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 .
Election/Restrictions
Claim 45, deemed generic in the Requirement for Restriction/Election, is drawn to nonelected Species IV (i.e. fig. 4) and is withdrawn.
Claim 34-36, 45 withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected species, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on 12/19/25.
Applicant's election with traverse of Species I in the reply filed on 12/19/25 is acknowledged. The traversal is on the ground(s) that all species relate to the single general inventive concept of a first charge transport layer being an organic layer and a second charge transport layer being an inorganic layer, a limitation allegedly representing a special technical feature. This is not found persuasive because this limitation and the associated amended independent claim 27 are disclosed in the prior art, negating the limitation’s specialness.
The requirement is still deemed proper and is therefore made FINAL.
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The two information disclosure statement (IDS), submitted on 10/21/2025, 10/28/22, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
Specification
The disclosure is objected to because of the following informalities:
37 CFR 1.52 (b) (6) - Other than in a reissue application or reexamination or supplemental examination proceeding, the paragraphs of the specification, other than in the claims or abstract, may be numbered at the time the application is filed, and should be individually and consecutively numbered using Arabic numerals, so as to unambiguously identify each paragraph. The number should consist of at least four numerals enclosed in square brackets, including leading zeros (e.g., [0001]). .
Appropriate correction is required.
Claim Interpretation
Particles being “densely packed” interpreted to mean interparticle distance between adjacent particles is less than 5 nm (claim 28, par. 13).
The following is a quotation of 35 U.S.C. 112(f):
(f) Element in Claim for a Combination. – An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
The following is a quotation of pre-AIA 35 U.S.C. 112, sixth paragraph:
An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
The claims in this application are given their broadest reasonable interpretation using the plain meaning of the claim language in light of the specification as it would be understood by one of ordinary skill in the art. The broadest reasonable interpretation of a claim element (also commonly referred to as a claim limitation) is limited by the description in the specification when 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is invoked.
As explained in MPEP § 2181, subsection I, claim limitations that meet the following three-prong test will be interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph:
(A) the claim limitation uses the term “means” or “step” or a term used as a substitute for “means” that is a generic placeholder (also called a nonce term or a non-structural term having no specific structural meaning) for performing the claimed function;
(B) the term “means” or “step” or the generic placeholder is modified by functional language, typically, but not always linked by the transition word “for” (e.g., “means for”) or another linking word or phrase, such as “configured to” or “so that”; and
(C) the term “means” or “step” or the generic placeholder is not modified by sufficient structure, material, or acts for performing the claimed function.
Use of the word “means” (or “step”) in a claim with functional language creates a rebuttable presumption that the claim limitation is to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites sufficient structure, material, or acts to entirely perform the recited function.
Absence of the word “means” (or “step”) in a claim creates a rebuttable presumption that the claim limitation is not to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is not interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites function without reciting sufficient structure, material or acts to entirely perform the recited function.
Claim limitations in this application that use the word “means” (or “step”) are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action. Conversely, claim limitations in this application that do not use the word “means” (or “step”) are not being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action.
This application includes one or more claim limitations that use the word “means” or “step” but are nonetheless not being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph because the claim limitation(s) recite(s) sufficient structure, materials, or acts to entirely perform the recited function. Such claim limitation(s) is/are: “optical feedback means” in claim 38. Phrase interpreted to mean that which forms an optical cavity, a structure recited later in the claim.
Because this/these claim limitation(s) is/are not being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, it/they is/are not being interpreted to cover only the corresponding structure, material, or acts described in the specification as performing the claimed function, and equivalents thereof.
If applicant intends to have this/these limitation(s) interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, applicant may: (1) amend the claim limitation(s) to remove the structure, materials, or acts that performs the claimed function; or (2) present a sufficient showing that the claim limitation(s) does/do not recite sufficient structure, materials, or acts to perform the claimed function.
Claim Rejections - 35 USC § 103
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.
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) 27-28, 31, 33, 37, 40-42, 46 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang (US-20170317473-A1) in view of Roh_NPL (Optically pumped colloidal-quantum-dot lasing in LED-like devices with an integrated optical cavity).
Regarding claim 27, Liang discloses an integrated optoelectronic device (fig. 7) comprising: a substrate supporting a passive waveguide configured for guiding light along a longitudinal direction and for index-confining, in at least one guided optical mode, the guided light in each transverse direction (figs. 5A + 7 substrate 201 supports passive waveguide 204 within 203; fig. 10 shows guided optical mode, longitudinal = into/out of page, transverse = top to bottom on page; par. 0021, 0071, 0090), a first charge transport layer for transporting charge carriers of a first conductivity type (fig. 7 first charge transport layer 101a, 0016), a second charge transport layer for transporting charge carriers of a second conductivity type, opposite to the first conductivity type (fig. 7 second charge transport layer 101c opposite 101a conductivity), an active layer comprising a particulate film of solution-processable semiconductor nanocrystals (fig. 7 active layer 101b comprising quantum dots (i.e. particulate film of semiconductor nanocrystals), 0016-0018, see instant application specification par. 11/top of pg. 3), the active layer being arranged relative to said charge transport layers to form a diode junction (fig. 7 101a-c arranged to form diode junction, par. 0016), wherein the active layer and the first and the second charge transport layer are formed on the substrate and each overlap at least a portion of the waveguide in a cross-section perpendicular to said longitudinal direction (fig. 7 101a-c formed on 201 and overlap waveguide 204 (formed within 203) in cross section (top to bottom) perpendicular to longitudinal (into/out of page), and wherein the active layer is evanescently optically coupled to the waveguide (fig. 10 evanescent optical coupling between active layer and waveguide, 0090).
Liang does not disclose wherein the first charge transport layer is an organic layer and the second charge transport layer is an inorganic layer.
Roh discloses a colloidal quantum dot laser with a top/first charge transport organic layer and a bottom/second charge transport inorganic layer (fig. 2a laser w/ organic TCTA top hole transport layer and inorganic ZnO bottom electric transport layer, pg. 2 right col. “Lasing in LED-like device stacks”, pg. 3 fig. 2a).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the first charge transport layer is an hole transport organic layer and the second charge transport layer is an electron transport inorganic layer to realize the advantages of both organic charge transport layers (increased tunability/flexibility) and inorganic charge transport layers (increased stability/durability).
Regarding claim 28, modified Liang discloses the integrated optoelectronic device according to claim 27.
Modified Liang does not disclose wherein individual particles of the active layer particulate film are densely packed, wherein an average interparticle distance between adjacent particles of the active layer particulate film is less than five nanometers.
Roh discloses a desire to increase the packing density of quantum dots in a colloidal quantum dot laser (pg. 2 right col. par. 3).
It is well known to optimize values within disclosed ranges to achieve desired results (MPEP 2144.05 I/II).
Based on the caselaw and the quantum dot packing density maximization goal disclosed in Roh, it would have been obvious to densely pack the quantum dots and make the average interparticle distance less than 5 nm to boost optical gain and improve lasing performance (Roh pg. 2 right col. par. 3).
Regarding claim 31, modified Liang discloses the integrated optoelectronic device according to claim 27, wherein an electrically contacted portion of the active layer overlaps the waveguide in said cross-section (fig. 7 electrically contacted portion of 101b overlaps fig. 5a waveguide 204).
Regarding claim 33, modified Liang discloses the integrated optoelectronic device according to claim 27, wherein the first and the second charge transport layer, the active layer, and the waveguide are vertically stacked in said cross-section (fig. 7 101a, 101c, 101b, fig. 5a 204 vertically stacked in cross section), and wherein the second charge transport layer is a semiconducting electron transport layer provided between the active layer and the waveguide (fig. 7 101c is ETL between 101b and waveguide, 0016 discloses 101c being either ETL or HTL).
Regarding claim 37, modified Liang discloses the integrated optoelectronic device according to claim 27, the integrated optoelectronic device being an integrated light-emitting diode (fig. 7) further comprising: a first electrode in electrical contact with the first charge transport layer (fig. 7 first electrode 108 in electrical contact with 101a, 0082), and a second electrode in electrical contact with the second charge transport layer for inducing a forward biasing condition across the diode junction (fig. 7 107 in electrical contact w/ 101c, 0084), wherein the active layer is adapted for generating light upon recombination of charge carriers of opposite conductivity type injected into the active layer by the respective charge transport layers under said forward biasing condition (fig. 7 101b generates light, 0015, 0074, 0084).
Regarding claim 40, Liang discloses a method of manufacture for an integrated optoelectronic device (fig. 7), the method comprising the steps of: providing a substrate with a passive waveguide (figs. 5a + 7 substrate 201 supports passive waveguide 204 within 203, 0021, 0071, 0090), the waveguide being configured for guiding light along a longitudinal direction and for index-confining, in at least one guided optical mode, the guided light in each transverse direction (fig. 10 shows guided optical mode, longitudinal = into/out of page, transverse = top to bottom on page; par. 0021, 0071, 0090), and forming a layer stack by sequentially depositing on said substrate in that order: a second charge transport layer for transporting charge carriers of a second conductivity type (fig. 7 second charge transport layer 101c opposite 101a conductivity, 0016), an active layer comprising a particulate film of semiconductor nanocrystals (fig. 7 active layer 101b comprising quantum dots (i.e. particulate film of semiconductor nanocrystals), 0016-0018, see instant application specification par. 11/top of pg. 3), and a first charge transport layer for transporting charge carriers of a first conductivity type on the substrate, opposite to the second conductivity type (fig. 7 first charge transport layer 101a charge opposite to 101c, 0016), wherein each of the deposited active layer and the deposited first and the second charge transport layer overlaps at least a portion of the waveguide in a cross-section perpendicular to said longitudinal direction (fig. 7 101a-c formed on 201 and overlap waveguide 204 (formed within 203) in cross section (top to bottom) perpendicular to longitudinal (into/out of page)), the active layer is arranged relative to said charge transport layers to form a diode junction (fig. 7 101a-c arranged to form diode junction, par. 0016), and the active layer is evanescently optically coupled to the waveguide (fig. 10 evanescent optical coupling between active layer and waveguide, 0090).
Liang does not disclose wherein the semiconductor nanocrystals are deposited from solution.
Roh discloses a quantum dot laser with a quantum dot film deposited using spin casting of a quantum dot solution (pg. 8 left col. Fabrication of QD DFB Lasers).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the semiconductor nanocrystals are deposited from solution to reduce device cost + simplify fabrication (Roh pg. 2 left col. at top) + increase production scalability.
Regarding claim 41, modified Liang discloses the method according to claim 40.
Modified Liang does not disclose wherein the deposited first charge transport layer is an organic layer and the deposited second charge transport layer is an inorganic layer.
Roh discloses a colloidal quantum dot laser with a top/first charge transport organic layer and a bottom/second charge transport inorganic layer (fig. 2a laser w/ organic TCTA top hole transport layer and inorganic ZnO bottom electric transport layer, pg. 2 right col. “Lasing in LED-like device stacks”, pg. 3 fig. 2a).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the first charge transport layer is an hole transport organic layer and the second charge transport layer is an electron transport inorganic layer to realize the advantages of both organic charge transport layers (increased tunability/flexibility) and inorganic charge transport layers (increased stability/durability).
Regarding claim 42, modified Liang discloses the method according to claim 41.
Modified Liang does not disclose wherein depositing the first charge transport layer includes vacuum thermal evaporation or organic vapor phase deposition, and/or wherein depositing the second charge transport layer includes thermally controlled atomic layer deposition.
Roh discloses a quantum dot laser with a TCTA organic hole (first charge) transport layer deposited using vacuum thermal evaporation (pg. 8 right col. “LED fabrication and characterization”).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have depositing the first charge transport layer includes vacuum thermal evaporation to improve control over layer thickness, simplify + reduce cost of deposition process, and reduce impurities.
Regarding claim 46, modified Liang discloses the method according to claim 40, further comprising: contacting the first charge transport layer with a first metal electrode (fig. 7 101a w/ first electrode 108, 0081), contacting the second charge transport layer with a second metal electrode (fig. 7 101c w/ second electrode 107).
Claim(s) 29, 39 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang in view of Roh and Ty Tan (US-20090032805-A1).
Regarding claim 29, modified Liang discloses the integrated optoelectronic device according to claim 27.
Modified Liang does not explicitly disclose wherein a current path through the first charge transport layer, the active layer and the second charge transport layer is not extending into the waveguide.
Ty Tan discloses a microresonator with a current path through a first charge transport layer, an active layer and a second charge transport layer is not extending into a waveguide (fig. 4a current path 402 through n/p/active layers 120/118/122 does not extend into waveguide 114/116, 0024-0027).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a current path through the first charge transport layer, the active layer and the second charge transport layer is not extending into the waveguide to avoid interfering with the waveguide properties via unwanted heating.
Regarding claim 39, modified Liang discloses the integrated optoelectronic device according to claim 27, the integrated optoelectronic device being an integrated laser diode or integrated light-emitting diode (fig. 7), wherein the diode is arranged for emitting light horizontally, in a plane parallel to the substrate, or for emitting light at an angle with respect to the substrate (fig. 7 light must be emitted at some angle to the substrate).
Modified Liang does not disclose the light being emitted in an inactive region of the substrate not being covered by the active layer and the first and the second charge transport layer.
Ty Tan discloses a microresonator with an active layer sandwiched between n and p type semiconductor layers, and waveguides embedded within a substrate with emission regions not covered by the active, n + p type layers (fig. 1a+b, waveguides 114 + 116 within substrate 106, emission regions not covered by active layer 122 or p/n type 120+118, 0024-0027).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the light being emitted in an inactive region of the substrate not being covered by the active layer and the first and the second charge transport layer to facilitate optical coupling with other devices/waveguides + reduce optical losses.
Claim(s) 30 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang in view of Roh and Jung (US-11211773-B2).
Regarding claim 30, modified Liang discloses the integrated optoelectronic device according to claim 27.
Modified Liang does not explicitly disclose wherein the second charge transport layer is in direct physical contact with the waveguide.
Jung discloses an quantum cascade laser with an integrated waveguide, wherein a lower cladding layer of the QCL structure is in direct physical contact with the waveguide (fig. 3 laser 200 has lower cladding layer 220 of qcl structure 218, 220 in direct physical contact with waveguide 210, col. 8 lines 10-30).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have the second charge transport layer is in direct physical contact with the waveguide to reduce the amount of material needed between the second charge transport layer and the waveguide + reduce manufacturing cost and time.
Claim(s) 32 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang in view of Roh and Bawendi (US-20030127659-A1).
Regarding claim 32, modified Liang discloses the integrated optoelectronic device according to claim 27, wherein the first charge transport layer is an organic semiconducting hole transport layer and the second charge transport layer is an inorganic semiconducting electron transport layer (101a organic hole + 101c inorganic electron, see claim 27 modification).
Modified Liang does not disclose wherein particles of the active layer particulate film comprise one or more of the of the group consisting of: colloidal quantum dots, nanocrystalline perovskite-based material, bulk-like semiconductor nanocrystals, nano-platelets.
Bawendi discloses using colloidal quantum dots in a light emitting diode (figs. 1-2, 0009, 0013, 0029-0032).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have particles of the active layer particulate film comprise colloidal quantum dots due to their less expensive production process compared to epitaxial dots (Bawendi 0009).
Claim(s) 38 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang in view of Roh and Gubenko (US-20100142973-A1).
Regarding claim 38, modified Liang discloses the integrated optoelectronic device according to claim 27, the integrated optoelectronic device being used within an integrated laser diode (fig. 7, 0012), further comprising: a first electrode in electrical contact with the first charge transport layer (fig. 7 first electrode 108 in electrical contact with 101a, 0082), and a second electrode in electrical contact with the second charge transport layer for inducing a forward biasing condition across the diode junction (fig. 7 107 in electrical contact w/ 101c, 0084), wherein the active layer is adapted for generating light upon recombination of charge carriers of opposite conductivity type injected into the active layer by the respective charge transport layers under said forward biasing condition (fig. 7 101b generates light, 0015, 0074, 0084).
Modified Liang does not disclose optical feedback means optically coupled to the waveguide, thereby forming an optical cavity and laser.
Gubenko discloses a quantum dot semiconductor device used as a laser with mirrors forming an optical cavity (fig. 4 laser with mirrors 141 + 142 + quantum dot active region 114, 0066-0072).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have an optical feedback means optically coupled to the waveguide, thereby forming an optical cavity and laser to improve output wavelength precision and output spatial precision.
Claim(s) 43 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang in view of Roh and Lim (KR-20100013554-A, machine translation "Lim_English" cited and included herewith).
Regarding claim 43, modified Liang discloses the method according to claim 41.
Modified Liang does not disclose wherein depositing the second charge transport layer includes depositing a nanometric layer of polycrystalline zinc oxide, using atomic layer deposition at substrate temperatures between 60°C and 300°C.
Lim discloses a method for fabricating a ZnO thin film for use in light emitting diodes and other semiconductor devices, wherein the ZnO is deposited using atomic layer deposition at a temperature of 200 C (lines 21-30, lines 137-146).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have depositing the second charge transport layer include depositing a nanometric layer of polycrystalline zinc oxide, using atomic layer deposition at substrate temperatures between 60°C and 300°C to improve consistency + uniformity both within a single ZnO layer and between ZnO layers of different devices (repeatability), improve control over film thickness, and reduce manufacturing costs (Lim lines 15-20, 106-110).
Claim(s) 44 is/are rejected under 35 U.S.C. 103 as being unpatentable over Liang in view of Roh and Rahmati (US-20200235326-A1).
Regarding claim 44, modified Liang discloses the method according to claim 40.
Modified Liang does not disclose wherein depositing the semiconductor nanocrystals of the active layer from solution includes performing a wet processing technique on a dispersion of preformed semiconductor nanocrystals as starting material.
Rahmati discloses a quantum dot LED with preformed quantum dots + spin-coating used to form the quantum dot layers (fig. 2b qd layers 122 formed via spin-coating of CdSe/ZnS dots, 0126-0127, instant application specification par. 32).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use spin-coating to have depositing the semiconductor nanocrystals of the active layer from solution includes performing a wet processing technique on a dispersion of preformed semiconductor nanocrystals as starting material using spin-coating to improve uniformity and reduce imperfections in deposited layer.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
WO-2019045405-A1: Discloses organic light emitting element with combined electron (hole) injection + transport layers
US-20180083215-A1: Discloses electroluminescence and photoluminescence display element with OLED/QLED emitting layer, HTL and ETL, HIL and EIL, and light guide substrate
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/A.E./Examiner, Art Unit 2828
/MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828