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 .
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The information disclosure statement (IDS), submitted on 01/23/2023, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
Drawings
The drawings are objected to because
Figs. 7A+B top/second resonator mirror mislabeled, should be “120”
The drawings are objected to under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the curved mesa sidewall (claim 10) must be shown or the feature(s) canceled from the claim(s). No new matter should be entered.
The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they include the following reference character(s) not mentioned in the description (US or PCT spec.): 132 in fig. 1a.
Corrected drawing sheets in compliance with 37 CFR 1.121(d), or amendment to the specification to add the reference character(s) in the description in compliance with 37 CFR 1.121(b) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
Specification
The disclosure is objected to because of the following informalities:
Pg. 12 line 8 should read “… in FIG. 2D…”
Pg. 13 line 27 should read “…FIG. 3B…”
Appropriate correction is required.
Claim Objections
The disclosure is objected to because of the following informalities:
Claim 6 line 2 “third aperture stop” should read “second aperture stop”
Inconsistent terminology within claim preamblei. “device” (claims 1, 14, 16, 18)
ii. “element” (claims 2-6, 9-13)
iii. “component” (claim 17)
Appropriate correction is required.
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.
Claim 9-10, 12-13 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.
Claim 9 depends from cancelled claim 7 and is therefore both indefinite and incomplete. For purposes of examination, Examiner interprets claim 9 as depending directly from claim 1.
Claim 10 indefinite due to “a sidewall of the mesa” in line 2. “a sidewall of the mesa” already introduced prior to this in claim 1 lines 7-8. It is unclear if the claim 10 limitation refers to a new/additional sidewall of the mesa, or if it refers to the existing sidewall from claim 1. Examiner interprets the claim 10 limitation to be equivalent to the existing sidewall from claim 1.
Claim 12-13 recites the limitation “first direction” and “second direction” in line 3. There is insufficient antecedent basis for this limitation in the claim. Examiner interprets “first direction” and “second direction” to be equivalent to “first horizontal direction” and “second horizontal direction”, respectively.
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) 1-2, 11, 14, 17-18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer (US-20180301871-A1) in view of Swirhun (US-5606572-A).
Regarding claim 1, Dummer discloses an optoelectronic semiconductor device (fig. 4, 0061-0064) comprising: a semiconductor layer stack in which a surface-emitting laser diode is formed (fig. 1 VCSEL w/ layer stack (104+106+108+110+112+114+124) used in fig. 4, 0009, 0061-0064), wherein the semiconductor layer stack comprises a first aperture stop (annotated fig. 1 layer stack comprises first aperture stop (oxidized portions of 124 surrounding aperture), note: oxidized first aperture stop has shape and dimensions that align with the rectangular metal aperture from fig. 4 (see italicized portion below for further clarification), oxidized first aperture stop not circular either in fig. 4 or within these rejections, 0009, 0063-0064), and a dimension of the first aperture stop in a first horizontal direction is smaller than 50 um and smaller than the dimension of the first aperture stop in a second horizontal direction (rectangular size of oxidation layer aperture is +/- 2 um size of metal aperture, metal aperture shown in fig. 4 is 14 um top to bottom and 175 um left to right on page, “dimension of first aperture stop in first horizontal direction” is the top to bottom dimension of the aperture formed by the oxidation layer aperture stop (i.e. 12-16 um and below 50 um), this is smaller than the left to right dimension of the aperture formed by the oxidation layer aperture stop (i.e. 173-177 um), 0063-0064, see also instant application figs. 1a/b), wherein the semiconductor layer stack is patterned into a mesa (stack patterned into ETCHED MESA).
Dummer does not disclose further comprising an absorbent material on a sidewall of the mesa, wherein the absorbent material comprises a semiconductor material having a band gap smaller than that corresponding to a wavelength emitted by the laser diode.
Swirhun discloses a VCSEL with a photodiode comprising an absorbent material on a side wall of the VCSEL mesa (fig. 7a photodiode layers 345+350 p/n type polysilicon layer on side wall of mesa (everything between 345 layer pair and 350 layer pair), col. 11 lines 20-50), wherein the absorbent material comprises a semiconductor material having a band gaps smaller than that corresponding to a wavelength emitted by the VCSEL (col. 2 lines 15-25, claims 1, 2, 4).
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 absorbent material on a sidewall of the mesa, wherein the absorbent material comprises a semiconductor material having a band gap smaller than that corresponding to a wavelength emitted by the laser diode to facilitate monitoring and feedback control of optical signal (Swirhun col. 1 lines 20-35, col. 6 lines 15-25, col. 11 lines 10-20).
Fig. 1 typical VCSEL uses round apertures for both metal and oxidation layer. Examiner uses fig. 1 to show the layers/stack present within fig. 4 structure. Fig. 4 uses rectangular aperture for metal layer and further states that rectangular metal aperture may be sized with dimensions within +/- 2 um of the oxide aperture. Therefore, fig. 4 oxide aperture and aperture stop are also rectangular.
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Annotated fig. 1 (representative of structures within fig. 4)
Regarding claim 2, modified Dummer discloses the optoelectronic semiconductor element according to claim 1, wherein the dimension of the first aperture stop in the second horizontal direction is greater than 100 um (dimension of first/oxidized layer aperture stop in second horizontal direction (i.e. interior dimension of aperture left to right in figure 4) is 173-177 um, 0009, 0063-0064).
Regarding claim 11, modified Dummer discloses the optoelectronic semiconductor element according to claim 1, wherein a sidewall of the first aperture stop extends along a direction intersecting the first and second horizontal directions (annotated fig. 4 interior sidewall of oxidation aperture stop (interior perimeter of oxidation aperture) extends along direction intersecting 1d top to bottom direction and 2d left to right direction, 0064).
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Annotated fig. 4
Regarding claim 14, Dummer discloses a method of manufacturing an optoelectronic semiconductor device (fig. 4), comprising: forming a semiconductor layer stack for forming a surface-emitting laser diode (fig. 1 VCSEL w/ layer stack (104+106+108+110+112+114+124) used in fig. 4, 0009, 0061-0064), patterning the semiconductor layer stack into a mesa (stack patterned into equivalent ETCHED MESA in fig. 4), and forming a first aperture stop (annotated fig. 1 layer stack comprises first aperture stop (oxidized portions of 124 surrounding aperture), note: oxidized first aperture stop has shape and dimensions that align with the rectangular metal aperture from fig. 4 (see italicized portion below for further clarification), oxidized first aperture stop not circular either in fig. 4 or within these rejections, 0009, 0063-0064), wherein a dimension of the first aperture stop in a first horizontal direction is smaller than 50 um and smaller than the dimension of the first aperture stop in a second horizontal direction (rectangular size of oxidation layer aperture is +/- 2 um size of metal aperture, metal aperture shown in fig. 4 is 14 um top to bottom and 175 um left to right on page, “dimension of first aperture stop in first horizontal direction” is the top to bottom dimension of the aperture formed by the oxidation layer aperture stop (i.e. 12-16 um and below 50 um), this is smaller than the left to right dimension of the aperture formed by the oxidation layer aperture stop (i.e. 173-177 um), 0063-0064, see also instant application figs. 1a/b).
Dummer does not disclose forming an absorbent material on a sidewall of the mesa, wherein the absorbent material comprises a semiconductor material having a band gap smaller than that corresponding to a wavelength emitted by the laser diode.
Swirhun discloses a VCSEL with a photodiode comprising an absorbent material on a side wall of the VCSEL mesa (fig. 7a photodiode layers 345+350 p/n type polysilicon layer on side wall of mesa (everything between 345 layer pair and 350 layer pair), col. 11 lines 20-50), wherein the absorbent material comprises a semiconductor material having a band gaps smaller than that corresponding to a wavelength emitted by the VCSEL (col. 2 lines 15-25, claims 1, 2, 4).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to form an absorbent material on a sidewall of the mesa, wherein the absorbent wavelength emitted by the laser diode to facilitate monitoring and feedback control of optical signal (Swirhun col. 1 lines 20-35, col. 6 lines 15-25, col. 11 lines 10-20).
Fig. 1 typical VCSEL uses round apertures for both metal and oxidation layer. Examiner uses fig. 1 to show the layers/stack present within fig. 4 structure. Fig. 4 uses rectangular aperture for metal layer and further states that rectangular metal aperture may be sized with dimensions within +/- 2 um of the oxide aperture. Therefore, fig. 4 oxide aperture and aperture stop are also rectangular.
Regarding claim 17, modified Dummer discloses an optoelectronic apparatus comprising the optoelectronic semiconductor component according to claim 1 (use of VCSEL system in sensing mechanisms (apparatuses) in figs. 3a-c, 0014-0024).
Regarding claim 18, modified Dummer discloses the optoelectronic device according to claim 1, wherein a sidewall of the mesa intersects a vertical direction (sidewall (rightmost surface of ETCHED MESA in an equivalent fig. 4 VCSEL) intersects a vertical direction that sits directly on top of the same sidewall, sidewall and vertical direction now intersect at infinite points).
Claim(s) 3-6 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Swirhun and Sun (US-20010043629-A1).
Regarding claim 3, modified Dummer discloses the optoelectronic semiconductor element according to claim 1.
Modified Dummer does not disclose wherein the surface-emitting laser diode comprises a plurality of laser elements stacked one above the other.
Sun discloses a VCSEL with a plurality of stacked laser elements (fig. 3 plurality of stacked laser elements 16 + 18 + 30, 0066-0067).
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 surface-emitting laser diode comprises a plurality of laser elements stacked one above the other to provide more flexibility with generated wavelengths and increase optical power without increasing footprint (Sun 0073-0074).
Regarding claim 4, modified Dummer discloses the optoelectronic semiconductor element according to claim 3.
Modified Dummer does not disclose further comprising a tunnel junction adapted to connect two adjacent ones of the plurality of laser elements stacked one above the other.
Sun further discloses a tunnel junction electrically + physically connecting two adjacent stacked laser elements (fig. 3 tunnel junction 26 between stacked adjacent active layers 30 and 18, 0065).
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 tunnel junction adapted to connect two adjacent ones of the plurality of laser elements stacked one above the other to increase the gain (Sun 0065).
Regarding claim 5, modified Dummer discloses the optoelectronic semiconductor element according to claim 4, with a first aperture stop dimension in a first horizontal direction (i.e. interior dimension of aperture top to bottom) smaller than 50 um (12-16 um, 0063-0064).
Modified Dummer does not disclose further comprising a second aperture stop adjacent to the tunnel junction, wherein a dimension of the second aperture stop in the first horizontal direction is smaller than 50 um.
Sun further discloses two aperture stops, each one adjacent to a tunnel junction (fig. 3 aperture stop (oxidized portion of 34) adjacent to tunnel junction 26, 0067). Sun depicts both aperture stops (and apertures) being substantially the same size (32 and 34 substantially same size).
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 second aperture stop adjacent to the tunnel junction, wherein a dimension of the second aperture stop in the first horizontal direction is the same as that of first aperture stop/smaller than 50 um to reduce current spreading between laser elements and increase efficiency (Sun 0067), making both aperture stops the same dimensions would simplify manufacturing process and help maintain consistent operation of device.
Regarding claim 6, modified Dummer discloses the optoelectronic semiconductor element according to claim 1, with a first aperture stop dimension in a second horizontal direction (i.e. interior dimension of aperture left to right in fig. 4) greater than 100 um (173-177 um, 0063-0064).
Modified Dummer does not disclose further comprising a third aperture stop adjacent to an active zone, wherein a dimension of the third aperture stop in the second horizontal direction is greater than 100 um.
Sun discloses two aperture stops, each one adjacent to an active layer (fig. 3 aperture stop (oxidized portion of 34) adjacent to active layer 30, 0066-0067). Sun depicts both aperture stops (and apertures) being substantially the same size (32 and 34 substantially same size).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have another aperture stop adjacent to an active zone, wherein a dimension of the other aperture stop in the second horizontal direction is greater than 100 um to reduce current spreading between laser elements and increase efficiency (Sun 0067), making both aperture stops the same dimensions would simplify manufacturing process and help maintain consistent operation of device.
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Swirhun and Zapata (US-5335237-A).
Regarding claim 9, modified Dummer discloses the optoelectronic semiconductor element according to claim 7 (claim 1).
Modified Dummer does not disclose wherein a refractive index of the absorbent material is at least as large as the refractive index of a semiconductor material of an active zone of the laser diode.
Zapata discloses a laser with absorbing thin films placed on side surfaces of a gain medium, where thin film refractive index is at least as large as that of medium (fig. 1 absorbing thin films 12 + 14 placed on gain medium 10, col. 3 lines 20-50).
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 refractive index of the absorbent material is at least as large as the refractive index of a semiconductor material of an active zone of the laser diode to suppress amplified spontaneous emission and parasitic lasing by reducing reflection of laterally propagating radiation (Zapata col. 2 lines 20-45).
Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Swirhun and Otoma (JP-2006013366-A, machine translation "Otoma_English" cited and included herewith).
Regarding claim 10, modified Dummer discloses the optoelectronic semiconductor element according to claim 1.
Modified Dummer does not disclose wherein a sidewall of the mesa is curved along the second horizontal direction.
Otoma discloses a VCSEL with a curved mesa sidewall along second horizontal direction (fig. 6 mesa sidewall 601-604 curved along both horizontal directions, lines 379-395).
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 sidewall of the mesa is curved along the second horizontal direction to allow for polarization control of VCSEL via application of anisotropic strain (Otoma lines 388-395). Curved surface superior to straight angled surface as curved provides more gradual strain distribution and avoids dramatic changes in stress.
Claim(s) 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Swirhun and Moser (US-20110176572-A1).
Regarding claim 12, modified Dummer discloses the optoelectronic semiconductor element according to claim 1.
Modified Dummer does not disclose wherein a sidewall of the first aperture stop is patterned along the second direction.
Moser discloses a VCSEL with a current confinement aperture stop having a patterned interior sidewall (figs. 1-5 aperture stop 116 has patterned interior sidewall 116a with indentations/bulges 128, 0042, 0046). Moser discloses applying its patterning principles to devices with two-fold rotational symmetry (e.g. rectangular apertures) (0056-0058).
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 sidewall of the first aperture stop is patterned along the second direction to provide greater control and stability of VCSEL modes and current density (Moser 0049, 0057).
Claim(s) 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer fig. 4 in view of Swirhun and Dummer fig. 11a.
Regarding claim 13, modified Dummer discloses the optoelectronic semiconductor element according to claim 1.
Modified Dummer does not disclose wherein a sidewall of the first aperture stop is curved along the first or second direction.
Dummer fig. 11a discloses a separate embodiment with a VCSEL aperture having rounded corners and a curve along a first horizontal direction (fig. 11a VCSEL aperture 1102 with curve along top to bottom direction, 0071). Dummer further discloses the oxidation front of the VCSEL being approximately co-incident with the aperture and possessing similar dimensions (0064).
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 metal layer aperture curved along the first or second direction to obtain more reliable operation and uniform turn-on on the VCSEL (0071). Having first aperture stop (oxidation front) aligned with the metal layer aperture w/ same shape would avoid structural conflict between oxidation front aperture and metal aperture and consequently maximize efficiency.
Claim(s) 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Swirhun, Itoh (US-20120294652-A1), and Jiang (EP-0803945-A1).
Regarding claim 15, modified Dummer discloses the method of claim 14.
Modified Dummer does not disclose wherein the semiconductor layer stack comprises an AlAs layer and forming the first aperture stop comprises an oxidation method for oxidizing the AlAs layer.
Itoh discloses a SEL with a selective oxidation AlAs layer with an oxidation method used to oxidize the AlAs layer and form aperture stop (fig. 7b AlAs oxidation aperture layer 108, 0107).
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 AlAs layer and forming the first aperture stop comprises an oxidation method for oxidizing the AlAs layer to take advantage of AlAs’ faster oxidation speed compared to AlGaAs’ (Jiang col. 6 lines 40-45).
Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Swirhun and Burroughs (US-20180301872-A1).
Regarding claim 16, modified Dummer discloses the optoelectronic semiconductor device of claim 1.
Modified Dummer does not disclose a LIDAR system comprising the optoelectronic semiconductor device of claim 1.
Burroughs discloses using VCSELs in a LIDAR system (fig. 7, 0077).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use the device of claim 1 in a LIDAR system to create a time-of-flight measurement system to determine distance to a target (Burroughs 0041).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Lell US-20110188530-A1.
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/A.E./Examiner, Art Unit 2828
/MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828
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