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 .
Election/Restrictions
Claims 11-14 are withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected species, there being no allowable generic or linking claim. Election was made without traverse in the reply filed on November 28, 2025.
Applicant’s election without traverse of Group I, claims 1-10 and 16 in the reply filed on November 28, 2025 is acknowledged.
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 1-6 and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Kamikawa et al. (WO 2018/204916) in view of Buchmann et al. (EP 0474952).
Regarding claim 1, Kamikawa et al. disclose: a method of producing a plurality of semiconductor lasers comprising: a) providing a substrate (1001) comprising a semiconductor layer sequence (119 in Figs. 14(a) and 14(b)) and comprising a plurality of device regions (each ridge 1301 that is bound by two mirror regions 1302 is a device) (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19), each device region having at least one resonator region (between mirrors regions 1302) and being bounded perpendicular to the resonator region by singulation lines (1303) in a transverse direction and parallel to the resonator region by singulation lines (white space between layers 119 in Fig. 14(b)) in a longitudinal direction (Fig. 14(b) shows substrate 1001 scribed in longitudinal direction) (Figs. 13(b) and 14(b), pages 18-19); b) forming recesses (etched mirror region 1302) overlapping with the singulation lines (1303) in the transverse direction (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19); And d) singulating the substrate along the singulation lines in the transverse direction and in the longitudinal direction (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19).
Kamikawa et al. do not disclose: forming recess by a dry chemical etching process; c) wet chemical etching of the side surfaces of the recesses to form resonator surfaces.
Buchmann et al. disclose: forming recess by a dry chemical etching process (laser mirrors formed by dry etching) (col. 6, lines 19-50); c) wet chemical etching of the side surfaces of the recesses to form resonator surfaces (wet-etching the surfaces of said etched mirror facets to substantially remove any native oxide as well as any surface layer which may have been mechanically damaged during the preceding mirror etch process) (col. 6, lines 19-50 and claim 1). 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 Kamikawa by forming the recesses (mirrors) by dry chemical etching and then wet chemical etching in order to improve device reliability.
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Figs. 13(a) and 13(b) of Kamikawa
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Figs. 14(a) and 14(b) of Kamikawa
Regarding claim 2, Kamikawa as modified disclose: wherein at least in the region of the resonator regions in step c) a crystal plane extending perpendicular to the resonator region is exposed (GaN-based substrate 101 that is sliced on a {0001}, {1-100}, {11-20}, {20- 21}, {20-2-1}, {11-22} plane, or other plane, from a bulk GaN crystal can be used) (Kamikawa, page 8).
Regarding claim 3, Kamikawa as modified disclose: wherein the semiconductor layer sequence is based on a nitride compound semiconductor material, and in step c) a (1-100) plane of the semiconductor layer sequence is exposed (GaN-based substrate 101 that is sliced on a {0001}, {1-100}, {11-20}, {20- 21}, {20-2-1}, {11-22} plane, or other plane, from a bulk GaN crystal can be used) (Kamikawa, page 8).
Regarding claim 4, Kamikawa as modified disclose: wherein the recesses in step b) are formed such that they are spaced apart from the singulation lines in the longitudinal direction (Fig. 14(b) of Kamikawa shows the recesses 1302 are spaced apart from the vertical singulation lines (white space between layers 119 in Fig. 14(b)).
Regarding claim 5, Kamikawa as modified disclose: wherein the recesses have a polygonal basic shape (rectangle) (see the rejection of claim 1).
Regarding claim 6, Kamikawa as modified do not disclose: wherein at least two side surfaces of the polygonal base shape include an angle between 100° and 140° inclusive.
However, In accordance with MPEP 2144.04 [R-6], Legal Precedent as Source of Supporting Rationale: As discussed in MPEP § 2144, if the facts in a prior legal decision are sufficiently similar to those in an application under examination, the examiner may use the rationale used by the court. Examples directed to various common practices which the court has held normally require only ordinary skill in the art and hence are considered routine expedients are discussed below. If the applicant has demonstrated the criticality of a specific limitation, it would not be appropriate to rely solely on case law as the rationale to support an obviousness rejection.
MPEP 2144.04 [R-6] IV B, Changes in Shape: In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966) (The court held that the configuration of the claimed disposable plastic nursing container was a matter of choice which a person of ordinary skill in the art would have found obvious absent persuasive evidence that the particular configuration of the claimed container was significant.). Therefore, it would have been obvious to one of ordinary skill in the art at the time of the invention to change the shape of the recess since the shape of the recess as claimed is a matter of design choice. Examiner’s note: changing the recess to a hexagon would result in an angle between two sides surfaces of 100° and 140◦ inclusive.
Regarding claim 9, Kamikawa as modified disclose: wherein the recesses between adjacent device regions extend continuously across the singulation lines in the longitudinal direction (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19).
Claims 7 and 16 are rejected under 35 U.S.C. 103 as being unpatentable over Kamikawa et al. (WO 2018/204916) in view of Buchmann et al. (EP 0474952) and Lin et al. (US PG Pub 2019/0148911).
Regarding claim 7, Kamikawa as modified do not disclose: wherein the recesses have a basic shape which is curved at least in places, wherein a radius of curvature of the recesses in the region of the resonator regions is between 10 times and 500 times a width of the resonator region.
Lin et al. disclose: semiconductor laser 300 may include a concave curved facet 304. Concave curved facet 304 may be etched away from semiconductor laser 300 using chemically assisted ion beam etching, for example (Fig. 3A, [0054]). 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 Kamikawa as modified by forming the recesses so that it is curve at least in places in order to form a curved facet to increase coupling efficiency when coupling light to an optical fiber.
Kamikawa as modified do not disclose: wherein a radius of curvature of the recesses in the region of the resonator regions is between 10 times and 500 times a width of the resonator region.
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, recesses that are curved in places with a radius of curvature. 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 the radius of curvature by routine experimentation.
Regarding claim 16, Kamikawa et al. disclose: a method of producing a plurality of semiconductor lasers comprising: a) providing a substrate (1001) comprising a semiconductor layer sequence (119 in Figs. 14(a) and 14(b)) and comprising a plurality of device regions (each ridge 1301 that is bound by two mirror regions 1302 is a device) (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19), each device region having at least one resonator region (between mirrors regions 1302) and being bounded perpendicular to the resonator region by singulation lines (1303) in a transverse direction and parallel to the resonator region by singulation lines (white space between layers 119 in Fig. 14(b)) in a longitudinal direction (Fig. 14(b) shows substrate 1001 scribed in longitudinal direction) (Figs. 13(b) and 14(b), pages 18-19); b) forming recesses (etched mirror region 1302) overlapping with the singulation lines (1303) in the transverse direction (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19); and d) singulating the substrate along the singulation lines in the transverse direction and in the longitudinal direction (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19).
Kamikawa et al. do not disclose: forming recess by a dry chemical etching process, wherein the recesses have a basic shape which is curved at least in places, wherein a radius of curvature of the recesses in the region of the resonator regions is between 10 times and 500 times a width of the resonator region; c) wet chemical etching of the side surfaces of the recesses to form resonator surfaces.
Buchmann et al. disclose: forming recess by a dry chemical etching process (laser mirrors formed by dry etching) (col. 6, lines 19-50); c) wet chemical etching of the side surfaces of the recesses to form resonator surfaces (wet-etching the surfaces of said etched mirror facets to substantially remove any native oxide as well as any surface layer which may have been mechanically damaged during the preceding mirror etch process) (col. 6, lines 19-50 and claim 1). 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 Kamikawa by forming the recesses (mirrors) by dry chemical etching and then wet chemical etching in order to improve device reliability.
Kamikawa as modified do not disclose: wherein the recesses have a basic shape which is curved at least in places, wherein a radius of curvature of the recesses in the region of the resonator regions is between 10 times and 500 times a width of the resonator region.
Lin et al. disclose: semiconductor laser 300 may include a concave curved facet 304. Concave curved facet 304 may be etched away from semiconductor laser 300 using chemically assisted ion beam etching, for example (Fig. 3A, [0054]). 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 Kamikawa as modified by forming the recesses so that it is curve at least in places in order to form a curved facet to increase coupling efficiency when coupling light to an optical fiber.
Kamikawa as modified do not disclose: wherein a radius of curvature of the recesses in the region of the resonator regions is between 10 times and 500 times a width of the resonator region.
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, recesses that are curved in places with a radius of curvature. 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 the radius of curvature by routine experimentation.
Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Kamikawa et al. (WO 2018/204916) in view of Buchmann et al. (EP 0474952) and Ott et al. (US PG Pub 2010/0295438).
Regarding claim 8, Kamikawa as modified do not disclose: wherein recesses adjacent in the transverse direction are connected to one another by a channel.
Ott et al. disclose: recesses 31, 32 are connected to one another by a channel 33 (Fig. 6B, [0115]). 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 Kamikawa as modified by forming a channel between the recesses because one of ordinary skill in the art would have been capable of applying this known method of enhancement to a "base" device (method, or product) in the prior art and the results would have been predictable to one of ordinary skill in the art. In the instant case, the predictable result is a plurality of semiconductor lasers with etched mirror facets.
Claim 10 is rejected under 35 U.S.C. 103 as being unpatentable over Kamikawa et al. (WO 2018/204916) in view of Buchmann et al. (EP 0474952) and Fukuda (US PG Pub 2018/0152001).
Regarding claim 10, Kamikawa as modified disclose: wherein the resonator regions are ridge waveguides (ridge stripe 1301) (Figs. 13(a), 13(b), 14(a), 14(b), pages 18-19).
Kamikawa as modified do not disclose: the ridge waveguides having a widened region along the singulation lines in the transverse direction, and the recesses being formed in the widened region.
Fukuda discloses: wide waveguides 102A and 102B, and tapered waveguides 103A and 103B (Fig. 1, [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 Kamikawa as modified by forming recesses with widened regions at the end portions of the ridge waveguide in order to increase the spot size of the output beam.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Buchmann et al. (US 5,032,219) disclose: a method, and device produced therewith, for improving the planarity of etched mirror facets 18 of integrated optic structures with non-planar stripe waveguides, such as ridge or groove diode lasers or passive devices such as modulators and switches. The curvature of the mirror facet surface at the edges of the waveguide due to topographical, lithographical and etch process effects, causes detrimental phase distortions, and is avoided by widening the waveguide end near the mirror surface thereby shifting the curved facet regions away from the light mode region to surface regions where curvature is not critical (Abstract). Tanisaka (US PG Pub 2009/0275159) discloses: a method for manufacturing a nitride semiconductor laser element having a nitride semiconductor layer including at least an active layer provided on a substrate, a pair of cavity planes formed on the nitride semiconductor layer, and a protruding part where part of the substrate protrudes from said cavity plane, said method comprises: a step of forming the nitride semiconductor layer on the substrate; a first etching step of forming a first groove by etching at least the nitride semiconductor layer; and a second etching step of forming the cavity plane, in the second etching step, the inner wall of the first groove and part of the nitride semiconductor layer surface adjacent to the first groove are etched to form a second groove, and form the upper face of the protruding part (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