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 .
Response to Amendment
Examiner acknowledges the amendments made to claims 1 and 18. New claims 19-24 have been added. Claim 17 has been cancelled.
Response to Arguments
Applicant’s arguments with respect to claim(s) 21-24 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Applicant's arguments filed 06/02/2026 have been fully considered but they are not persuasive.
Regarding the argument that the combination of Ju to meet the limitation of “wherein the first semiconductor layer is disposed on and in contact with the first-conductivity-type layer, and the third semiconductor layer is disposed on and in contact with the second-conductivity-type layer” would change the principle of operation in the reference and would render the device unsatisfactory for its intended purpose. Applicant notes that since the barrier layers of Kudo are present in the limitations of claim 1 of US patent 6,728,283 of Kudo, the barrier layers are necessary for the functioning of Kudo’s claimed semiconductor laser.
Examiner notes that the arguments fail to provide how the modification of the removal of the barrier layers of Kudo would change the principle of operation of the device of Kudo. Kudo is directed toward the use of a type-II heterojunction structure that can be used in a long wavelength band of 1.3 µm or more. (Kudo Paras. [0008,0013,0014]). There is no evidence provided as to how the principle of operation of a type-II heterostructure operating at the desired wavelength band would change in the device of Kudo with the removal of the barrier layers. Similarly, there is no direct evidence provided as to how the modification of the removal of the barrier layers of Kudo would render the device unsatisfactory for its intended purpose of providing a semiconductor laser with a type-II heterostructure that can be used in a long wavelength band of 1.3µm or more (Kudo Paras. 0008,0013])
Further, Examiner notes independent claim 1 recited in the (US 20030086461 A1) publication of Kudo which does not include limitations directed toward the aforementioned barrier layers. Which, by the same rationale presented by the Applicant, provides a device of Kudo in which the barrier layers are not necessary for the functioning of Kudo’s claimed semiconductor laser since they are not included in the limitations of independent claim 1.
Claim Objections
Claims 23 and 24 are objected to because of the following informalities: Line 3 of Claim 23 reads “… is each 24 at% at an interface …” Examiner respectfully believes line 3 of claim 23 should read “… is each 24% at …”.
Similarly, line 3 of claim 24 reads“… is each 44 at% at an interface …” Examiner respectfully believes line 3 of claim 23 should read “… is each 44% at …”
Appropriate correction is required.
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claims 1-3,5,7,8,11-13 and 18-20 are rejected under 35 U.S.C. 103 as being unpatentable over Kudo et al. (hereinafter Kudo) (US 20030086461 A1) in view of Kim (KR 20210102647 A) and further in view of Ju et al. (hereinafter Ju) (KR 20130123592 A) (Examiner notes attached machine translations of Kim and Ju will be used for the claim mapping of Kim and Ju for the remainder of the instant office action. See PTO-892 form)
Regarding claim 1, Kudo discloses in Fig. 8,
A semiconductor stack [41,42,6a,10,6b,48] (Para. [0060]) comprising:
a first-conductivity-type layer [42] (Para. [0060]) formed of a III-V compound semiconductor (Para. [0060]);
a quantum well structure [10] (Para. [0017]) formed of III-V compound semiconductors (Para. [0060]); and
a second-conductivity-type layer [48] (Para. [0060]) formed of a III-V compound semiconductor (Para. [0060]) and having a conductivity type different from a conductivity type of the first-conductivity-type layer [42] (Para. [0060]),
wherein the first-conductivity-type layer [42], the quantum well structure [10], and the
second-conductivity-type layer [48] are stacked in this order (Fig. 8) (Para. [0060]),
the quantum well structure [10] includes
a first semiconductor layer [4a] (Para. [0060]),
a second semiconductor layer [5] (Para. [0060]) disposed on and in contact with the first semiconductor layer [4a] (Para. [0060]) at a first interface of the second semiconductor layer [interface of 4a and 5], and
a third semiconductor layer [4b] (Para. [0060]) disposed on and in contact with the second semiconductor layer [5] (Para. [0060]) at a second interface of the second semiconductor layer [interface of 4b and 5], the second interface being opposite the first interface in a thickness direction of the second semiconductor layer [interface of 4a and 5 opposite to interface of 4b and 5], and
the quantum well structure [10] (Para. [0033]) is configured to exhibit type-II band alignment (Para. [0033]) in which electrons are confined in the first semiconductor layer [4a Fig. 2] and the third semiconductor layer [4b Fig. 2] and holes are confined in the second semiconductor layer [5 Fig. 2] (Paras. [0016,0017,0033]), establishing a type-II transition from a conduction-band state confined in the first [4a Fig. 2] or third semiconductor layer [4b Fig. 2] to a valence-band state confined in the second semiconductor layer [5 Fig. 2 ] (Paras. [0015-0017])
Kudo fails to disclose,
in the first semiconductor layer and the third semiconductor layer, compositions of the first semiconductor layer and the third semiconductor layer are graded such that a bandgap of each of the first semiconductor layer and the third semiconductor layer decreases toward the respective first interface and second interface of the second semiconductor layer
wherein the first semiconductor layer is disposed on and in contact with the first-conductivity-type layer, and the third semiconductor layer is disposed on and in contact with the second-conductivity-type layer
Kim discloses in Fig. 2,
a first [11] and third [12] (Para. [0012]) semiconductor layer with changing bandgaps [31 and 32] (Para. [0012]) that decrease toward respective first [interface of 11 and 20] and second interfaces [interface of 12 and 20] of a second semiconductor layer [20] (Para. [0012])
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the graded bandgap changes of the first and third semiconductor layers of Kim into the first and third semiconductor layers of Kudo for the purpose of reducing strain. (Kim Para. [0013])
Kudo in view of Kim fails to disclose,
in the first semiconductor layer and the third semiconductor layer, compositions of the first semiconductor layer and the third semiconductor layer are graded such that a bandgap of each of the first semiconductor layer and the third semiconductor layer decreases and,
wherein the first semiconductor layer is disposed on and in contact with the first-conductivity-type layer, and the third semiconductor layer is disposed on and in contact with the second-conductivity-type layer
Ju discloses in Fig. 2,
a first semiconductor layer with a graded bandgap [120] (Para. [0021]) decreasing toward a well layer [130] (Para. [0022]) disposed on and in contact with a first-conductivity-type layer [110] (Para. [0021]) (See Fig. 2), and a third semiconductor layer [140] (Para. [0025]) with a graded bandgap decreasing toward a well layer [130] (Para. [0022]) is disposed on and in contact with a second- conductivity-type layer [150] (Para. [0026]) (See Fig. 2)
the graded bandgaps due to varying the concentration of indium in the compositions of the layers [120,140] (Paras. [0021-0023])
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the direct contact of the first and third semiconductor layers to the first and second conductivity type layers (respectively) as show in Ju with the first and third semiconductor layers of the modified device of Kudo for the purpose of concentration the electrons of the conduction band in the first semiconductor layer and moving holes directly from the valence band of the p-type cladding layer to the third semiconductor layer (Ju Paras. [0031,0036]) and to implement the grading of compositions to change the bandgap as shown in Ju with the first and third semiconductor layers of Kudo in view of Kim for the purpose of selectively controlling the bandgap of the layers (Ju Para. [0023])
Regarding claim 2, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Fig. 8 of Kudo,
wherein the first semiconductor layer [4a] and the third semiconductor layer [4b] are formed of the same III-V compound semiconductor (Para. [0060]).
Regarding claim 3, Kudo in view of Kim and Ju as applied to claim 2 above further discloses in Fig. 8 of Kudo,
wherein the first semiconductor layer [4a] and the third semiconductor layer [4b] have the same thickness (Para. [0060]).
Regarding claim 5, Kudo in view of Kim and Ju as applied to claim 2 above further discloses,
wherein the compositions of the first semiconductor layer [Kudo 4a Fig. 2] and the third semiconductor layer [Kudo 4b Fig. 2] are changed at a constant rate toward the second semiconductor layer [Kudo 5 Fig. 2] (Ju Paras. [0040,0045])
Regarding claim 7, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig 8,
wherein the first semiconductor layer [4a], the second semiconductor layer [5], and the third semiconductor layer [4b] each have a thickness of 1 nm to 8 nm (Para. [0060]).
Regarding claim 8, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig. 8,
A light-emitting device (Fig. 8) (Para. [0060,0062]) comprising:
the semiconductor stack [41,42,6a,10,6b,48] (Para. [0060]) according to claim 1; and
an electrode [502] (Para. [0058]) disposed in contact with the semiconductor stack (Para. [0058,0061]).
Regarding claim 11, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig. 8,
wherein the first-conductivity-type layer [42] is an n-type cladding layer (Para. [0060]) and the second-conductivity-type layer [48] is a p-type cladding layer (Para. [0060])
Regarding claim 12, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig. 8,
Wherein a total thickness of the first semiconductor layer [4a], the second semiconductor layer [5] and the third semiconductor layer [4b] is smaller than each thickness of the first-conductivity-type layer [42] and the second-conductivity-typer layer [48] (Para. [0060])
Regarding claim 13, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig. 8,
Wherein the first-conductivity-type layer [42] and the second-conductivity-type layer [48] each have a thickness of 300nm to 3000nm (Para. [0060])
Regarding claim 18, Kudo in view of Kim and Ju as applied to claim 1 above discloses the device outlined in the rejection of claim 1 and further discloses,
wherein, in each of the first semiconductor layer [Kudo 4a Fig. 2] (Kudo Para. [0015]) and the third semiconductor layer [Kudo 4b Fig. 2] (Kudo Para. [0015]), an In concentration increases toward the second semiconductor layer (Ju Para. [0045]), the In concentration is symmetrical with respect to the second semiconductor layer (Ju Paras. [0045,0047]), and the In concentration is a linear function of distance from the second semiconductor layer (Ju Para. [0045]) (see Ju Fig. 2).
Regarding claim 19, Kudo in view of Kim and Ju as applied to claim 1 above further discloses,
wherein the first semiconductor layer and the third semiconductor layer have a same composition at a same distance from the second semiconductor layer (Ju Paras. [0045-0047]).
Regarding claim 20, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig. 8,
wherein the first semiconductor layer [4a], the second semiconductor layer [5], and the third semiconductor layer [4b] each have a thickness of 2 nm to 6 nm (Para. [0060]).
Claims 4,15 and 16 are rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of Johnson et al. (hereinafter Johnson) (WO 0133677 A2).
Regarding claim 4, Kudo in view of Kim and Ju as applied to claim 1 above further discloses in Kudo Fig. 8,
a substrate [41] formed of GaAs (Para. [0060]) and stacked on an opposite side of the first-conductivity-type layer [42] from the quantum well structure [10] (Para. [0060]),
the III-V compound semiconductor constituting the second semiconductor layer [5] is
GaSbtAs1-t (Para. [0034,0060]) where 0<t<0.5
or (ii) GaBiuAs1-u, where 0<u<0.5 is satisfied. (Para. [0034,0060])
Kudo in view of Kim and Ju fails to disclose,
wherein the III-V compound semiconductors constituting the first semiconductor layer and the third semiconductor layer are each InxGa1-xAsyN1-y, and
where 0 <x<0.5, 0.9 <y<1.0 are satisfied
Johnson discloses in Fig. 17,
wherein the III-V compound semiconductors constituting a first semiconductor layer and a third semiconductor layer [Layers D] are each InxGa1-xAsyN1-y, and
where 0 <x<0.5, 0.9 <y<1.0 are satisfied (Page 13, lines 5 and 6 and Page 20, Lines 9-20)
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the composition of the first and third semiconductor layers of Johnson into the device of Kudo in view of Kim and Ju for the purpose of producing lasers having sufficiently long lifetimes. (Johnson Page 13, lines 19-22)
Examiner notes for the purposes of examination in the instant application the interpretation of the limitation “the second semiconductor layer is GaSbtAs1-t or GaBiuAs1-u” is “the second semiconductor layer is GaSbtAs1-t”, where 0 < t < 0.5 is satisfied.
Regarding claim 15, Kudo in view of Kim, Ju and Johnson as applied to claim 4 above further discloses,
wherein the III-V compound semiconductors constituting the first semiconductor layer and the third semiconductor layer [Kudo 4a and 4b Fig. 2] are each InxGa1-xAsyN1-y where 0 < x < 0.5, 0.9 < y < 1.0 is satisfied [Johnson Fig. 17 Layers D] (Johnson Page 13, lines 5 and 6 and Page 20, Lines 9-20), and
in the first semiconductor layer and the third semiconductor layer [Kudo 4a and 4b Fig. 2], a concentration of In is symmetrical with respect to the second semiconductor layer [Kudo 5 Fig. 2 (Ju Paras. [0045,0047]).
Regarding claim 16, Kudo in view of Kim, Ju and Johnson as applied to claim 4 above further discloses,
wherein the III-V compound semiconductors constituting the first semiconductor layer and the third semiconductor layer [Kudo 4a and 4b Fig. 2] are each InxGa1-xAsyN1-y where 0 < x < 0.5, 0.9 < y < 1.0 is satisfied [Johnson Fig. 17 Layers D] (Johnson Page 13, lines 5 and 6 and Page 20, Lines 9-20), and in the first semiconductor layer and the third semiconductor layer [Kudo 4a and 4b Fig. 2], the value of x increases toward the second semiconductor [Kudo 5 Fig. 2] layer (Ju Paras. [0045,0047]).
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of Kim et al. (hereinafter Kim 611) (US 20040256611 A1).
Regarding claim 6, Kudo in view of Kim Fig. 5 discloses the device outlined in the rejection of claim 1 above but fails to disclose,
wherein the compositions of the first semiconductor layer and the third semiconductor layer are changed in stages toward the second semiconductor layer.
Kim 611 discloses in Fig. 7,
Wherein the compositions of a first and third semiconductor layer [12 left and right Fig. 7] are changed in stages toward a second semiconductor layer [14]. (Para. 0029]).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the nonlinear compositional grading of Kim into the first and third semiconductor layers of the modified device of Kudo for the purpose of being able to create a funnel which directs carriers into the quantum well layers while being able to change the indium content at a non-constant rate. (Kim Para. [0029,0030])
Claim 9 is rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of Shatalov et al. (hereinafter Shatalov) (US 20160260867 A1).
Regarding claim 9, Kudo in view of Kim and Ju discloses the device outlined in the rejection of claim 1 above but fails to disclose,
Wherein the first semiconductor layer, the second semiconductor layer, and the third semiconductor layer have the same thickness
Shatalov discloses in Fig. 3A,
An active layer including multiple layers [12 and 14] grown at equal thicknesses (Para. [0040])
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the equal layer thicknesses of Shatalov into the layers of the modified device of Kudo for the purpose of selectively choosing a desired target thickness to match a specific wave function. (Shatalov Para. [0040])
Claim 10 is rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of Morohashi et al. (hereinafter Morohashi) (US 20200403381 A1).
Regarding claim 10, Kudo in view of Kim and Ju discloses the device outlined in the rejection of claim 1 above but fails to disclose,
Wherein the second-conductivity-type layer contains C (carbon) as a p-type impurity therein
Morohashi discloses in Fig. 1,
a p-type conductivity layer [51] containing carbon as an impurity (Para. [0077])
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the carbon doping and concentration of Morohashi into the p-type conductivity cladding layer of the modified device of Kudo for the purpose of suppressing optical loss. (Morohashi Para. [0077])
Claim 14 is rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of “GaAs1-xBix/GaNyAs1-y type-II quantum wells: novel strain-balanced heterostructures for GaAs-based near- and mid-infrared photonics” (hereinafter Broderick).
Regarding claim 14, Kudo in view of Kim and Ju discloses the device outlined in the rejection of claim 1 above but fails to disclose,
wherein the III-V compound semiconductor constituting the second semiconductor layer is GaBiuAs1-u where 0 < u < 0.5 is satisfied.
Broderick discloses,
a type-II quantum well structure comprising GaAs1-xBix where 0 < x <0.5 is satisfied (Page 1, Paragraph 1)
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the GaAsBi quantum well composition of Broderick as the composition of the second semiconductor layer of the modified device of Kudo for the purpose of offering optical emission and absorption at wavelengths up to 3µm. (Broderick Page 1, Paragraph 1)
Claims 21 and 22 are rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 20 above, and further in view of Nelson et al. (hereinafter Nelson) (US 20040061102 A1).
Regarding claim 21, the modified device of Kudo discloses the device outlined in the rejection of claim 20 above but fails to disclose,
wherein the first semiconductor layer, the second semiconductor layer, and the third semiconductor layer each have the same thickness.
Nelson discloses in Fig. 1,
a first semiconductor layer [left side 20] (Para. [0030]), a second semiconductor layer [30] (Para. [0030]), and a third semiconductor layer [right side 20] (Para. [0030]) each having a same thickness (Para. [0036])
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the equal thicknesses of the semiconductor layers as shown in Nelson in the modified device of Kudo for the purpose of tuning the wavelength of the quantum well. (Nelson Paras. [0023,0036])
Regarding claim 22, the modified device of Kudo discloses the device outlined in the rejection of claim 21 above and further discloses in Nelson,
wherein the first semiconductor layer, the second semiconductor layer, and the third semiconductor layer each have a thickness of 4 nm [40 ANG thickness] (Nelson Para. [0036]).
Claim 23 is rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of Lu et al. (hereinafter Lu) (US 9887317 B2).
Regarding claim 23, the modified device of Kudo discloses the device outlined in the rejection of claim 1 above but fails to disclose,
wherein a concentration of indium in the first semiconductor layer and the third semiconductor layer is each 24% at an interface opposite the first and second respective interfaces of the second semiconductor layer in the thickness direction.
Lu discloses in Fig. 1C,
a first semiconductor layer [6010] (Col. 6, lines 4-6) and a third semiconductor layer [6014] (Col. 4, lines 50-62) with a concentration of indium of 24% (Col. 6, lines 4-6)
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the indium composition as disclosed in Lu in the first and third semiconductor layers of the modified device of Kudo for the purpose of allowing change of the operating temperature. (Lu Col. 5, line 62 – Col. 6, line 7)
Claim 24 is rejected under 35 U.S.C. 103 as being unpatentable over Kudo in view of Kim and Ju as applied to claim 1 above, and further in view of Gad et al. (hereinafter Gad) (US 20110254471 A1).
Regarding claim 24, the modified device of Kudo discloses the device outlined in the rejection of claim 1 above but fails to disclose,
wherein a concentration of indium in the first semiconductor layer and the third semiconductor layer are each 44% at the first and second respective interfaces of the second semiconductor layer.
Gad discloses in Fig. 1,
a concentration of indium in a semiconductor layer [16] at 44% (Para. [0074]) in a type-II quantum well (Fig. 1C) (Para. [0066])
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to implement the indium concentration disclosed in Gad in the first and third semiconductor layers of the modified device of Kudo for the purpose of acquiring a desired energy difference in the bandgap structure. (Gas Paras. [0076,0077])
Conclusion
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 HUNTER J NELSON whose telephone number is (571)270-5318. The examiner can normally be reached Mon-Fri. 8:30am-5:00 ET.
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/H.J.N./Examiner, Art Unit 2828 /TOD T VAN ROY/Primary Examiner, Art Unit 2828