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 .
Claim Objections
Claim 1 is objected to because of the following informalities: the claimed limitation “a semiconductor photodiode formed a substrate” in line 2 of claim 1 should be changed to “a semiconductor photodiode formed on a substrate”. 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.
Claims 1-4, 6, 17, 18 are rejected under 35 U.S.C. 103 as being unpatentable over Johnson et al. (US PG Pub 2019/0221997) in view of Gaw et al. (US 5,574,744) and Berk et al. (US PG Pub 2021/0184432).
Regarding claim 1, Johnson et al. disclose: a self-mixing interferometry (SMI) sensor (an alternative use of the VCSEL plus photodiode monitor can be for self-mix applications, where the signal emitted by the VCSEL is reflected from a target and re-enters the VCSEL causing the output to modulate. The output modulation may then be monitored with the photodiode. Motion or vibrations can be detected with high resolution) ([0067]), comprising: a semiconductor photodiode (1010) (Fig. 10A, [0054]); and a vertical-cavity surface-emitting laser (VCSEL) diode (VCSEL device 1000 with a top mirror 1002, active region 1004, bottom mirror 1006, and a substrate 1008, which may be a transparent substrate) vertically stacked on the semiconductor photodiode (1010) (Fig. 10A, [0054]); wherein: the VCSEL diode includes a resonance cavity (cavity between top mirror 1002 and bottom mirror 1006); the VCSEL diode is configured to generate light within the resonance cavity (Fig. 10A, [0054]), emit light toward an emission surface of the SMI sensor, self-mix the generated light with a reflection of the emitted light received into the resonance cavity, and emit light toward the semiconductor photodiode; and the semiconductor photodiode is configured to produce a measurable electrical parameter related to the self-mixing (an alternative use of the VCSEL plus photodiode monitor can be for self-mix applications, where the signal emitted by the VCSEL is reflected from a target and re-enters the VCSEL causing the output to modulate. The output modulation may then be monitored with the photodiode. Motion or vibrations can be detected with high resolution) ([0067]).
Johnson et al. do not disclose: a semiconductor photodiode formed on a substrate; containing a set of vertically stacked active regions, with adjacent active regions separated by a respective tunnel junction.
Gaw et al. disclose: a semiconductor photodiode formed on a substrate (140) (Fig. 1, col. 1, line 55 to col. 2, line 13). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson by forming photodiode (1010) on a substrate in order to structurally support the photodiode and the VCSEL.
Johnson as modfiied do not disclose: containing a set of vertically stacked active regions, with adjacent active regions separated by a respective tunnel junction.
Berk et al. disclose: a set of vertically stacked active regions (165A to 165N), with adjacent active regions separated by a respective tunnel junction (145A to 145N) (Fig. 1, [0035], [0036]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a set of vertically stacked active regions with adjacent active regions separated by respective tunnel junctions in order to increase the gain of the device.
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Fig. 10A of Johnson
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Fig. 1 of Gaw
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Fig. 1A of Berk
Regarding claim 2, Johnson as modified disclose: wherein the set of vertically stacked active regions include barrier layers alternating with quantum well layers (each active region 140 may comprise six un-doped, compressively strained, indium aluminum gallium arsenide (InAlGaAs) quantum wells and seven tensile strained InAlGaAs barriers) (Berk, [0046]).
Regarding claim 3, Johnson as modified disclose: wherein a tunnel junction separating a first active region and a second active region of the set of vertically stacked active regions includes a heavily doped p-type semiconductor layer and a heavily doped n-type semiconductor layer (each tunnel junction 145 comprises a heavily doped p++/n++ indium aluminum gallium arsenide tunnel junction) (Berk, [0045]).
Regarding claim 4, Johnson as modified do not disclose: the heavily doped p-type semiconductor layer of the tunnel junction has a first doping concentration at least 1018/cm3; and the heavily doped n-type semiconductor layer of the tunnel junction has a second doping concentration at least 1018/cm3.
However, In accordance with MPEP 2144.05 II, Optimization of Ranges: Where the general conditions of a claim are disclosed in the prior art, it is not inventive to discover the optimum or workable ranges by routine experimentation. In the prior art the general conditions are disclosed, a VCSEL comprising a tunnel junction including a heavily doped p-type semiconductor and a heavily doped n-type semiconductor. Therefore, it would have been obvious to one of ordinary skill in the art at the time of the invention to obtain a workable range of values for doping level of each semiconductor by routine experimentation.
Regarding claim 6, Johnson as modified disclose: wherein the VCSEL diode includes an additional oxide layer (160) between at least one adjacent pair of active regions (Berk, [0037]).
Regarding claim 17, Johnson et al. disclose: an electronic sensing device, including: a photodiode (1010) (Fig. 10A, [0054]); and a vertical-cavity surface-emitting laser (VCSEL) diode (VCSEL device 1000 with a top mirror 1002, active region 1004, bottom mirror 1006, and a substrate 1008, which may be a transparent substrate) (Fig. 10A, [0054]); vertically adjacent to the photodiode at a common interface surface (interface between VCSEL and photodiode 1010) (Fig. 10A, [0054]); wherein: the VCSEL diode include a resonance cavity, the resonance cavity containing an active region (cavity between top mirror 1002 and bottom mirror 1006, including active region 1004); the VCSEL diode is configured to generate light within the resonance cavity, emit light toward an emission surface of the electronic sensing device; self-mix the generated light with a reflection of the emitted light, and emit light toward the photodiode; and the photodiode are configured to produce a respective measurable electrical parameter related to the self-mixing (an alternative use of the VCSEL plus photodiode monitor can be for self-mix applications, where the signal emitted by the VCSEL is reflected from a target and re-enters the VCSEL causing the output to modulate. The output modulation may then be monitored with the photodiode. Motion or vibrations can be detected with high resolution) ([0067]).
Johnson et al. do not disclose: an array of photodiodes formed on a substrate; and an array of vertical-cavity surface-emitting laser (VCSEL) diodes; the resonance cavity containing a set of vertically stacked active regions, with adjacent active regions separated by a respective tunnel junction.
Gaw et al. disclose: a semiconductor photodiode formed on a substrate (140) (Fig. 1, col. 1, line 55 to col. 2, line 13). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson by forming photodiode (1010) on a substrate in order to structurally support the photodiode and the VCSEL.
Johnson as modified do not disclose: an array of photodiodes; and an array of vertical-cavity surface-emitting laser (VCSEL) diodes; the resonance cavity containing a set of vertically stacked active regions, with adjacent active regions separated by a respective tunnel junction.
Berk et al. disclose: a set of vertically stacked active regions (165A to 165N), with adjacent active regions separated by a respective tunnel junction (145A to 145N) (Fig. 1, [0035], [0036]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a set of vertically stacked active regions with adjacent active regions separated by respective tunnel junctions in order to increase the gain of the device.
Johnson as modified do not disclose: an array of photodiodes; and an array of vertical-cavity surface-emitting laser (VCSEL) diodes;
Gaw et al. disclose: an array of photodiodes; and an array of vertical-cavity surface-emitting laser (VCSEL) diodes (col. 2, lines 14-27). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming an array of VCSELs and photodiodes in order to obtain a plurality of measurable electrical parameters from the photodiodes.
Regarding claim 18, Johnson as modified disclose: wherein the vertically stacked active regions each include multiple barrier layers alternating with quantum well layers (each active region 140 may comprise six un-doped, compressively strained, indium aluminum gallium arsenide (InAlGaAs) quantum wells and seven tensile strained InAlGaAs barriers) (Berk, [0046]).
Claims 5, 7, 8 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Johnson et al. (US PG Pub 2019/0221997) in view of Gaw et al. (US 5,574,744), Berk et al. (US PG Pub 2021/0184432) and Samal et al. (US PG Pub 2007/0242716).
Regarding claim 5, Johnson as modified do not disclose: wherein the VCSEL diode includes: a first oxide layer interposed between the resonance cavity and the emission surface, and a second oxide layer interposed between the resonance cavity and the semiconductor photodiode, the first oxide layer having a first aperture and the second oxide layer having a second aperture.
Samal et al. disclose: In a VCSEL construction 20, at least two oxide apertures 22 and 24 with different sizes are located on each side of an active region 26 (Fig. 1, [0043]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming oxide apertures above and below the active layer in order to reduce current spreading in the active layer. The device as modified disclose: a first oxide layer (oxide aperture above the active layer) interposed between the resonance cavity and the emission surface, and a second oxide layer (oxide aperture below the active layer) interposed between the resonance cavity and the semiconductor photodiode.
Regarding claim 7, Johnson as modified disclose: further comprising a diffraction grating within the first aperture of the first oxide layer (oxide aperture formed within the grating/DBR region, grating/DBR is within the first aperture) (see also Fig. 6 of Samal) (Samal, Figs. 1 and 6, [0043]).
Regarding claim 8, Johnson as modified disclose: wherein the diffraction grating causes the emitted light of the VCSEL diode to have a predominant transverse mode electric field (the examiner is interpreting predominant transverse mode electric field as single fundamental transverse mode, Samal discloses current confinement and spreading in the cavity is controlled by the size and position of the oxide apertures. The current distribution strongly favors single mode operation if the size and distance of the apertures from the active region are optimally chosen) (Samal, Figs. 1, [0043]).
Regarding claim 19, Johnson as modified do not disclose: a first oxide layer formed between the resonance cavity and the emission surface of the electronic sensing device and including a first aperture; and a second oxide layer formed between the resonance cavity and including a second aperture.
Samal et al. disclose: In a VCSEL construction 20, at least two oxide apertures 22 and 24 with different sizes are located on each side of an active region 26 (Fig. 1, [0043]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming oxide apertures above and below the active layer in order to reduce current spreading in the active layer. The device as modified disclose: a first oxide layer (oxide aperture above the active layer) formed between the resonance cavity and the emission surface of the electronic sensing device, and a second oxide layer (oxide aperture below the active layer) formed between the resonance cavity and including a second aperture.
Claims 9, 11, 12, 14, 15, 16 and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Johnson et al. (US PG Pub 2019/0221997) in view of Gaw et al. (US 5,574,744), Berk et al. (US PG Pub 2021/0184432) and Islam et al. (US PG Pub 2006/0164636).
Regarding claim 9, Johnson as modified do not disclose: wherein the semiconductor photodiode is a resonance cavity photodiode (RCPD), wherein the RCPD includes multiple quantum wells.
Islam et al. disclose: RCE photodiodes 210 include a resonant cavity formed between a top reflector 222 and a bottom reflector 212. The resonant cavity includes an active region 226, which may include multiple quantum wells ([0037]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a resonance cavity photodiode on a substrate in order to trap more photons using the resonant cavity.
Regarding claim 11, Johnson et al. disclose: a self-mixing interferometry (SMI) sensor (an alternative use of the VCSEL plus photodiode monitor can be for self-mix applications, where the signal emitted by the VCSEL is reflected from a target and re-enters the VCSEL causing the output to modulate. The output modulation may then be monitored with the photodiode. Motion or vibrations can be detected with high resolution) ([0067]), comprising: a photodiode (1010) (Fig. 10A, [0054]); and a vertical-cavity surface-emitting laser (VCSEL) diode vertically stacked on the photodiode (1010) (VCSEL device 1000 with a top mirror 1002, active region 1004, bottom mirror 1006, and a substrate 1008, which may be a transparent substrate) (Fig. 10A, [0054]); wherein: the VCSEL diode includes a resonance cavity containing an active region; the VCSEL diode is configured to generate light within the resonance cavity, emit light toward an emission surface of the SMI sensor (Fig. 10A, [0054]), self-mix the generated light with a reflection of the emitted light received into the resonance cavity, and emit light toward the photodiode; and the photodiode is configured to produce a measurable electrical parameter related to the self-mixing (an alternative use of the VCSEL plus photodiode monitor can be for self-mix applications, where the signal emitted by the VCSEL is reflected from a target and re-enters the VCSEL causing the output to modulate. The output modulation may then be monitored with the photodiode. Motion or vibrations can be detected with high resolution) ([0067]).
Johnson et al. do not disclose: a multiple quantum well (MQW) photodiode formed on a substrate; the VCSEL diode includes a resonance cavity containing a set of vertically stacked active regions, with adjacent active regions separated by a respective tunnel junction.
Gaw et al. disclose: a semiconductor photodiode formed on a substrate (140) (Fig. 1, col. 1, line 55 to col. 2, line 13). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson by forming photodiode (1010) on a substrate in order to structurally support the photodiode and the VCSEL.
Johnson as modified do not disclose: a multiple quantum well (MQW) photodiode; the VCSEL diode includes a resonance cavity containing a set of vertically stacked active regions, with adjacent active regions separated by a respective tunnel junction.
Berk et al. disclose: a set of vertically stacked active regions (165A to 165N), with adjacent active regions separated by a respective tunnel junction (145A to 145N) (Fig. 1, [0035], [0036]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a set of vertically stacked active regions with adjacent active regions separated by respective tunnel junctions in order to increase the gain of the device.
Johnson as modified do not disclose: a multiple quantum well (MQW) photodiode.
Islam et al. disclose: RCE photodiodes 210 include a resonant cavity formed between a top reflector 222 and a bottom reflector 212. The resonant cavity includes an active region 226, which may include multiple quantum wells ([0037]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a resonance cavity photodiode on a substrate in order to trap more photons using the resonant cavity.
Regarding claim 12, Johnson as modified disclose: the VCSEL diode includes: an emission side distributed Bragg reflector (top mirror 1002) proximate to the emission surface of the SMI sensor; and a base side distributed Bragg reflector (bottom mirror 1006) interposed between the resonance cavity of the VCSEL diode and the MQW photodiode (Johnson, Fig. 10A, [0054]).
Regarding claim 14, Johnson as modified disclose: wherein a tunnel junction separating a first active region and a second active region of the set of vertically stacked active regions includes: a heavily doped p-type semiconductor layer; and a heavily doped n-type semiconductor layer (each tunnel junction 145 comprises a heavily doped p++/n++ indium aluminum gallium arsenide tunnel junction) (Berk, [0045]).
Johnson as modified do not disclose: wherein a doping concentration of the p-type semiconductor layer and a doping concentration of the n-type semiconductor layer are at least 1018/cm3.
However, In accordance with MPEP 2144.05 II, Optimization of Ranges: Where the general conditions of a claim are disclosed in the prior art, it is not inventive to discover the optimum or workable ranges by routine experimentation. In the prior art the general conditions are disclosed, a VCSEL comprising a tunnel junction including a heavily doped p-type semiconductor and a heavily doped n-type semiconductor. Therefore, it would have been obvious to one of ordinary skill in the art at the time of the invention to obtain a workable range of values for doping level of each semiconductor by routine experimentation.
Regarding claim 15, Johnson as modified do not disclose: wherein quantum wells of the MQW photodiode are formed from Indium Gallium Arsenide.
However, In accordance with MPEP 2144.07, Art Recognized Suitability for an Intended Purpose: The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945), see also In re Leshin, 227 F.2d 197, 125 USPQ 416 (CCPA 1960). Therefore, it would have been obvious to one of ordinary skill in the art at the time of the invention to use known materials such as InGaAs for the wells of the MQW photodiode based on its suitability for the device.
Regarding claim 16, Johnson as modified disclose: wherein the vertically stacked active regions each include multiple barrier layers alternating with quantum well layers (each active region 140 may comprise six un-doped, compressively strained, indium aluminum gallium arsenide (InAlGaAs) quantum wells and seven tensile strained InAlGaAs barriers) (Berk, [0046]).
Regarding claim 20, Johnson as modified do not disclose: wherein at least one photodiode of the array of photodiodes includes multiple quantum wells.
Islam et al. disclose: RCE photodiodes 210 include a resonant cavity formed between a top reflector 222 and a bottom reflector 212. The resonant cavity includes an active region 226, which may include multiple quantum wells ([0037]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a resonance cavity photodiode on a substrate in order to trap more photons using the resonant cavity.
Claim 10 is rejected under 35 U.S.C. 103 as being unpatentable over Johnson et al. (US PG Pub 2019/0221997) in view of Gaw et al. (US 5,574,744), Berk et al. (US PG Pub 2021/0184432) and Youngner et al. (US PG Pub 2011/0187465).
Regarding claim 10, Johnson as modified do not disclose: the substrate is a first substrate; the VCSEL diode is formed on a second substrate; the first substrate is stacked on the second substrate so that the light emitted by the VCSEL diode toward the emission surface of the SMI sensor is directed toward the semiconductor photodiode.
Youngner et al. disclose: photodiode (140) is formed above the VCSEL device (110) ([0035]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by stacking the photodiode above the VCSEL because one of ordinary skill in the art would have been capable of applying this known technique to a known device (method, or product) that was ready for improvement and the results would have been predictable to one of ordinary skill in the art. In the instant case, the predictable result is a photodiode used to monitor self-mixed light.
Claim 13 is rejected under 35 U.S.C. 103 as being unpatentable over Johnson et al. (US PG Pub 2019/0221997) in view of Gaw et al. (US 5,574,744), Berk et al. (US PG Pub 2021/0184432), Islam et al. (US PG Pub 2006/0164636), Samal et al. (US PG Pub 2007/0242716) and Qiao et al. (US PG Pub 2021/0167580).
Regarding claim 13, Johnson as modified do not disclose: an oxide layer between the emission side distributed Bragg reflector and the resonance cavity; and a diffraction grating positioned between the emission side distributed Bragg reflector and the emission surface of the SMI sensor; wherein the diffraction grating causes the emitted light of the VCSEL diode to have a predominant transverse mode electric field.
Samal et al. disclose: In a VCSEL construction 20, at least two oxide apertures 22 and 24 with different sizes are located on each side of an active region 26 (Fig. 1, [0043]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming oxide apertures above and below the active layer in order to reduce current spreading in the active layer.
Johnson as modified do not disclose: a diffraction grating positioned between the emission side distributed Bragg reflector and the emission surface of the SMI sensor; wherein the diffraction grating causes the emitted light of the VCSEL diode to have a predominant transverse mode electric field.
Qiao et al. disclose: a high contrast grating 34 is integrated over the top side surface 32 of said VCSEL as a top side high contrast grating which is configured as an optically active structure for modifying emissions of one VCSEL [0040]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the device of Johnson as modified by forming a high contrast grating over the top surface of the VCSEL in order to control the far field pattern of the VCSEL.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Manderscheid (US PG Pub 2005/0201665) discloses: the monolithically integrated optic triplexer includes: (1) an emitting laser that is capable of transmitting a 1310+/-10 nm optical signal; (2) a first photodiode that is capable of receiving a 1490+/-5 nm optical signal; and (3) a second photodiode that is capable of receiving a 1550+/-5 nm optical signal (Abstract). Wang et al. (US PG Pub 2015/0311673) disclose: a new VCSEL design is presented to achieve high output power and high brightness with a strong selection of a linear polarization state in high speed pulsing operation. Higher output power is achieved by including multiple gain segments in tandem, in the gain region. To achieve single mode operation with high output power, an extended cavity three reflector design is presented. High degree of polarization selectivity is achieved by a linear grating deployed with the third reflector, such that lasing is allowed only in a preferred linear polarization state. A polarization selective reflector including a linear grating is designed to impart strong polarization selectivity for a preferred linear polarization state. The polarization selective reflector used as the third reflector in an extended cavity VCSEL device, exhibits strong polarization selection for a preferred linear polarization state during high speed pulsing including in the gain switching resonance regime (Abstract).
Any inquiry concerning this communication or earlier communications from the examiner should be directed to XINNING(TOM) NIU whose telephone number is (571)270-1437. The examiner can normally be reached M-F: 9:30am-6:00pm.
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/XINNING(Tom) NIU/Primary Examiner, Art Unit 2828