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 .
Information Disclosure Statement
The information disclosure statement (IDS), submitted on 11/25/2025, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
The information disclosure statement (IDS), submitted on 10/6/2025, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
The information disclosure statement (IDS), submitted on 05/12/2024, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
The information disclosure statement (IDS), submitted on 12/2/2023, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
The information disclosure statement (IDS), submitted on 6/7/2023, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
The information disclosure statement (IDS), submitted on 06/7/2023, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
The information disclosure statement (IDS), submitted on 2/6/2023, is in compliance with the
Provisions of 37 CFR 1.97. Accordingly, the IDS is being considered by the examiner.
Election/Restrictions
Applicant's election with traverse of species III (thermal sensor on DBR) in the reply filed on 10/6/25 is acknowledged. The traversal is on the ground(s) that a thermal sensor may be formed at a location that is both mounted on a distributed Bragg reflector (Species III, claim 6) and is coplanar with an active layer (Species IV, claim 7). This argument is persuasive. Requirement for restriction between species III/claim 6 and species IV/claim 7 is withdrawn. Species IV is reinstated.
Claim 4-5, 14 withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected species, there being no allowable generic or linking claim.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 10/6/25.
Drawings
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: 310 (fig. 3). 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.
Claim Interpretation
“Junction temperature” is interpreted to mean a temperature taken merely in the vicinity of an analogous emitter junction.
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 3,13 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.
Where applicant acts as his or her own lexicographer to specifically define a term of a claim contrary to its ordinary meaning, the written description must clearly redefine the claim term and set forth the uncommon definition so as to put one reasonably skilled in the art on notice that the applicant intended to so redefine that claim term. Process Control Corp. v. HydReclaim Corp., 190 F.3d 1350, 1357, 52 USPQ2d 1029, 1033 (Fed. Cir. 1999). The term “trench area” in claim 3, 13 is used by the claim to mean “the area within a VCSEL stack,” (see applicant’s fig. 4a 407, + specification 0042, 0044) while the accepted meaning is “the area between VCSEL stacks.” (see annotated applicant’s fig. 4a below) The term is indefinite because the specification does not clearly redefine the term. Examiner interprets “trench area” to mean the area between the VCSEL stacks, consistent with the accepted meaning.
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Annotated fig. 4a
Claim Rejections - 35 USC § 102
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 the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim(s) 1, 10-12 is/are rejected under 35 U.S.C. 102a1/2 as being anticipated by Tabata (US-20210313777-A1).
Regarding claim 1, Tabata discloses an optoelectronic device (fig. 10, 0046) comprising: an epitaxial stack comprising a set of epitaxial layers (fig. 10 “epitaxial stack” = all components from cathode Tc to anode Ta, 0147-0156); an array of laser emitters formed in the set of epitaxial layers (figs. 9 + 10 laser emitters 2a, 0141, 0147); and a thermal sensor coupled to the epitaxial stack at a location adjacent to a laser emitter of the array of laser emitters (fig. 9 thermal sensor top left 10a coupled to epitaxial stack via fig. 10 common substrate B, top left 10a adjacent to laser emitter top left 2a (row 1 col. 1), 0141).
Regarding claim 10, Tabata discloses the optoelectronic device of claim 1, further comprising at least a second thermal sensor coupled to the epitaxial stack at a second location adjacent to a second laser emitter of the array of laser emitters (fig. 9 second thermal sensor top right 10a coupled to epitaxial stack via fig. 10 substrate B, top right 10a adjacent to laser emitter top right 2a (row 1 col. 3)).
Regarding claim 11, Tabata discloses the optoelectronic device of claim 1, wherein the laser emitter is a vertical cavity surface emitting laser (VCSEL) diode (fig. 9+10 2a is VCSEL, 0071).
Regarding claim 12, Tabata discloses an optoelectronic device (fig. 10, 0046) comprising: an epitaxial stack comprising a set of epitaxial layers (fig. 10 “epitaxial stack” = all components from cathode Tc to anode Ta, 0147-0156); an array of laser emitters formed in the set of epitaxial layers (figs. 9 + 10 laser emitters 2a, 0141, 0147), the array of laser emitters having a peripheral region including a first set of laser emitters and a central region including a second set of laser emitters (annotated fig. 9 laser emitters 2a include first set 2a in peripheral region PR and second set 2a in central region CR), a first thermal sensor coupled to the epitaxial stack at a first location adjacent to the first set of laser emitters (annotated fig. 9 first thermal sensor top left 10a at first location and coupled to epitaxial stack via fig. 10 common substrate B, top left 10a adjacent to laser emitter top left 2a (row 1 col. 1), 0141); a second thermal sensor coupled to the epitaxial stack at a second location adjacent to the second set of laser emitters (fig. 9 second thermal sensor top right 10a at second location and coupled to epitaxial stack via fig. 10 substrate B, top right 10a adjacent to laser emitter top center 2a (row 1 col. 2)); and a controller configured to receive a first output of the first thermal sensor and a second output of the second thermal sensor (fig. 3 controller 31 receives outputs of all 10a sensors, 0180-0185) and determine a junction temperature at a junction between an active region and an inactive region in at least one of the laser emitters in each of the first set and the second set (fig. 3 31 determines “junction temperature” in all laser emitters in both sets, see italics).
No figure in the instant application shows a thermal sensor taking direct measurements of the temperature within junction 420/520 or being located within 420/520. Therefore, “junction temperature” is interpreted to mean a temperature taken merely in the vicinity of an analogous emitter junction. Thermal sensors in Tabata perform this function.
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Annotated fig. 9
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) 2 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Gerlach (US-8467428-B2).
Regarding claim 2, Tabata discloses the optoelectronic device of claim 1, further comprising: a p-n diode structure having a cathode section located at a bottom surface of the epitaxial stack and an anode section located adjacent to a top surface of the epitaxial stack (fig. 10 p-n diode structure with cathode Tc at bottom of stack and anode Ta at top of stack, 0147-0156).
Tabata does not disclose wherein the thermal sensor is mounted between a layer of the epitaxial stack and the anode section.
Gerlach discloses a VCSEL with an integrated sensor that is mounted between a layer of an epitaxial stack and its associated anode (fig. 1 VCSEL has integrated photodiode sensor 2 mounted between layer of epitaxial stack (cathode) 11 and anode 12, col. 5 lines 1-20, col. 6 lines 40-60).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to mount the thermal sensor between a layer of the epitaxial stack and the anode section in a manner that does not impede proper operation of the device to reduce the number of contacts required for the device (Gerlach col. 5 lines 15-20) and allow for a smaller device footprint (modified fig. A).
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Modified fig. A (one rough example of proposed modification)
Claim(s) 3, 7-8, 13, 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Noguchi (JP-2000022266-A, machine translation "Noguchi_English" cited and included herewith).
Regarding claim 3, Tabata discloses the optoelectronic device of claim 1.
Tabata does not disclose wherein the thermal sensor is mounted in a trench area of the epitaxial stack.
Noguchi discloses a semiconductor light emitting element with a thermal sensor that is located in an equivalent trench area of the emitting element epitaxial stack (fig. 1-2 thermal sensor 9+10+11+12+13 located on bottom semiconductor layer 20 of emitting element in epitaxial stack trench area, lines 166-188).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to mount the thermal sensor in a trench area of the epitaxial stack to place sensor in close proximity to active region of emitter and improve accuracy of sensor measurement and reduce thermal stress between sensor and emitter (Noguchi lines 1-5, lines 186-188).
Regarding claim 7, Tabata discloses the optoelectronic device of claim 1.
Tabata does not disclose wherein the thermal sensor is co-planar with an active layer of each laser emitter of the array of laser emitters.
Noguchi discloses a desire to hold a temperature difference between an element for measuring temperature and an emitting element constant to minimize thermal stress (lines 1-5). Noguchi also identifies non-radiative recombination within an active layer as a source of problematic heat (lines 32-35).
It is well known to optimize values within disclosed ranges to achieve desired results (MPEP 2144.05 I/II).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to place the thermal sensor as close to the source of heat as possible (i.e. at least co-planar to the active layer) to minimize thermal stress between emitting element and thermal sensor and improve accuracy of sensor (Noguchi lines 1-5, 186-188).
Regarding claim 8, Tabata discloses the optoelectronic device of claim 1.
Tabata does not disclose wherein the thermal sensor comprises a resistance temperature detector or a negative temperature coefficient thermistor.
Noguchi discloses a semiconductor light emitting element and thermal sensor that comprises a conductive film whose resistance changes depending on the temperature (figs. 1-2 thermal sensor 9+10+11+12+13 comprises conductive film 13; lines 299-310).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use a thermal sensor comprising a resistance temperature detector because of the increased calculation simplicity + increased stability of a standard metal thin film resistance temperature detector (Noguchi lines 457-463).
Regarding claim 13, Tabata discloses the optoelectronic device of claim 12.
Tabata does not disclose wherein each of the first location and the second location is in a respective trench area of the epitaxial stack.
Noguchi discloses a semiconductor light emitting element with a thermal sensor that is located in an equivalent trench area of the emitting element epitaxial stack (fig. 1-2 thermal sensor 9+10+11+12+13 located on bottom semiconductor layer 20 of emitting element in epitaxial stack trench area, lines 166-188).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to make the first location and second location in a respective trench area of the epitaxial stack to place sensor in close proximity to active region of emitter and improve accuracy of sensor measurement and reduce thermal stress between sensor and emitter (Noguchi lines 1-5, lines 186-188).
Regarding claim 17, Tabata discloses the optoelectronic device of claim 12.
Tabata does not disclose wherein the first thermal sensor and the second thermal sensor are integrally formed with at least one of the laser emitters in each of the first set and the second set during a fabrication process thereof.
Noguchi discloses a light emitting element comprising a thermal sensor integrally formed with a laser emitter (figs. 1+2 thermal sensor 2 (9/13/10) integrally formed (on semiconductor layer 20) with laser emitter 1, lines 161-188).
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 thermal sensor and the second thermal sensor integrally formed with at least one of the laser emitters in each of the first set and the second set during a fabrication process thereof to minimize the temperature difference between the emitter and the thermal sensor + improve accuracy of sensor/device (Noguchi lines 1-5, 10-13, 186-188).
Claim(s) 6 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Gerlach and Maeda (US-20110243174-A).
Regarding claim 6, Tabata discloses the optoelectronic device of claim 1.
Tabata does not disclose wherein the thermal sensor is mounted on a distributed Bragg reflector in the epitaxial stack.
Gerlach discloses a VCSEL with an integrated sensor that is mounted between a layer of an epitaxial stack and its associated anode (fig. 1 VCSEL has integrated photodiode sensor 2 mounted between layer of epitaxial stack/cathode 11 and anode 12, col. 5 lines 1-20, col. 6 lines 40-60).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to mount the thermal sensor between a layer of the epitaxial stack and the anode section in a manner that does not impede proper operation of the device to reduce the number of contacts required for the device (Gerlach col. 5 lines 15-20) and allow for a smaller device footprint (modified fig. A).
This modification would place the thermal sensor on the first multilayer mirror layer fig. 10 elem. 21.
Modified Tabata does not disclose the first multilayer mirror layer being a distributed Bragg reflector.
Maeda discloses a semiconductor light emitting device with a DBR functioning as a multilayer reflective mirror (fig. 3 light emitting device contains DBR 21 as multilayer reflective mirror, 0025).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to make the first multilayer mirror a distributed Bragg reflector to obtain higher reflectivity and tuning precision within the emitters.
This modification would place the thermal sensor on a distributed Bragg reflector.
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Chen (TW-I389356-B, machine translation “Chen1_English” cited and included herewith).
Regarding claim 9, Tabata discloses the optoelectronic device of claim 1.
Tabata does not disclose further comprising: a dielectric layer on at least one epitaxial layer of the set of epitaxial layers; wherein the thermal sensor includes a thermally conductive trace separated from the at least one epitaxial layer by the dielectric layer.
Chen discloses a light emitting diode with a thermal sensor with a thermally conductive trace separated from an at least one epitaxial layer by a dielectric layer on the at least one epitaxial layer (figs. 7+8 light emitting diode 1 with thermal sensor 12+121+122 with thermally conductive trace 121+122 separated from at least one epitaxial layer 143 (active layer) by dielectric layer 13 disposed on 143, lines 282-346).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to add a dielectric layer on at least one epitaxial layer of the set of epitaxial layers; wherein the thermal sensor includes a thermally conductive trace separated from the at least one epitaxial layer by the dielectric layer to help prevent electrical interference between the thermal sensor and the components of the light emitting diode (Chen lines 176-179) and allow for transferal of the thermal sensor output to a less obstructive location.
Claim(s) 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Daubenschuz (NPL Simplified Determination of the Thermal Resistance of Vertical-Cavity Surface-Emitting Lasers).
Regarding claim 15, Tabata discloses the optoelectronic device of claim 12.
Tabata does not disclose wherein the controller is further configured to calibrate a thermal resistance of the at least one of the laser emitters in each of the first set and the second set using the first thermal sensor and the second thermal sensor respectively.
Daubenschuz discloses calibrating a thermal resistance of a VCSEL using detected temperatures (“2. Thermal Resistance”).
Using additional thermal sensors to calibrate thermal resistances of additional VCSELs has no patentable significance (MPEP 2144.04 VI B). No benefits would be realized beyond what is known in the art.
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to calibrate a thermal resistance of the at least one of the laser emitters in each of the first set and the second set using the first thermal sensor and the second thermal sensor respectively to provide accurate information about current flow and heat generation inside the device and help to manage the internal temperature of the device (Daubenschuz “1. Introduction” pg. 1 (21)).
Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata.
Regarding claim 16, Tabata discloses the optoelectronic device of claim 12, wherein: the first set includes two or more laser emitters (annotated fig. 9 first set in PR includes six emitters), and the second set includes two or more laser emitters (annotated fig. 9 second set in CR includes three emitters); and the controller is further configured to receive outputs from each thermal sensor and determine an average temperature detected by each thermal sensor (fig. 3 + 9 controller 31 can use average temperature from thermal sensors 10a, 0185).
Tabata does not disclose each laser emitter integrated with a corresponding thermal sensor, wherein the thermal sensors determine an average junction temperature of the first set of laser emitters in the peripheral region.
Tabata discloses increasing the number of temperature sensors in the device (0142-0143).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to increase the number of temperature sensors to provide each laser emitter with a corresponding thermal sensor to detect the temperature of each area on the light emitting surface and of each light emitting element with greater precision (0143).
After modification, sensors can now determine average junction temperature of first set of emitters in peripheral region.
Claim(s) 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Wootton (US-20110241549-A1).
Regarding claim 18, Tabata discloses a method of measuring junction temperature at a junction between an active region and an inactive region of a laser emitter in an optoelectronic device (figs. 9 + 10), the method comprising: forming a thermal sensor adjacent to the junction during fabrication of the laser emitter (fig. 9 thermal sensor top left 10a adjacent to junction of laser emitter top left 2a (row 1 col. 1), 0141, 0147), the thermal sensor coupled to an epitaxial stack of the optoelectronic device (fig. 9 top left 10a coupled to epitaxial stack via fig. 10 common substrate B); switching on the laser emitter (figs. 9, 13, 14, 16 top left 2a switched on, 0174-0179, 0193-0198); and taking an in-situ measurement of a biased junction temperature of the laser emitter using the thermal sensor (fig. 16 thermal sensors measuring temperature of biased emitter during operation, 0193-0198).
Tabata does not disclose calibrating a thermal resistance of the laser emitter; and determining the junction temperature by comparing the measured biased junction temperature against the calibrated thermal resistance of the laser emitter.
Wootton discloses a system of light generation and method of monitoring temperature that involves using a thermal resistance model to estimate junction temperature of an emitter based on measured temperature differences (0184-0186).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to calibrate a thermal resistance of the laser emitter; and determine the junction temperature by comparing the measured biased junction temperature against the calibrated thermal resistance of the laser emitter to provide the means for thermal regulation and improve emitter control (Wootton 0184-0185).
Claim(s) 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Tabata in view of Wootton and Noguchi.
Regarding claim 20, modified Tabata discloses the method of claim 18.
Modified Tabata does not disclose wherein the thermal sensor comprises a resistance temperature detector or a negative temperature coefficient thermistor.
Noguchi discloses a semiconductor light emitting element and thermal sensor that comprises a conductive film whose resistance changes depending on the temperature (figs. 1-2 thermal sensor 9+10+11+12+13 comprises conductive film 13; lines 299-310).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use a thermal sensor comprising a resistance temperature detector because of the increased calculation simplicity + increased stability of a standard metal thin film resistance temperature detector (Noguchi lines 457-463).
Allowable Subject Matter
Claim 19 objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
The following is a statement of reasons for the indication of allowable subject matter:
Claim 19 – Prior art of record does not disclose the means of calibrating laser emitter thermal resistance described in claim 19
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Alex Ehrlich whose telephone number is (703)756-5716. The examiner can normally be reached M-F 8-5.
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/A.E./Examiner, Art Unit 2828
/MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828