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 and 8 were amendment by applicant’s amendments received 15 December 2025. No new matter was introduced.
Prior objections to the drawings in relation to identical reference characters in the drawings used to designate two ideas have been overcome by applicant’s amendments and are therefore withdrawn. However, a new objection to the specification is described below in regards to this same concern not being corrected by applicant’s amendments.
Prior objections to the specification in relation to the length of the abstract have been overcome by applicant’s amendments and are therefore withdrawn.
Response to Arguments
Applicant’s arguments, see Remarks, pg. 8, filed 15 December 2025, with respect to the rejection(s) of claim(s) 1, 9-11, 13 and 16-18 under 35 USC § 102(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 Therefore, the rejection has been withdrawn.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 newly found prior art related to amendments to the independent claim 1.
Applicant’s arguments outline that the art of record cited in the prior rejection of claim 1 (Chen et al., US 20220320820 A1) is silent on specific features which have been introduced in amended limitations, such as specific doping of epitaxial layers and apertures situated within the n-doped region, which upon review the examiner finds that Chen is silent on such specifics. An updated rejection is described in detail below under 35 USC § 103.
Specification
The disclosure is objected to because of the following informalities:
On pg. 21, line 11 the specification refers to SMI voltage signal as "R", where this has been modified in Fig. 6 to “RS”.
Appropriate correction is required.
Claim Objections
Claim 8 is objected to because of the following informalities:
Claim 8 is dependent upon claim 5, but references “the spacer layer”, which does not have appear in claim 5. For examination purposes, this claim is interpreted to be dependent on claim 7, where a spacer layer is introduced.
Appropriate correction is required.
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, 9-11, 13 and 16-18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Chen et al. (Hereinafter Chen, US 20220320820 A1), and in view of Wang et al. (hereinafter Wang, US 20020048301 A1).
Regarding claim 1, Chen teaches an optoelectronic semiconductor device comprising:
a semiconductor body having a first region ([0039] - [0041]; Fig. 2A, a second epitaxial layer between (208) and (210)) , a second region ([0039] - [0041]; Fig. 2A, a first epitaxial layer between (208) and (212)) and an active region ([0040] ; Fig. 2A, first multiple quantum well (MQW) layer (208)) configured to emit or detect electromagnetic radiation in an emission direction,
a first reflector arranged on a first side of the semiconductor body ([0039] - [0041]; Fig. 2A, a first distributed Bragg reflector (DBR) portion (214)) and a second reflector arranged on a second side of the semiconductor body, opposite the first side ([0039] - [0041]; Fig. 2A, a second distributed Bragg reflector (DBR) portion (220)),
a first electrode and a second electrode ([0043]; Fig. 2A, first (226) and second (224) electrodes),
an aperture region ([0040]; Fig. 2A, where any portion of the DBR, such as (26) or (218) may have an aperture), and
an optical element arranged downstream of the active region in the emission direction ([0042]; Fig. 2A, optical component (222)),
wherein the emission direction is oriented parallel to a stacking direction of the semiconductor body ([0039]; Fig. 2A, where structures are disposed along emission axis (266)),
the first electrode is arranged on the first region ([0044]; Fig. 2A, where first electrode (226) is disposed in the first region, on an epitaxial layer above the active region (208)) and the second electrode is arranged between the second reflector and the active region ([0044]; Fig. 2A, where second electrode (224) is disposed in the second region, on an epitaxial layer between active region (208) and second reflector (220)).
Chen is silent on specific doping of epitaxial layers such as the first region and apertures situated within the n-doped region.
Wang teaches that at least a first epitaxial layer, such as a first region which may house an aperture, may be n-doped and where the aperture region arranged in the n-doped first region confines an electric current in the semiconductor body in a lateral direction ([0068], [0108] - [0112]; Figs. 10, 11 where an aperture exists in n-doped layer (170) where current confinement exists in the horizontally oriented layer, and is assisted by layer structure surrounding layer (170)).
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 Chen to incorporate the teachings of Wang to use an n-doped first region which encompasses an aperture region, with a reasonable expectation of success. Wang discusses that the use of specifically doped cladding layers aids in uniform current injection towards an aperture region ([0016] – [0018]). Additionally, Chen notes that forward junctions may be used between epitaxial layers and electrodes to ensure proper electrical isolation and contact polarity ([0045]). Combined, this would then have a predictable result when used in the system of Chen to specifically choose where electrical isolation and current occur, the direction of the current, and where contact polarity is maintained within the series of epitaxial layers in a VCSEL.
Regarding claim 9, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1, wherein
the optical element is suitable for collimating an electromagnetic radiation generated in the active region ([0042]; Fig. 2A where using a collimating lens where grating or lens (222) occurs is known in the art).
Regarding claim 10, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1, wherein
the optoelectronic semiconductor device comprises a substrate which is structured to function as an optical element ([0062]; Fig. 3A, where one or more gratings, lenses or other optical elements may be formed on substrate (340)).
Regarding claim 11, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1, wherein
the optical element is designed such that at least some of the electromagnetic radiation generated in the active region can re-enter the semiconductor body after exiting the semiconductor device ([0036], [0046]).
Regarding claim 13, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1, wherein
the first reflector and the second reflector are formed as Distributed Bragg Reflectors, each comprising a plurality of alternating layers ([0040], where first (214) and second (220) reflectors are distributed Bragg reflectors (DBR)).
Regarding claim 16, Chen as modified above teaches a method for operating an optoelectronic semiconductor device according to claim 1, wherein
the device is used for measuring a distance of a target to the optoelectronic semiconductor device ([0002]).
Regarding claim 17, Chen as modified above teaches the method for operating an optoelectronic semiconductor device according to claim 16, wherein
the device is used in a self-mixing interferometry application ([0001] - [0004]).
Regarding claim 18, Chen as modified above teaches the method for operating an optoelectronic semiconductor device according to claim 16, wherein
a forward voltage of the semiconductor device is measured in order to gain a self-mixing interferometry signal ([0046]).
Claim(s) 2-4 and 14-15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Chen et al. (Hereinafter Chen, US 20220320820 A1) in view of Wang et al. (hereinafter Wang, US 20020048301 A1), and further in view of Padullaparthi et al. (hereinafter Padullaparthi, US 20200006920 A1).
Regarding claim 2, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen is silent on the specific size of the aperture region.
Padullaparthi teaches an aperture region of a VCSEL which comprises a diameter between 4 μm and 10 μm ([0035], [0053]; Fig. 5 where aperture (161) diameter (d2) ranges from 3 μm to 15 μm).
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 further modify Chen to incorporate the teachings of Padullaparthi to choose specific aperture sizes with a reasonable expectation of success. Padullaparthi explains that the specific dimensions of the apertures within the VCSEL can be chosen to specify parameters such as output power and wavelength ([0054] – [0055]), and incorporating that knowledge into the system of Chen would have a predictable result of similarly changing the emission wavelength of the system. Notably, in the case where the claimed ranges "overlap or lie inside ranges disclosed by the prior art" a prima facie case of obviousness exists (see MPEP 2144.05 (I)).
Regarding claim 3, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen is silent on the specific size of the aperture region.
Padullaparthi teaches an aperture region of a VCSEL which comprises a diameter between 6 μm and 8 μm ([0035], [0053]; Fig. 5 where aperture (161) diameter (d2) ranges from 3 μm to 15 μm).
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 further modify Chen to incorporate the teachings of Padullaparthi to choose specific aperture sizes with a reasonable expectation of success. Padullaparthi explains that the specific dimensions of the apertures within the VCSEL can be chosen to specify parameters such as output power and wavelength ([0054] – [0055]), and incorporating that knowledge into the system of Chen would have a predictable result of similarly changing the emission wavelength of the system. As noted previously, in the case where the claimed ranges "overlap or lie inside ranges disclosed by the prior art" a prima facie case of obviousness exists (see MPEP 2144.05 (I)).
Regarding claim 4, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen is silent on the makeup of the aperture layer.
Padullaparthi teaches an aperture region of a VCSEL where the aperture region comprises an oxide aperture ([0035], [0051]; Fig. 5 where aperture (161) is within an oxide confinement layer).
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 further modify Chen to incorporate the teachings of Padullaparthi to utilize an oxide layer as the aperture within the epitaxial stack which makes up the semiconductor laser/VCSEL with a reasonable expectation of success. Chen notes that the system needs either the DBR/layers to be partially transmissive or an aperture to allow the electromagnetic (EM) radiation to escapes and be emitted ([0031]). This would be a simple substitution of layers within the epitaxial stack and therefore would have predictable results of controlling the allowed emission of EM radiation generated within the semiconductor laser.
Regarding claim 14, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen is silent on the material and/or layer make-up of the two reflectors.
Padullaparthi teaches a first and second reflector of a VCSEL where the first reflector is made from a different material than the second reflector ([0049], where either DBR may be p-type or n-type doped and the second-type doped DBR has a polarity opposite to that of the first-type doped distributed Bragg reflector, and may be made of a semiconductor material having a variable formula,
A
l
x
G
a
1
-
x
A
s
, where x ranges from 0 to 1.).
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 further modify Chen to incorporate the teachings of Padullaparthi to have the two reflectors be either made of totally different materials or similar materials which are made in a different doping method with a reasonable expectation of success. The instant application notes (page 9, lines 5-11) that the first reflector can be made in a different method, and both varying the semiconductor formula or oppositely doping the DBR layers (Padullaparthi, [0049]) would fit this requirement.
Regarding claim 15, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen is silent on the material and/or layer make-up of the two reflectors.
Padullaparthi teaches the second reflector comprises a plurality of n-doped layers ([0049], where either DBR may be p-type or n-type doped).
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 further modify Chen to incorporate the teachings of Padullaparthi to specifically choose the doping to be n-type for the second reflector within the semiconductor laser (VCSEL) with a reasonable expectation of success. This would be a simple substitution of a specific chosen type of doped layers within the distributed Bragg reflector and therefore would have predictable results reducing the electrical resistance of the second reflector, and additionally can be used to adjust the respective reflectivity of DBR layers (Padullaparthi, [0049], [0054]; where the lower reflector (110) is n-type doped and configured to have a higher reflectivity).
Claim(s) 5-8 and 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Chen et al. (Hereinafter Chen, US 20220320820 A1) in view of Wang et al. (hereinafter Wang, US 20020048301 A1), and further in view of Amann et al. (hereinafter Amann, US 20100128749 A1).
Regarding claim 5, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen does not teach the aperture region including a tunnel junction.
Amann teaches a semiconductor laser diode where an aperture region comprises a tunnel junction ([0036] - [0038]; Figs. 1, 2 where aperture region (D1) occurs in tunnel contact layer (60)).
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 further modify Chen to incorporate the teachings of Amann to utilize a tunnel junction within the aperture region with a reasonable expectation of success. As Amann notes, tunnel junctions allow for improved power, operating temperature, and modulation bandwidth within VCSELs which emit at wavelengths longer than
1.3
μ
m
([0026]). Use of a tunnel junction would therefore have the predictable result within the system of Chen to improve operating parameters, such as power output.
Regarding claim 6, Chen as modified above teaches the optoelectronic semiconductor device according to claim 5.
Chen does not teach the aperture region including a buried tunnel junction.
Amann teaches a semiconductor laser diode where the tunnel junction is a buried tunnel junction ([0026], [0044]).
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 further modify Chen to incorporate the teachings of Amann to utilize a tunnel junction within the aperture region with a reasonable expectation of success. As Amann notes, tunnel junctions (specifically buried tunnel junctions) allow for improved power, operating temperature, and modulation bandwidth within VCSELs which emit at wavelengths longer than
1.3
μ
m
([0026]). Use of a tunnel junction would therefore have the predictable result within the system of Chen to improve operating parameters, such as power output.
Regarding claim 7, Chen as modified above teaches the optoelectronic semiconductor device according to claim 6.
Chen is silent on the material makeup of a spacer layer.
Amann teaches a doped spacer layer which is arranged between a tunnel junction and an active layer ([0036] - [0038]; Fig. 2, where a p-doped confinement layer (50) is situated between tunnel contact layer (60) and active zone (40)).
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 further modify Chen to incorporate the teachings of Amann to use a doped spacer layer between a tunnel junction and the active layer with a reasonable expectation of success. Amann discusses that the use of a confinement layer, specifically a p-doped confinement layer, between the active region and buried tunnel junction provide a barrier to charge carriers injected during operation ([0026]). This would then have a predictable result when used in the system of Chen to increase the time charge carriers spend within the active zone, which can lead to increasing emission output efficiency and power.
Regarding claim 8, Chen as modified above teaches the optoelectronic semiconductor device according to claim 5.
Chen is silent on the material makeup of the epitaxial layers which compose the first and second region and the spacer layer.
Wang teaches that at least a first epitaxial layer, such as a first region which may house an aperture, may be n-doped ([0068], [0108] - [0112]; Figs. 10, 11 where an aperture exists in n-doped layer (170) where current confinement exists and is assisted by layer structure surrounding layer (170)).
Amann teaches a first region and a second region which are n-doped ([0036] - [0037]; Figs. 1, 2 where both a layer (30) below the active layer (40), and a layer (70) above the active layer (40), may be an n-doped layer),
and the spacer layer is p-doped ([0036]).
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 further modify Chen to incorporate the teachings of Amann to use a p-doped spacer layer between a tunnel junction and the active layer, and an n-doped second regions, with a reasonable expectation of success. Amann discusses that the use of a p-doped confinement layer between the active region and buried tunnel junction provide a barrier to charge carriers injected during operation ([0026]). Additionally, Chen notes that forward junctions may be used between epitaxial layers and electrodes to ensure proper electrical isolation and contact polarity ([0045]). Combined, this would then have a predictable result when used in the system of Chen to specifically choose where electrical isolation occurs and where contact polarity is maintained within the series of epitaxial layers in a VCSEL.
Regarding claim 12, Chen as modified above teaches the optoelectronic semiconductor device according to claim 1.
Chen is silent on the specific wavelength of the emitted electromagnetic radiation.
Amann teaches the active region emits electromagnetic radiation with a wavelength between 400 nm and 1600 nm ([0021], [0042], an emission wavelength is 1310 nm).
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 further modify Chen to incorporate the teachings of Amann to specifically utilize an emission wavelength within the range of 400 nm to 1600 nm with a reasonable expectation of success. In systems such as the VCSEL taught by Amann, the structure dimensions, such as web and pit widths, are determined by the emission wavelength ([0010]) as constraints on the system. Additionally, in the case where a specific example in the prior art is within the claimed range "the prior art anticipates the claim." and therefore a prima facie case of obviousness can be made (see MPEP 2131.03 (I)).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Kearns et al. (US 20220239068 A1) teaches a Vertical Cavity Surface Emitting Laser (VCSEL) which utilizes two reflectors surrounding an active region, where the reflectors may be distributed Bragg reflectors, a buried tunnel junction, an aperture within an epitaxial structure.
Wong et al. (US 20180241177 A1) teaches a vertical-cavity surface-emitting Laser (VCSEL) formed on a GaAs substrate, with a pair of mirrors, a buried tunnel junction and oxide-aperture.
Seurin et al. (US 20230047060 A1) teaches a sensing method and sensor system where a VCSEL emits a laser beam and a diaphragm is used to reflect a portion of the beam for self-mixing interferometry, where the diaphragm may have a hole within.
Johnson et al. (US 20060072640 A1) teaches a VCSEL on substrate with undoped reflectors, where the reflectors are distributed Bragg reflectors, an oxide aperture, where the top mirror is formed in a mesa structure.
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 Kara Richter whose telephone number is (571)272-2763. The examiner can normally be reached Monday - Thursday, 8A-5P EST, Fridays are variable.
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/K.M.R./Examiner, Art Unit 3645
/HELAL A ALGAHAIM/SPE , Art Unit 3645