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.
Information Disclosure Statement
The references cited in the Information Disclosure Statement (IDS) submitted on March 06, 2023 and November 06, 2024. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered and accepted by the examiner.
Drawings
The drawing submitted on March 06, 2023, has been considered and accepted by the examiner.
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.
Claims 5, 10 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Takeharu et el. (JP2002246693, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation) in view of Hidetoshi et al. (JP 2005005468, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Joong-Kon et al. (JP 2007214570, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation).
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Regarding claim 5, Takeharu disclose an optical semiconductor device comprising:
a stripe-shaped ridge structure (see Annotation Figure 1, character 1a, (for example the striped ridge configuration consists of an n-type cladding layer (14), an n-side optical guide layer (15), an active layer (16), a p-side optical guide layer (17), a p-type cladding layer (18) and a p-side contact layer (19)) including a first-conductivity-type cladding layer (see Annotation Figure 1, character 14, Abstract, paragraphs [0011 and 0013] and the reference called “n-side clad layer or n-side cladding layer”), an active layer (see Annotation Figure 1, character 16, Abstract and paragraphs [0011 and 0013]), and a second-conductivity-type first cladding layer (see Annotation Figure 1, character 18, Abstract, paragraphs [0011 and 0013] and the reference called “p-side clad layer or p-side cladding layer”) which are sequentially laminated on a first-conductivity-type substrate (see Annotation Figure 1, characters 11 – 13, Abstract and paragraphs [0011, 0013 – 0014] and a buffer layer (12), an n-side contact layer (13) are sequentially stacked on the substrate (11) (layers 11 +12 +13 is equivalent to disclosing a first conductivity type semiconductor substrate);
a buried layer (see Annotation Figure 1, character 20, Abstract and paragraph [0011]) which is buried on both side surfaces of the ridge structure (see Annotation Figure 1, character 1a) to cover thereof;
a second-conductivity-type contact layer (see Annotation Figure 1, character 19, Abstract and paragraphs [0011 and 0013] and the reference called “p-side contact layer”) which is sequentially laminated on a top of the ridge structure (see Annotation Figure 1, character 1a) and a surface of the buried layer (see Annotation Figure 1, character 20);
a stripe-shaped mesa structure (see Annotation Figure 1, character 1b) formed of a mesa reaching from the second-conductivity contact layer (see Annotation Figure 1, character 19) to the first conductivity type semiconductor substrate (see Annotation Figure 1, characters 11 – 13, a protrusion extending in the shape of a stripe, centered on this ridge configuration, the p-side contact layer (19) reaches mesas of the semiconductor substrate of the first conductivity type to form two sides), both side surfaces of the mesa structure being formed by the mesa (see Annotation Figure 1);
an insulating film (see Annotation Figure 1, character 21 and paragraph [0011]) and provided on both side surfaces of the mesa structure (see Annotation Figure 1, character 1a and/or 1b), one end portion of the insulating film (see Annotation Figure 1, character 21) covering at least the buried layer (see Annotation Figure 1, character 20) exposed on the both side surfaces of the mesa structure (see Annotation Figure 1, character 1a and/or 1b); and
a second-conductivity-type-side electrode (see Annotation Figure 1, character 22 and paragraphs [0011 and 0023] and the reference called “the p-side electrode”) which is formed so as to cover a surface of the second-conductivity-type contact layer (see Annotation Figure 1, character 19, the p-side electrode cover part of the top surface of the contact layer) and to cover directly (see Annotation Figure 1).
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Takeharu discloses the claimed invention except for a second-conductivity-type second cladding layer which is sequentially laminated on a top of the ridge structure and a surface of the buried layer, a stripe-shaped mesa structure which is centered on the ridge structure and formed of a mesa reaching from the second-conductivity-type contact layer to the first-conductivity-type semiconductor substrate and a partial mesa protective film which is made of an insulating film and provided on both side surfaces of the mesa structure, one end portion of the partial mesa protective film reaching the first-conductivity-type semiconductor substrate exposed on the both side surfaces of the mesa structure. Hidetoshi in Figure 1, teaches a second-conductivity-type cladding layer (see Figure 1, characters 4 and 13, Hidetoshi discloses that the second conductivity type cladding is divided into a "second-conductivity-type first cladding layer (InP cladding layer (4)) and a second conductivity-type second cladding layer (second InP cladding layer (13)) of a ridge structure (see Figure 1, character 8) and a striped mesa structure (21, the mesa embedding portion (21) has a mesa portion (8) and embedded block portions (12) provided on both side surfaces of the mesa portion (8). The mesa buried portion (21) includes a p-type second InP clad layer (13) provided on the mesa portion (8) and the buried block portion (12), and a contact layer (14) provided thereon. Further, the mesa buried portion (21) has an insulating film (16) provided on the buried block portion (12), the InP cladding layer (13) and the contact layer (14), and an electrode (17) provided on the insulating film (16)) in which both side surfaces are formed by a mesa reaching from the second-conductivity-type contact layer (14) to a first-conductivity-type semiconductor substrate (1) centered about a ridge structure (see Figure 1, character 8, “mesa part (8)”). A partial mesa protection film (see Figure 1, character 16) comprising an insulation film, the protection film provided to both side surfaces of the mesa structure (see Figure 1), one end of the protection film reaching the first-conductivity-type semiconductor substrate exposed on both of the side surfaces (see Figure 1), the other end covering, at least an embedded layer (see Figure 1, character 12, the reference called “embedded block layer") exposed on both of the side surfaces (see Figure 1). However, it is well known in the art to apply and/or modify the second-conductivity-type second cladding layer, a stripe-shaped mesa structure which is centered on the ridge structure and formed of a mesa reaching from the second-conductivity-type contact layer to the first-conductivity-type semiconductor substrate and a partial mesa protective film which is made of an insulating film and provided on both side surfaces of the mesa structure, one end portion of the partial mesa protective film reaching the first-conductivity-type semiconductor substrate exposed on the both side surfaces of the mesa structure as discloses by Hidetoshi in (see Figure 1 and paragraphs [0010 – 0029]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the second-conductivity-type second cladding layer, a stripe-shaped mesa structure which is centered on the ridge structure and formed of a mesa reaching from the second-conductivity-type contact layer to the first-conductivity-type semiconductor substrate and a partial mesa protective film which is made of an insulating film and provided on both side surfaces of the mesa structure, one end portion of the partial mesa protective film reaching the first-conductivity-type semiconductor substrate exposed on the both side surfaces of the mesa structure as suggested to the device of Takeharu, to improve the laser performance.
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Takeharu discloses the claimed invention except for a second-conductivity-type-side electrode which is formed so as to cover both side surfaces of the second-conductivity-type contact layer exposed on the both side surfaces of the mesa structure, and at least portions of the both side surfaces of the second-conductivity-type second cladding layer exposed on the both side surfaces of the mesa structure. Joong-Kon teaches a second-conductivity-type-side electrode (see Figure 1, character 200, the reference called “upper electrode”) which is formed so as to cover both side surfaces of the second-conductivity-type contact (see Figure 1, character 190, the reference called “upper contact layer”) layer exposed on the both side surfaces of the mesa structure (see Figure 1), and at least portions of the both side surfaces of the second-conductivity-type second cladding layer (see Figure 1, character 180) exposed on the both side surfaces of the mesa structure (see Figure 1). However, it is well known in the art to apply and/or modify the a second-conductivity-type-side electrode which is formed so as to cover both side surfaces of the second-conductivity-type contact layer exposed on the both side surfaces of the mesa structure, and at least portions of the both side surfaces of the second-conductivity-type second cladding layer exposed on the both side surfaces of the mesa structure as discloses by Joong-Kon in (see Figure 1 and paragraphs [0008, 0011, 0014 and 0030]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the a second-conductivity-type-side electrode which is formed so as to cover both side surfaces of the second-conductivity-type contact layer exposed on the both side surfaces of the mesa structure, and at least portions of the both side surfaces of the second-conductivity-type second cladding layer exposed on the both side surfaces of the mesa structure as suggested to the device of Takeharu, in order to provide an excellent heat dissipation properties.
Regarding claims 10 – 11, Takeharu, Hidetoshi and Joong-Kon discloses the claimed invention except for a concave-convex pattern is formed on the surface of the second-conductivity-type contact layer and wherein the concave-convex pattern is periodically provided. It would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to modify the a concave-convex pattern is formed on the surface of the second-conductivity-type contact layer and wherein the concave-convex pattern is periodically provided to the device of Takeharu, Hidetoshi and Joong-Kon, could improve the heat dissipations characteristics, it would have been an obvious matter of design choice bounded by well-known manufacturing constraints and ascertainable by routine experimentation and optimization to choose these particular dimensions because applicant has not disclosed that the dimensions are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical, and it appears prima facie that the process would possess utility using another dimension. Indeed, it has been held that mere dimensional limitations are prima facie obvious absent a disclosure that the limitations are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical. See, for example, In re Rose, 220 F.2d 459, 105 USPQ 237 (CCPA 1955); In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976); Gardner v. TEC Systems, Inc., 725 F.2d 1338, 220 USPQ 777 (Fed. Cir. 1984), cert. denied, 469 U.S. 830, 225 USPQ 232 (1984); In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966).
Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Takeharu et el. (JP2002246693, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation) in view of Hidetoshi et al. (JP 2005005468, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Joong-Kon et al. (JP 2007214570, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Masayuki et al. (JPH09260772, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation).
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Regarding claim 6, Takeharu, Hidetoshi and Joong-Kon discloses the claimed invention except for the both end portions of the second-conductivity-type-side electrode are formed so as to cover the other end portions of the partial mesa protective film. Masayuki teaches both end sections of a second-conductivity-type-side electrode (pad electrode 31 including a positive electrode 30) cover an end of a partial mesa protection film (insulating thin film 10). However, it is well known in the art to apply and/or modify the both end portions of the second-conductivity-type-side electrode are formed so as to cover the other end portions of the partial mesa protective film as discloses by Masayuki in (see Figures 1 – 2 and paragraph [0009, 0020]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the both end portions of the second-conductivity-type-side electrode are formed so as to cover the other end portions of the partial mesa protective film as suggested to the device of Takeharu, Hidetoshi and Joong-Kon, to prevents short circuits between the pad electrode including the positive electrode formed on the same side and the negative electrode when they are bonded to other lead members such as a heat sink or a submount, and also serves to concentrate the light emitted from the active layer under the ridge.
Claims 7 – 8 are rejected under 35 U.S.C. 103 as being unpatentable over Takeharu et el. (JP2002246693, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation) in view of Hidetoshi et al. (JP 2005005468, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Joong-Kon et al. (JP 2007214570, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Shuichi et al. (JP2007150170, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation).
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Regarding claims 7 – 8, Takeharu, Hidetoshi and Joong-Kon discloses the claimed invention except for at least part of an upper end portion of the second-conductivity-type second cladding layer has a shape such that a width thereof widens in a lamination direction in a cross section perpendicular to a stripe direction and at least part of an upper end portion of the second-conductivity-type second cladding layer has a shape such that a width thereof narrows in a lamination direction in a cross section perpendicular to a stripe direction. Shuichi employing the shape (see Figure 6) of an upper end section of a second-conductivity-type cladding layer (see Figure 1, characters 108, 109 and 111) in which the width widens or the shape (see Figure 1) in which said width narrows with respect to the lamination direction in a cross-section perpendicular to a stripe direction. However, it is well known in the art to apply and/or modify at least part of an upper end portion of the second-conductivity-type second cladding layer has a shape such that a width thereof widens in a lamination direction in a cross section perpendicular to a stripe direction and at least part of an upper end portion of the second-conductivity-type second cladding layer has a shape such that a width thereof narrows in a lamination direction in a cross section perpendicular to a stripe direction as discloses by Shuichi in (see Figures 1 and 6 and paragraphs [0075 – 0076, 0079, 0100 – 0106 and 0129]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the at least part of an upper end portion of the second-conductivity-type second cladding layer has a shape such that a width thereof widens in a lamination direction in a cross section perpendicular to a stripe direction and at least part of an upper end portion of the second-conductivity-type second cladding layer has a shape such that a width thereof narrows in a lamination direction in a cross section perpendicular to a stripe direction as suggested to the device of Takeharu, Hidetoshi and Joong-Kon, could improve the heat dissipations characteristics, it would have been an obvious matter of design choice bounded by well-known manufacturing constraints and ascertainable by routine experimentation and optimization to choose these particular dimensions because applicant has not disclosed that the dimensions are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical, and it appears prima facie that the process would possess utility using another dimension. Indeed, it has been held that mere dimensional limitations are prima facie obvious absent a disclosure that the limitations are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical. See, for example, In re Rose, 220 F.2d 459, 105 USPQ 237 (CCPA 1955); In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976); Gardner v. TEC Systems, Inc., 725 F.2d 1338, 220 USPQ 777 (Fed. Cir. 1984), cert. denied, 469 U.S. 830, 225 USPQ 232 (1984); In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966).
Claim 9 is rejected under 35 U.S.C. 103 as being unpatentable over Takeharu et el. (JP2002246693, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation) in view of Hidetoshi et al. (JP 2005005468, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Joong-Kon et al. (JP 2007214570, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation), further in view of Hironobu (JP2004022934, applicant submitted in the IDS, field on March 06, 2023 and examiner submitted an English translation).
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Regarding claim 9, Takeharu, Hidetoshi and Joong-Kon discloses the claimed invention except for the second-conductivity-type contact layer has a shape such that a width thereof narrows in the lamination direction in the cross section perpendicular to the stripe direction. Hironobu teaches a the second-conductivity-type contact layer (see Figure 1, character 72, the reference called “cap layer”) has a shape (see Figure 1) such that a width thereof narrows in the lamination direction in the cross section perpendicular to the stripe direction (see Figure 1). However, it is well known in the art to apply and/or modify the second-conductivity-type contact layer has a shape such that a width thereof narrows in the lamination direction in the cross section perpendicular to the stripe direction.as discloses by Hironobu in (see Figure 1 and paragraphs [0030 – 0037]). Therefore, it would have been obvious to a person having ordinary skill in the art before the effective filling date of the claimed invention was to apply and/or modify the second-conductivity-type contact layer has a shape such that a width thereof narrows in the lamination direction in the cross section perpendicular to the stripe direction. as suggested to the device of Takeharu, Hidetoshi and Joong-Kon, could improve the heat dissipations characteristics, it would have been an obvious matter of design choice bounded by well-known manufacturing constraints and ascertainable by routine experimentation and optimization to choose these particular dimensions because applicant has not disclosed that the dimensions are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical, and it appears prima facie that the process would possess utility using another dimension. Indeed, it has been held that mere dimensional limitations are prima facie obvious absent a disclosure that the limitations are for a particular unobvious purpose, produce an unexpected result, or are otherwise critical. See, for example, In re Rose, 220 F.2d 459, 105 USPQ 237 (CCPA 1955); In re Rinehart, 531 F.2d 1048, 189 USPQ 143 (CCPA 1976); Gardner v. TEC Systems, Inc., 725 F.2d 1338, 220 USPQ 777 (Fed. Cir. 1984), cert. denied, 469 U.S. 830, 225 USPQ 232 (1984); In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966).
Allowable Subject Matter
Claims 1 – 4 are allowed.
The following is an examiner’s statement of reasons for allowance: Claim 1 recites an optical semiconductor device structure including the specific structure limitation of a heat dissipation layer which is provided on a surface of the second-conductivity-type contact layer and has a narrower width than the second-conductivity-type contact layer, which is neither anticipated or neither disclosed nor suggested in any piece of available prior art, which is neither anticipated nor obvious over the prior art of record.
Claim 2 recites an optical semiconductor device structure including the specific structure limitation of a heat dissipation layer which is formed on a surface of the second-conductivity-type second cladding layer through a contact layer opening provided in the second-conductivity-type contact layer, which is neither anticipated or neither disclosed nor suggested in any piece of available prior art, which is neither anticipated nor obvious over the prior art of record.
The closest art: Takeharu et el. (JP2002246693) discloser a semiconductor laser element which can produce a small drive current and a long life simply and conveniently. The semiconductor laser include a buffer layer, an n-side contact layer, an n-type clad layer, an n-side optical guide layer, an active layer, a p-side optical guide layer, a p-type clad layer and a p-side contact layer are laminated on a substrate in a hydrogen atmosphere. And an upper layer of the p-type clad layer is patterned into a ridge shape. Thereafter, a buried layer is grown on both side surfaces of the ridge in a nitrogen atmosphere. In the formation process, the p-type layers to previously formed can be again activated. Simultaneously, the rate of growth of the buried layer in a transversal direction is fast, so that the likelihood of the thermal deterioration of crystallization of the active layer during the growth can be eliminated.
Hidetoshi et al. (JP 2005005468) disclose a semiconductor laser is provided with: a mesa having an InP buffer layer; an active layer and an InP clad layer which are arranged on an InP substrate in order; and an embedded block having a p-type InP block layer disposed on the side of the mesa and on the InP substrate, and an n-type InP block layer arranged on the p-type InP block layer by including a first region, a second region made between the first region and the mesa and a step formed between the first region and the second region.
Joong-Kon et al. (JP 2007214570) disclose a ridge waveguide type semiconductor laser diode, the drive power of which is small. In the ridge waveguide type semiconductor laser diode, having an upper multi-semiconductor layer in which a lower multi-semiconductor layer, an active layer, and a ridge part are laminated sequentially on a substrate and an upper electrode the upper electrode covers a region that includes at least a part of the side face of the ridge part, and a current is injected via a part of the side face.
The prior art failed to teach or suggest a heat dissipation layer which is provided on a surface of the second-conductivity-type contact layer and has a narrower width than the second-conductivity-type contact layer (claim 1) and/or a heat dissipation layer which is formed on a surface of the second-conductivity-type second cladding layer through a contact layer opening provided in the second-conductivity-type contact layer (claim 2).
Any comments considered necessary by applicant must be submitted no later than the payment of the issue fee and, to avoid processing delays, should preferably accompany the issue fee. Such submissions should be clearly labeled “Comments on Statement of Reasons for Allowance.”
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Delma R. Forde whose telephone number is (571)272-1940. The examiner can normally be reached M - TH 7:00 AM - 4:00 PM.
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/Delma R Forde/Examiner, Art Unit 2828
/XINNING(Tom) NIU/Primary Examiner, Art Unit 2828