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
The Examiner acknowledges the amending of claim 1.
Response to Arguments
Applicant's arguments filed 01/15/2026 have been fully considered but they are not persuasive.
The Applicant has argued (see Remarks, pg.6) that Sugiyama does not teach the newly amended claim language.
The Examiner does not agree. As noted in the annotated figure below, Sugiyama shows a second region of the second metal layer can be identified between an exposed first region of the first metal layer and one end surface side, and the insulating film reaches the second region and is in contact with the second region. It is further noted that “a thickness direction” has not been defined in the claim, leaving the direction able to be defined by the Examiner.
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Claim Rejections - 35 USC § 112
The following is a quotation of the first paragraph of 35 U.S.C. 112(a):
(a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention.
The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112:
The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention.
Claim 1 and all claims dependent therefrom (2-13) are rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention.
Claim 1 has been amended to recite “the second region is located between the first region and the one end surface when viewed in a thickness direction of the semiconductor substrate”. [0009] of the original disclosure defines the thickness direction of the semiconductor substrate as the Z-axis. #53a and #55a are described as the exposed first region in the two embodiments, with #51a and #56a as the second region. #3b is described as the one end surface. #7 is the insulating film. The originally filed specification does not clearly show or describe “the second region is located between the first region and the one end surface when viewed in a thickness direction of the semiconductor substrate” as the second region (#51a or #56a) is not found along the Z-axis between the exposed region (#53a or #55a) and the one end surface (#3b).
Therefore, it is not clear that the Applicant was in possession of the claimed invention at the time of filing.
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) 1-6 and 9-13 is/are rejected under 35 U.S.C. 102a1/2 as being anticipated by Sugiyama et al. (WO2021-200670; US 2023/0142086 used as a translation thereof for citations).
With respect to claim 1, Sugiyama discloses a quantum cascade laser element (fig.1-2) comprising: a semiconductor substrate (fig.2 #2); a semiconductor laminate (fig.2 #3) formed on the semiconductor substrate, including an active layer (fig.2 #31) having a quantum cascade structure ([0030]), and having a first end surface (fig.2 #3a) and a second end surface (fig.2 #3b) facing each other in an optical waveguide direction (fig.2 left/right); a first electrode (fig.2 #51+52) formed on a surface on an opposite side of the semiconductor laminate from the semiconductor substrate; a second electrode (fig.2 #6) formed on a surface on an opposite side of the semiconductor substrate from the semiconductor laminate; and an insulating film (fig.2 #7) formed on at least one end surface (fig.2 #3b) of the first end surface and the second end surface, wherein the first electrode includes a first metal layer made of a first metal (fig.2 #52), and a second metal layer (fig.2 #51, at least Ti portion) made of a second metal having a higher ionization tendency than an ionization tendency of the first metal ([0036], M1=#52=Au, M2=#51=Ti/Au, where Ti has a higher ionization tendency than Au), the first metal layer has a first region exposed to an outside (fig.2 top of #52 which is uncoated on left; R1 in annotated figure below), the second metal layer has a second region located on one end surface side (fig.2 right side) with respect to the first region (fig.2 rightmost side of #51; R2 in annotated figure below), the second region is located between the first region and the one end surface when viewed in a thickness direction of the semiconductor substrate (see annotated figure below), and the insulating film reaches the second region from the one end surface and is in contact with the second region (fig.2 insulating film #7 contacts rightmost side of #51, see annotated figure below).
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With respect to claim 2, Sugiyama discloses the first metal layer is disposed on the second metal layer (fig.2 #52 on #51), and an edge portion on the one end surface side of the second metal layer is located on the one end surface side with respect to the first region (rightmost sides of #51 and #52 align near #3b).
With respect to claim 3, Sugiyama discloses the insulating film reaches a region of a side surface of the first metal layer, the region being in a relationship of intersection with the second region (fig.2 #7 reaches right side of #52 and #51).
With respect to claim 4, Sugiyama discloses the second metal layer is disposed on the first metal layer (fig.2 #51 is “on” #52 as it is in direct contact with it and thereby in close proximity with it), and is located on the one end surface side with respect to the first region (fig.2 right sides of #51 and #52 align).
With respect to claim 5, Sugiyama discloses the insulating film reaches the first metal layer via a region of a side surface of the second metal layer (as seen on right sides), the region being in a relationship of intersection with the first region (as seen on right sides).
With respect to claim 6, Sugiyama discloses a metal film formed on the insulating film to overlap at least a part of the active layer when viewed in the optical waveguide direction (fig.2 #8, [0029], overlaps #31).
With respect to claim 9, Sugiyama discloses the first metal is Au, and the second metal is Ti or Cr ([0036]).
With respect to claim 10, Sugiyama discloses the insulating film is an A1203 film or a CeO2 film ([0041]).
With respect to claim 11, Sugiyama discloses a quantum cascade laser device comprising: the quantum cascade laser element according to claim 1; and a drive unit configured to drive the quantum cascade laser element (fig.6 #13).
With respect to claim 12, Sugiyama discloses a support portion (fig.6 #111) supporting the quantum cascade laser element; and a joining member (fig.6 #12) joining an electrode pad (fig.6 #112) included in the support portion, and the first electrode (fig.6 #52) in a state where the semiconductor laminate is located on a support portion side with respect to the semiconductor substrate (fig.6).
With respect to claim 13, Sugiyama discloses the drive unit drives the quantum cascade laser element such that the quantum cascade laser element continuously oscillates laser light ([0017]).
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.
Claim(s) 7-8 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sugiyama in view of Sugiyama et al. (US 9276381, hereafter ‘381).
With respect to claims 7-8, Sugiyama teaches the device outlined above, including the semiconductor laminate includes a ridge portion (fig.1 #30), but does not teach a width of the metal film in the optical waveguide direction on the ridge portion is smaller than a width of the metal film in the optical waveguide direction on portions of both sides of the ridge portion OR (claim 8-) the width of the metal film in the optical waveguide direction on the ridge portion is 0. ‘381 teaches a related quantum cascade laser (fig.1, abstract) which includes an optical coating (fig.1 #30) which wraps onto the top of the device from the facet side (fig.1) to cover a portion of the ridge (fig.1 #34) and sides of the ridge (fig.1 #33), and further that the extent of the coating on the ridge (fig.1 #34) and/or on either side of the ridge (fig.1 #33s) are optional (col.15 line 1-12; i.e. they can be present or not present). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to adapt the extent of the metal optical coating of Sugiyama such that the extent on the ridge portion is 0, and therefore less width in the waveguide direction than on both sides of the ridge, as ‘381 has demonstrated that use of the wrapped coatings (onto the top surface) are useful for suppressing peeling (col.8 lines 22-34) but that it is not required to use either or both of #33/34, such that wrapping only on the sides of the ridge, but not the top, of Sugiyama would be an obvious optimization of the teachings of ‘381 allowing for selection of a desired amount of peeling prevention means to make use of (see MPEP 2144.05 II A/B) as ‘381 has recognized the extent of #33/34 as result effective variables.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
US 2020/0112143 is noted as teaching the majority of the claims as seen in figure 5a, again noting that “on” can mean “in contact” or “close proximity to”.
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 TOD THOMAS VAN ROY whose telephone number is (571)272-8447. The examiner can normally be reached M-F: 8AM-430PM.
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/TOD T VAN ROY/Primary Examiner, Art Unit 2828