208 in such a way that a reader would readily understand if or how the upper surface of the metasurface would connect to the dielectric block with a physical connection, gap or space between the two components. However, a person of ordinary skill in the art would understand that since the dielectric block 208 is part of metasurface 200, wherein metasurface 200 includes a surface for which to transmit and receive light, it follows that the upper surface of the metasurface 200 (which performs the light transmission) would be arranged on, near, proximate to, connected to, etc., the dielectric block 208 since the components are shown electro-optically connected in fig. 2. Thus, the person of ordinary skill in the art would reasonably conclude that when two components are optically and/or electrically connected, the disclosed light transmission would occur in the same or nearly the same way regardless of whether the components at issue are physically connected (such as via adhesion) or not physically connected (such as being spaced apart). Thus, the person of ordinary skill in the art would find obvious employing the upper surface of the metasurface 200 as being physically spaced apart from the dielectric block 208, as such would allow for light transmission as described in Jain as well as claimed in the instant application, since the spacing of the components is not claimed in such a way so as to yield an unexpected result.
Additionally, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the embodiments disclosed in Jain, as cited above, with a reasonable expectation of success because the embodiments cited are described in such a way that certain components are employable as alternatives to one another and in different combinations and configurations.
2 and 13 mutatis mutandis: Jain teaches the flexible layer and the resonator are formed of a translucent dielectric material to facilitate passage of the beam of light into the semiconductor substrate at a first angle and out of the semiconductor substrate at a selected second angle [the flexible layer corresponds to a transmissive upper surface of the metasurface 200, wherein transmission angles are shown in fig. 2 and given a FOV, also implicit].
4: Jain teaches the substrate is formed of semiconductor material to form a channel between the respective first and second doped regions, wherein the resonator is disposed over and in contacting relation with the channel, and wherein corresponding first and second electrically conductive electrodes are affixed to the respective first and second doped regions [fig. 2 illustrates first and second doped regions (positively and negatively doped sides of the cell 202) and electrodes 214/216 affixed thereto, resonator 208a contacting the channel that forms a space between the doped regions].
8: Jain teaches the OMPS device in combination with a detector configured to detect range information associated with a target illuminated by the beam of light directed by the OMPS device [implicit with the disclosure of lidar application, as in 0021, 0038 and 0002], and further in combination with a controller circuit which adjusts a voltage applied to the electrodes of at least one unit cell of the OMPS device responsive to the range information detected by the detector [0020 teaches applying voltage to positively and negatively doped regions of the unit cell 202 which affects steering angle within FOV of the unit cell 202; further 0023 teaches electrodes 214/216 are positioned relative to the unit cell so as to cause current to flow laterally along the plane of the metasurface 200 within the base of unit cell 202 and when transparent semiconductor materials are used for high index block 208 and low index dielectric substrate 204, the placement of electrodes 214/216 ensures that there is no light loss due to electrodes blocking incident light and the metasurface 200 operates in either reflective or transmissive mode, controlling direction of a light beam].
10 and 19 mutatis mutandis: Jain teaches a detector circuit configured to detect range information associated with a target illuminated by the beam of light directed by the OMPS device [implicit with the disclosure of lidar application, as in 0021, 0038 and 0002].
15: Jain teaches the semiconductor substrate is formed of silicon, a selected one of the first and second doped regions is a p-doped region, and a remaining one of the first and second doped regions is an n-doped region [0019-20 teach P and N doping; at least 0048 teaches a doped silicon semiconductor].
16: Jain teaches the light source is a laser diode that outputs light with a wavelength of from about 250 nanometers, nm to about 1550 nm [0021 teaches wavelengths within the claimed range; while Jain does not explicitly disclose a laser diode as the light source, employing a laser diode is well known in the art of LIDAR system configuration and operation].
Claim(s) 3, 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Jain (2021/0181594) in view of Sahlgren (US 2006/0165346).
3: Jain teaches reflecting the beam of light at the selected second angle from the rejection of claim 2.
Jain explicitly lacks, but Sahlgren teaches a metallic reflective layer affixed to the semiconductor substrate opposite the resonator to reflect the beam of light at an angle [0023 teaches the claimed configuration].
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the semiconductor phase shifter disclosed in Jain with the metallic reflective semiconductor layer disclosed in Sahlgren with a reasonable expectation of success because implementation of a metallic reflective semiconductor layer allows for providing wavelength and phase tuning of a switch element as well as facilitating distance determination based on optical path length.
14: Jain teaches the unit cells and reflecting the beam of light at the selected second angle from the rejection of claim 2.
Jain explicitly lacks, but Sahlgren teaches a metallic reflective layer affixed to the semiconductor substrate opposite the resonator to reflect the beam of light at an angle [0023 teaches the claimed configuration].
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the semiconductor phase shifter disclosed in Jain with the metallic reflective semiconductor layer disclosed in Sahlgren with a reasonable expectation of success because implementation of a metallic reflective semiconductor layer allows for providing wavelength and phase tuning of a switch element as well as facilitating distance determination based on optical path length.
Claim(s) 5-6, 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over Jain (2021/0181594) in view of Okutani (US 2007/0013282).
5: Jain teaches the intervening gap between the resonator and the flexible layer in the rejection of claim 1.
Jain explicitly lacks, but Okutani teaches to retain a volume of a selected fluid between two substrates/layers [0067].
6: Jain explicitly lacks, but Okutani teaches the selected fluid comprises an inert gas [0067].
17: Jain teaches the unit cell(s) and the gap between the flexible layer and the resonator from the rejection of claim 9.
Jain explicitly lacks, but Okutani teaches a sealed volume of gas within a gap between two components/layers [0067].
Regarding claims 5, 6, 17: It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the semiconductor phase shifter disclosed in Jain with the inert gas layer disclosed in Okutani with a reasonable expectation of success because sealing a gap or space between components or layers with an inert gas allows for preventing oxidation or corrosion, to ensure that the sealed area remains free of contamination, and/or for leak detection.
Claim(s) 11-12, 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Jain (US 2021/0181594) in view of Crawford (US 2004/0017331).
11 and 20 mutatis mutandis: Jain teaches lidar and implicit range information therefrom in the rejection of claim 9.
Jain explicitly lacks, but Crawford teaches adjusting the voltage applied to the at least one of the unit cells on response to distance [0022, 0060].
12: Jain explicitly lacks, but Crawford teaches scans the FoV along at least two orthogonal axes [0080 teaches scanning frequency over two dimensions (orthogonal scanning). A person of ordinary skill in the art would find obvious that the operation of scanning a radio frequency and the operation of scanning an optical frequency differ only in the frequencies/energy scanned, thus a radio system operates similarly to an optical system for the purpose of scanning a given frequency.].
Regarding claims 11-12, 20: It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the semiconductor phase shifter disclosed in Jain with voltage change and orthogonal scanning of Crawford with a reasonable expectation of success because orthogonal scanning allows for covering of a larger field of view than does one dimensional scanning and changing voltage to maintain a consistent voltage allows for avoiding voltage fluctuations that may lead to damage of malfunction within the system.
Allowable Subject Matter
Claim 7 is 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.
Prosecution Insights