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
Claims 1-20 are currently pending.
Independent claim(s) 1 and 11 and dependent claims 3-5 and 13-15 have been amended by applicant’s amendments received 01 April 2026. No new matter has been introduced.
Prior objections of the drawings have been overcome by amendment and are therefore withdrawn.
Prior objections of the specification have been overcome by amendment and are therefore withdrawn.
Prior objections of Claims 4-5 and 13-15 have been overcome by amendment and are therefore withdrawn.
Prior rejections of Claims 8-9 and 18-19 under USC § 112(b) have been overcome by amendment and are therefore withdrawn.
Response to Arguments
Applicant’s arguments, see Remarks, pgs. 12-14 , filed 01 April 2026, with respect to the rejection(s) of claim(s) 1 under 35 USC § 102(a)(1) and (a)(2) have been fully considered and are persuasive. Therefore, the rejection has been withdrawn. However, upon further consideration, a new ground(s) of rejection is made in view of different interpretation of the previously applied reference, in addition to newly found prior art reference(s).
Applicant’s arguments note that independent claim 1 (and similarly independent claim 11) have been amended to include limitations, such as inclusion of an apertured primary reflector which are not anticipated by, or taught, in the primary prior art of record (Shi, US 20220268891 A1). As detailed below in the updated rejection of claim 1 under 35 USC § 103, this limitation is not taught by Shi, but a combination with optical components such as an apertured reflector as taught in newly found prior art would be obvious to one of ordinary skill in the art if a differing optical orientation or necessity of components were presented.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 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 U.S.C. 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.
Claims 5-6 and 15-16 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 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 U.S.C. 112, the applicant), regards as the invention.
Regarding claims 5 and 6, amendments to claim 1 now introduce a limitation wherein “the laser, the beam shaper, the beam splitting device, the apertured primary reflector, and the first quarter-wave plate are disposed on one axis.” (emphasis added). As claimed, claims 5 and 6, which depend on claim 1, include limitations where components such as “the beam splitter, the beam combiner, the second half-wave plate, and the first polarization beam splitter are disposed on one axis.” in claim 5 and “the beam splitter and the second polarization beam splitter are disposed on one axis.” in claim 6 (emphasis added). From the claimed limitations, it is impossible to tell if the set of optical components listed in claim 1 and the components in claim 5 (or 6) are along the same ‘one’ axis, or on differing axes. While the claims are interpreted in light of the specification, the claims themselves are indefinite as written. For examination purposes, based on clarification from the specification and Figs. 3A-3D, the limitations of claims 1, 5 and 6 will be interpreted to indicate that the components of claim 1 are along a first axis, and the components of claims 5 or 6 are along a second axis.
Claims 15 and 16 are similarly rejected to claims 5 and 6. Claims 15 and 16 depend on independent claim 11 which has been amended to incorporate an identical limitation to claim 1, and claims 15 and 16 include identical limitations to claims 5 and 6, respectively.
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, 3-4 and 6-10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shi (US 20220268891 A1), in view of Campbell et al. (hereinafter Campbell, US 20170131388 A1).
Regarding claim 1, Shi teaches a laser radar device, comprising:
a laser, to generate a laser signal ([0025]; Fig. 3, laser (103));
a beam shaper to perform collimation on the laser signal ([0032]; Fig. 3, collimating optics (110));
a beam splitting device to perform beam splitting on a laser signal obtained through collimation to obtain a sounding signal and a local-frequency signal, wherein the beam splitting device includes a beam splitter ([0032]; Fig. 3, beam splitter (111) and/or splitter/combiner (112));
a receiver to receive an echo signal and transmit the echo signal to an optical mixer, wherein the echo signal is a reflected signal formed after the sounding signal irradiates a target object ([0034]; Fig. 3, MEMS (131), optics (113) and other optical components within return beam path);
the optical mixer to perform optical frequency mixing on the local-frequency signal and the echo signal to obtain a first beat frequency signal and a second beat frequency signal, wherein a phase difference between the first beat frequency signal and the second beat frequency signal is 180 degrees ([0034], [0011], [0035]; Fig. 3, combiners (112), (115) which combine signals to create first and second beat frequencies which are separated in phase by 180 degrees);
a differential receiver to differentially receive the first beat frequency signal and the second beat frequency signal, wherein the first beat frequency signal and the second beat frequency signal are used to determine target information of the target object ([0039]; Fig. 3, detectors (120) and (125) send signals to differential receiver (190));
and wherein the receiver includes a first quarter-wave plate (Fig. 3, QWP (113)), a second quarter-wave plate (Fig. 3, QWP (114)), a primary lens, and a secondary lens (Fig. 3, lenses (117, 119);
wherein the first quarter-wave plate is disposed between a refractive exit surface of the beam splitter and an incident surface of the receiver/scanner (Fig. 3, where QWP (113) is situated between beam splitter (111) and scanner (131));
wherein the laser, the beam shaper, the beam splitting device, and the first quarter-wave plate are disposed on one axis (Fig. 3, where emitter (105), collimating lens (110), beam splitter (111), QWP (113) lie on a same axis as scanner (131));
wherein the second quarter-wave plate is disposed between an exit surface of the receiver and an incident surface of the optical mixer (Fig. 3, where QWP (114) lies between receiver optics such as scanner (131) and optical mixer (115) );
wherein the sounding signal is converted by the first quarter-wave plate into a signal whose polarization state is a circular polarization state or an elliptic polarization state, and is transmitted by the apertured primary reflector and a scanner to the target object ([0034]; Fig .3 QWP (113) rotates the linear signal to circular or elliptical polarization before being sent to environment by scanner (131));
wherein the echo signal is received by the receiver through the scanner, and is reflected by the apertured primary reflector to the primary lens, a secondary reflector, and the secondary lens ([0034]; Fig. 3 where signals are scattered off the target object and returns to the system, passing through scanner (131) to combiner (112) which reflects returned signals to combiner (115), which pass to lenses (117) and (119) before being detected by differential detectors (120) and (125)).
Shi does not teach use of an apertured primary reflector between the components such as the beam splitting device and the scanner.
Campbell teaches a lidar system which includes a light source, collimating lens (112), beam splitter (114) and quarter wave plate (QWP (116) and scanner (118) all on a single axis ([0024] – [0027]; Fig. 1). The system may further employ a mirror with a hole (aperture) situated where the beam splitter is located, which passes a beam to the scanner (118), where it is emitted to the environment. Light that is scattered by the target (122) propagates back through the scanner, reflecting off the apertured mirror to secondary mirror (124), where the reflected signal is directed towards a receiver and its associated optics.
Therefore, to one of ordinary skill in the art before the effective filing date of the claimed invention, it would have been obvious prima facie to modify Shi to incorporate the teachings of Campbell, where the scanner and beam combiner of Shi would easily integrate the apertured primary reflector and secondary mirror of Campbell within a LIDAR transceiver with a reasonable expectation of success. As Campbell notes, a beam splitter/combiner can be substituted for an apertured mirror with secondary reflector for systems with differing optical orientations or needs, so this integration into the system of Shi is a simple substitution of two elements with predictable results to one of ordinary skill in the art.
Regarding claim 3, Shi as modified above teaches the laser radar device according to claim 1, further comprising:
a quarter-wave plate, to perform polarization state conversion on the echo signal and the sounding signal that pass and that is disposed on a side of the beam splitting device on which the sounding signal is output and on a side of the optical mixer on which the echo signal is input ([0034]; Fig. 3, quarter wave plate (113) which is disposed on output side of beam splitter (111) and/or (112) and input side of mixer (115)).
Regarding claim 4, Shi as modified above teaches the laser radar device according to claim 3, wherein
the quarter-wave plate is disposed between the beam splitter and the optical mixer, the quarter-wave plate is disposed on a side of the beam splitting device on which the sounding signal is output, the quarter-wave plate is disposed on a side of the optical mixer on which the echo signal is input, and the quarter-wave plate comprises one wave plate or two wave plates ([0034]; Fig. 3, quarter wave plate (113) which is disposed on output side of beam splitter (111) and/or (112) and input side of mixer (115), and can include additional wave plate such as (114)).
Regarding claim 6, Shi as modified above teaches the laser radar device according to claim 4, wherein
a second polarization beam splitter to perform frequency mixing on the echo signal for polarization state conversion and the local-frequency signal that are respectively in two optical paths to obtain the first beat frequency signal and the second beat frequency signal, wherein the beam splitter and the second polarization beam splitter are disposed on one axis ([0032]; Fig. 3 where polarization beam splitter (115) acts to combine signals from echo signals and local oscillation signals from two paths, and the splitter (112) and polarization beam splitter (115) are on the same axis).
Regarding claim 7, Shi as modified above teaches the laser radar device according to claim 1, wherein
polarization states of the sounding signal and the local-frequency signal are linear polarization states ([0033], where standard emission of lasers is linearly polarized and therefore the local-frequency and emitted beam (prior to wave plate (113)) will also have linear polarization.).
Regarding claim 8, Shi as modified above teaches the laser radar device according to claim 7, wherein
a polarization state of a sounding signal obtained through polarization state conversion is a circular polarization state or an elliptical polarization state ([0033] - [0035]; Fig. 3, as linearly polarized laser beam passes through QWP (113) it will be emitted as circularly polarized light).
Regarding claim 9, Shi as modified above teaches the laser radar device according to claim 7, wherein
a polarization state of the echo signal is a circular polarization state or an elliptical polarization state, and wherein a polarization state of the echo signal obtained through polarization state conversion is a linear polarization state ([0033] - [0035]; Fig. 3, as linearly polarized laser beam passes through QWP (113) it will be emitted as circularly polarized light, and which a returned echo signal which is circularly polarized will pass through QWP (113) and be converted to linearly polarized light).
Regarding claim 10, Shi as modified above teaches the laser radar device according to claim 1, wherein
the target information comprises at least one of a distance or a speed ([0035]).
Claim(s) 2, 11-14, and 16-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shi (US 20220268891 A1), in view of Campbell et al. (hereinafter Campbell, US 20170131388 A1) and further in view of Behzadi et al. (hereinafter Behzadi, US 20200319314 A1).
Regarding claim 2, Shi as modified above teaches the laser radar device according to claim 1, but does not teach use of a half-wave plate disposed between a beam shaper and beam splitter.
Behzadi teaches a first half-wave plate disposed between the beam shaper and the beam splitter and is configured to adjust a polarization direction of the laser signal ([0034], [0038; Fig. 2 where free space optics (212) include a half-wave plate (HWP) (208) and collimation lens (210), which next to a polarizing beam splitter (214) can have their order reversed).
Therefore, to one of ordinary skill in the art before the effective filing date of the claimed invention, it would have been obvious prima facie to modify Shi to incorporate a half-wave plate between a beam splitter and collimation optics with a reasonable expectation of success. As Behzadi notes, polarization wave plates allow for transformation of the polarization state of light within a system ([0023]), which further supports that use of wave plates within LIDAR systems is well known in the field of optical ranging and detection. Use of a half-wave plate between collimation optics and a beam splitter would be a predictable variation in the optical system to set a specific orientation of a beams polarization before transmitting to further optical components.
Regarding claim 11, Shi teaches a laser radar, wherein the laser radar comprises:
a laser, to generate a laser signal ([0025]; Fig. 3, laser (103));
a beam shaper to perform collimation on the laser signal ([0032]; Fig. 3, collimating optics (110));
a beam splitting device to perform beam splitting on a laser signal obtained through collimation to obtain a sounding signal and a local-frequency signal, wherein the beam splitting device includes a beam splitter ([0032]; Fig. 3, beam splitter (111) and/or splitter/combiner (112));
a receiver to receive an echo signal and transmit the echo signal to an optical mixer, wherein the echo signal is a reflected signal formed after the sounding signal irradiates a target object ([0034]; Fig. 3, MEMS (131), optics (113) and other optical components within return beam path);
the optical mixer to perform optical frequency mixing on the local-frequency signal and the echo signal to obtain a first beat frequency signal and a second beat frequency signal, wherein a phase difference between the first beat frequency signal and the second beat frequency signal is 180 degrees ([0034], [0011], [0035]; Fig. 3, combiners (112), (115) which combine signals to create first and second beat frequencies which are separated in phase by 180 degrees);
a differential receiver to differentially receive the first beat frequency signal and the second beat frequency signal, wherein the first beat frequency signal and the second beat frequency signal are used to determine target information of the target object ([0039]; Fig. 3, detectors (120) and (125) send signals to differential receiver (190));
and wherein the receiver includes a first quarter-wave plate (Fig. 3, QWP (113)), a second quarter-wave plate (Fig. 3, QWP (114)), a primary lens, and a secondary lens (Fig. 3, lenses (117, 119);
wherein the first quarter-wave plate is disposed between a refractive exit surface of the beam splitter and an incident surface of the receiver/scanner (Fig. 3, where QWP (113) is situated between beam splitter (111) and scanner (131));
wherein the laser, the beam shaper, the beam splitting device, and the first quarter-wave plate are disposed on one axis (Fig. 3, where emitter (105), collimating lens (110), beam splitter (111), QWP (113) lie on a same axis as scanner (131));
wherein the second quarter-wave plate is disposed between an exit surface of the receiver and an incident surface of the optical mixer (Fig. 3, where QWP (114) lies between receiver optics such as scanner (131) and optical mixer (115) );
wherein the sounding signal is converted by the first quarter-wave plate into a signal whose polarization state is a circular polarization state or an elliptic polarization state, and is transmitted by the apertured primary reflector and a scanner to the target object ([0034]; Fig .3 QWP (113) rotates the linear signal to circular or elliptical polarization before being sent to environment by scanner (131));
wherein the echo signal is received by the receiver through the scanner, and is reflected by the apertured primary reflector to the primary lens, a secondary reflector, and the secondary lens ([0034]; Fig. 3 where signals are scattered off the target object and returns to the system, passing through scanner (131) to combiner (112) which reflects returned signals to combiner (115), which pass to lenses (117) and (119) before being detected by differential detectors (120) and (125)).
Shi does not teach use of an apertured primary reflector between the components such as the beam splitting device and the scanner, and Shi is silent on the exact use of the laser radar, specifically for use in intelligent driving vehicles.
Campbell teaches a lidar system which includes a light source, collimating lens (112), beam splitter (114) and quarter wave plate (QWP (116) and scanner (118) all on a single axis ([0024] – [0027]; Fig. 1). The system may further employ a mirror with a hole (aperture) situated where the beam splitter is located, which passes a beam to the scanner (118), where it is emitted to the environment. Light that is scattered by the target (122) propagates back through the scanner, reflecting off the apertured mirror to secondary mirror (124), where the reflected signal is directed towards a receiver and its associated optics.
Behzadi teaches a processor configured to perform intelligent driving based on the laser radar ([0025], [0030]; Fig. 1, FMCW LIDAR control systems and processors such as motion control system (105), GPS (109) and processing unit (112) may interact with other systems connected to the LIDAR, such as to control an autonomous vehicle).
Therefore, to one of ordinary skill in the art before the effective filing date of the claimed invention, it would have been obvious prima facie to modify Shi to incorporate the teachings of Campbell, where the scanner and beam combiner of Shi would easily integrate the apertured primary reflector and secondary mirror of Campbell within a LIDAR transceiver, and by Behzadi to utilize the FMCW LIDAR system within an autonomous vehicle with a reasonable expectation of success. As Campbell notes, a beam splitter/combiner can be substituted for an apertured mirror with secondary reflector for systems with differing optical orientations or needs, so this integration into the system of Shi is a simple substitution of two elements with predictable results to one of ordinary skill in the art. Additionally, it is well known in the art of LIDAR that FMCW LIDAR (laser radar) systems are utilized in autonomous vehicles, where the object information collected by the LIDAR is used to inform vehicle motion, such as in obstacle avoidance.
Claims 12 - 14 are similarly rejected to claims 2 – 4, respectively.
Claims 16 - 20 are similarly rejected to claims 6 – 10, respectively.
Claim(s) 5 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shi (US 20220268891 A1), in view of Campbell et al. (hereinafter Campbell, US 20170131388 A1)and further in view of Liu (CN 101256233A).
Regarding claim 5, Shi teaches the laser radar device according to claim 4, wherein the optical mixer further comprises:
a beam combiner to combine the echo signal for polarization state conversion and the local-frequency signal into one optical path ([0032]; Fig. 3, combiner (115)).
Shi does not teach use of a half-wave plate (Shi utilizes a quarter-wave plate) or a polarization beam splitter after the combiner, and the splitter is not along the same optical axis.
Liu teaches a LiDAR device, wherein an optical mixer comprises:
a beam combiner to combine the echo signal for polarization state conversion and the local-frequency signal into one optical path ([0056]; Fig. 1, echo beam and local oscillator beam are combined by polarizing beam splitter (20));
a second half-wave plate to convert the echo signal and the local-frequency signal that are combined into one optical path into a first 45-degree polarized signal and a second 45- degree polarized signal respectively, wherein the first 45-degree polarized signal and the second 45-degree polarized signal are signals whose polarization directions are orthogonal and wherein the second half-wave plate is disposed between the beam combiner and a first polarization beam splitter ([0056], [0061]; Fig. 1, half-wave plate (21) sits between polarizing beam splitter (20) and polarizing beam splitter (22) and creates orthogonally polarized beams post 45-degree rotation),
and the first polarization beam splitter, to perform frequency mixing on the first 45-degree polarized light and second 45-degree polarized light to obtain the first beat frequency signal and the second beat frequency signal ([0056], [0061]; Fig. 1, combined beam passing into polarizing beam splitter (22) is then split by polarization direction to create two heterodyne signals, which are collected by detectors (23) and (24)),
wherein the beam splitter, the beam combiner, the second half-wave plate, and the first polarization beam splitter are disposed on one axis ([0056]; Fig. 1, polarizing beam splitter (20), half-wave plate (21), polarizing beam splitter (22) lie on same optical axis as beam splitter (3)).
Therefore, to one of ordinary skill in the art before the effective filing date of the claimed invention, it would have been obvious prima facie to modify Shi to incorporate the teachings of Liu to utilize an additional polarization beam splitter, after a half-wave plate and the signal combiner along a single optical axis with a reasonable expectation of success. As Shi includes many of these optical components, utilization of the orientation of the optics of Liu would constitute a simple substitution of two elements with predictable results to one of ordinary skill in the art.
Claim(s) 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shi (US 20220268891 A1), in view of Campbell et al. (hereinafter Campbell, US 20170131388 A1), further in view of Behzadi et al. (hereinafter Behzadi, US 20200319314 A1), and further in view of Liu (CN 101256233A).
Regarding claim 15, Shi as modified above teaches the intelligent vehicle according to claim 14, wherein the optical mixer further comprises:
a beam combiner to combine the echo signal for polarization state conversion and the local-frequency signal into one optical path ([0032]; Fig. 3, combiner (115)).
Shi as modified does not teach use of a half-wave plate (Shi utilizes a quarter-wave plate) or a polarization beam splitter after the combiner, and the splitter is not along the same optical axis.
Liu teaches a LiDAR device, wherein an optical mixer comprises:
a beam combiner to combine the echo signal for polarization state conversion and the local-frequency signal into one optical path ([0056]; Fig. 1, echo beam and local oscillator beam are combined by polarizing beam splitter (20));
a second half-wave plate to convert the echo signal and the local-frequency signal that are combined into one optical path into a first 45-degree polarized signal and a second 45- degree polarized signal respectively, wherein the first 45-degree polarized signal and the second 45-degree polarized signal are signals whose polarization directions are orthogonal and wherein the second half-wave plate is disposed between the beam combiner and the first polarization beam splitter ([0056], [0061]; Fig. 1, half-wave plate (21) sits between polarizing beam splitter (20) and polarizing beam splitter (22) and creates orthogonally polarized beams post 45-degree rotation),
and the first polarization beam splitter, to perform frequency mixing on the first 45-degree polarized light and the second 45-degree polarized light to obtain the first beat frequency signal and the second beat frequency signal ([0056], [0061]; Fig. 1, combined beam passing into polarizing beam splitter (22) is then split by polarization direction to create two heterodyne signals, which are collected by detectors (23) and (24)),
wherein the beam splitter, the beam combiner, the second half-wave plate, and the first polarization beam splitter are disposed on one axis ([0056]; Fig. 1, polarizing beam splitter (20), half-wave plate (21), polarizing beam splitter (22) lie on same optical axis as beam splitter (3)).
Therefore, to one of ordinary skill in the art before the effective filing date of the claimed invention, it would have been obvious prima facie to modify Shi and Behzadi to incorporate the teachings of Liu to utilize an additional polarization beam splitter, after a half-wave plate and the signal combiner along a single optical axis with a reasonable expectation of success. As Shi includes many of these optical components, utilization of the orientation of the optics of Liu would constitute a simple substitution of two elements with predictable results to one of ordinary skill in the art.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Wu et al. (US 20190113622 A1) teaches a Lidar system configured to scan an environment as a laser is emitted, with use of optical components such as a scanning galvanometer (MEMS mirror), an open-hole reflector, a semi-transparent semi-reflecting mirror, a polarization beam splitter, and/or a coated beam splitter.
Choi et al. (US 20180275251 A1) teaches a scanning LiDAR system with a shared transmitting and receiving set of optics, which includes a hole mirror and reflecting surface disposed to transmit and receive signals.
Henderson et al. (US 20060227317 A1) teaches an efficient LIDAR system which utilizes heterodyne detection via polarized beam splitters, quarter-wave plates and other optics to form a local oscillator signal, collect a reflected signal from an environment, and then recombine the two beams.
Rezk et al (US 20200400798 A1) teaches a LIDAR device, such as the ones used in autonomous vehicles, and utilizes a local oscillator signal which undergoes recombination with a reflected signal, polarization wave plates and polarization beam splitters.
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.
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/K.M.R./Examiner, Art Unit 3645
/HELAL A ALGAHAIM/SPE , Art Unit 3645
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