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 .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 8/5/26 has been entered.
Response to Amendment
Examiner acknowledges amending of claims 1, 15 and addition of new claims 17-20. Claim 1, 15 objections withdrawn.
Response to Arguments
Applicant’s arguments, see Remarks pgs. 7-9, filed 8/5/26, with respect to the rejection(s) of claim(s) 1, 15 under 35 U.S.C. 103 have been fully considered and are persuasive. Therefore, the rejection has been withdrawn. However, upon further consideration, a new ground(s) of rejection is made in view of Matsubara (JP-2010114384-A).
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 1 (and claims 2-3, 5-7, 9-14, 16-20 via dependency) 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.
Claim 1 recites the limitation "the bottom surfaces” of second holes/first holes in lines 18-20. There is insufficient antecedent basis for this limitation in the claim. Examiner interprets the bottom surfaces to be equivalent to a plurality of “a bottom surface” introduced later in claim 1.
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) 1-2, 5, 10-13, 15-17, 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsubara (JP-2010114384-A, machine translation "Matusbara_English" cited and included herewith) in view of Noda (US-20090135869-A1) and Hoshino (JP-2012015228-A, machine translation “Hoshino_English” cited)
Regarding claim 1, Matsubara discloses a photonic-crystal surface emitting laser (figs. 1-4) comprising: a first semiconductor layer (first semiconductor layer 12, lines 1-14); a photonic crystal layer having a refractive index higher than a refractive index of the first semiconductor layer and provided on the first semiconductor layer (photonic crystal layer 13 made of GaAs (13a, n = 3.6) w/ higher index than 12 (AlGaAs) and 13 provided on 12, lines 335-336); and an active layer provided opposite to the first semiconductor layer with respect to the photonic crystal layer (active layer 15 opposite 12 with respect to 13); wherein the photonic crystal layer has a first region and a plurality of second regions each having a refractive index different from a refractive index of the first region and periodically disposed in the first region in a plane of the photonic crystal layer (13 has first region 13a and second regions 13b (air) w/ different refractive index and periodically disposed in 13a in plane of 13, lines 335-338), and wherein the plurality of second regions extend from the photonic crystal layer to the first semiconductor layer (13b extend from 13 to 12).
Matsubara does not disclose wherein the plurality of second regions include a plurality of first holes and a plurality of second holes, wherein the plurality of first holes and the plurality of second holes extend from a same surface of the photonic crystal layer toward the first semiconductor layer, wherein the bottom surfaces of the plurality of second holes are positioned at a greater depth than the bottom surfaces of the plurality of first holes, wherein an area of each of the second holes in the plane of the photonic crystal layer is larger than an area of each of the plurality of first holes, and wherein each of the plurality of the second holes is deeper than each of the plurality of first holes, and wherein a distance between the active layer and a bottom surface of one of the plurality of the second holes is larger than a distance between the active layer and a bottom surface of one of the plurality of the first holes.
Noda discloses a 2D photonic crystal laser with modified refractive index groups periodically arranged in a square lattice, with each group including two separate holes (fig. 13+15 modified index groups 75 have deep and wide holes 751 (claimed second hole) and shallow and narrow holes 752 (first hole), 0111). Plurality of first and second holes extend from a same surface of a photonic crystal layer toward a first semiconductor layer (752 and 751 extend from top surface of photonic crystal layer 24 toward first semiconductor layer 23, 0093). Bottom surface of second hole deeper than bottom surface of first hole (751 deeper than 752). Second hole area greater than first hole area (751 area greater than 752 in plane of 24).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify second regions to include first/second hole pairs, with first and second holes having depths/relationships required by claim 1 to improve extraction of laser light and achieve higher slope efficiency and stronger light intensity (Noda 0073, 0117).
After modification, each 13b in Matsubara represents a first and second hole pair, with distance between second hole bottom surface and active layer 15 being greater than distance between first hole bottom surface and active layer for each 13b.
Modified Matsubara does not disclose wherein at least one of the plurality of first holes and the plurality of second holes extends from the photonic crystal layer to the first semiconductor layer and bottom hole surfaces being within the first semiconductor layer.
Hoshino discloses a photonic crystal semiconductor structure with holes that extend from a semiconductor layer into a different semiconductor layer across a semiconductor layer junction (fig. 3 holes 120 extend through 104 and 102, lines 276-294).
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 holes extend into the first semiconductor layer to allow for greater flexibility regarding control of optical mode and optical confinement.
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Modified fig. 1 (one rough example of proposed modification)
Regarding claim 2, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of second regions are holes extending from the photonic crystal layer to the first semiconductor layer (modified fig. 1 plurality of 13b are holes extending from 13 to 12).
Regarding claim 5, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of first holes and the plurality of second holes extend from the photonic crystal layer to the first semiconductor layer (plurality of holes in 13b extend from 13 to 12).
Regarding claim 10, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of first holes and the plurality of second holes are disposed in a square lattice in the plane of the photonic crystal layer (after claim 1 modification, first and second holes in 13b in square lattice in 13), wherein a depth of each of the plurality of first holes and a depth of each of the plurality of second holes are 5 times a lattice constant of the square lattice or less (hole depth is at most 13 thickness (100 nm) + 12 thickness (1000 nm) = 1100 nm, lattice constant = 560 nm, 560 * 5 = 2800 nm, 1100 less than 2800, lines 325-356).
Regarding claim 11, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, comprising: a second semiconductor layer provided between the photonic crystal layer and the active layer (second semiconductor layer 14 between 13 and 15, lines 357-358), wherein an end portion of each of the plurality of second regions toward the active layer is positioned at an interface between the photonic crystal layer and the second semiconductor layer (end portion (top half) of each 13b is at interface between 13 and 14).
Regarding claim 12, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein an end portion of each of the plurality of second regions toward the active layer is positioned closer to the first semiconductor layer than an interface between the photonic crystal layer and the active layer (modified fig. 1, end portions (entire portion of 13b) toward 15 positioned closer to 12 than an interface between photonic crystal layer and active layer (“interface” layer 14)).
Regarding claim 13, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, comprising: a p-type second semiconductor layer provided on the active layer (p-type semiconductor layer 16 on 15, line 462), wherein the first semiconductor layer and the photonic crystal layer are n-type layers (12 and 13 n-type, lines 325-326 + 335-336).
Regarding claim 15, Matsubara discloses a method of manufacturing a photonic-crystal surface emitting laser (figs. 1-4), the method comprising: forming a photonic crystal layer on a first semiconductor layer (photonic crystal layer 13 on first semiconductor layer 12, lines 1-14), the photonic crystal layer having a refractive index higher than a refractive index of the first semiconductor layer (photonic crystal layer 13 made of GaAs (13a, n = 3.6) w/ higher index than 12 (AlGaAs), lines 335-336); and forming an active layer opposite to the first semiconductor layer with respect to the photonic crystal layer (active layer 15 opposite 12 with respect to 13); wherein the photonic crystal layer has a first region and a plurality of second regions each having a refractive index different from a refractive index of the first region and periodically disposed in the first region in a plane of the photonic crystal layer (13 has first region 13a and second regions 13b (air) w/ different refractive index and periodically disposed in 13a in plane of 13, lines 335-338), and wherein the plurality of second regions extend from the photonic crystal layer to the first semiconductor layer (13b extend from 13 to 12).
Matsubara does not disclose wherein the plurality of second regions include a plurality of first holes and a plurality of second holes, wherein at least one of the plurality of first holes and the plurality of second holes extends from the photonic crystal layer to the first semiconductor layer, wherein the plurality of first holes and the plurality of second holes extend from a same surface of the photonic crystal layer toward the first semiconductor layer, wherein the bottom surfaces of the plurality of second holes are positioned within the first semiconductor layer at a greater depth than the bottom surfaces of the plurality of first holes, wherein an area of each of the second holes in the plane of the photonic crystal layer is larger than an area of each of the plurality of first holes, and wherein each of the plurality of the second holes is deeper than each of the plurality of first holes, and wherein a distance between the active layer and a bottom surface of one of the plurality of the second holes is larger than a distance between the active layer and a bottom surface of one of the plurality of the first holes.
Noda discloses a 2D photonic crystal laser with modified refractive index groups periodically arranged in a square lattice, with each group including two separate holes (fig. 13+15 modified index groups 75 have deep and wide holes 751 (claimed second hole) and shallow and narrow holes 752 (first hole), 0111). Plurality of first and second holes extend from a same surface of a photonic crystal layer toward a first semiconductor layer (752 and 751 extend from top surface of photonic crystal layer 24 toward first semiconductor layer 23, 0093). Bottom surface of second hole deeper than bottom surface of first hole (751 deeper than 752). Second hole area greater than first hole area (751 area greater than 752 in plane of 24).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify second regions to include first/second hole pairs, with first and second holes having depths/relationships required by claim 1 to improve extraction of laser light and achieve higher slope efficiency and stronger light intensity (Noda 0073, 0117).
After modification, each 13b in Matsubara represents a first and second hole pair, with distance between second hole bottom surface and active layer 15 being greater than distance between first hole bottom surface and active layer for each 13b.
Modified Matsubara does not disclose wherein at least one of the plurality of first holes and the plurality of second holes extends from the photonic crystal layer to the first semiconductor layer and bottom hole surfaces being within the first semiconductor layer.
Hoshino discloses a photonic crystal semiconductor structure with holes that extend from a semiconductor layer into a different semiconductor layer across a semiconductor layer junction (fig. 3 holes 120 extend through 104 and 102, lines 276-294).
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 holes extend into the first semiconductor layer to allow for greater flexibility regarding control of optical mode and optical confinement.
Regarding claim 16, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein an electrode is provided opposite to the photonic crystal layer with respect to the active layer (electrode 18 opposite 13 with respect to 15, lines 375-377).
Regarding claim 17, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1.
Modified Matsubara does not disclose wherein the plurality of first holes and the plurality of second holes are formed by a single etching step.
Noda discloses both first and second holes being formed by a single etching step (fig. 15 c-d 751 and 752 formed simultaneously, 0113-0115).
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 plurality of first holes and the plurality of second holes are formed by a single etching step to allow for easy fabrication without requiring special techniques (Noda 0087).
Regarding claim 20, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of first holes and the plurality of second holes penetrate through an entire thickness of the photonic crystal layer (modified fig. 1 13b first and second holes penetrate through entire 13).
Claim(s) 3 is/are rejected under 35 U.S.C. 103 as being unpatentable over Mastubara in view of Noda, Hoshino, and Li_NPL (Effect of Etching Depth…).
Regarding claim 3, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of second regions are disposed in a square lattice in the plane of the photonic crystal layer (13b in square lattice in 13).
Modified Matsubara does not disclose wherein a depth of each of the plurality of second regions is greater than or equal to a lattice constant of the square lattice.
Hoshino discloses using a hole depth greater than a lattice constant (lines 345-348).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a depth of each of the plurality of second regions is greater than or equal to a lattice constant of the square lattice to improve diffraction feedback coupling and reduce lasing threshold (Li_NPL Abstract (pg. 1) and top of pg. 4).
Claim(s) 6, 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsubara, Noda, Hoshino, and Otsuka (US-20080240179-A1).
Regarding claim 6, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of first holes and the plurality of second holes are disposed in a square lattice in the plane of the photonic crystal layer (after claim 1 modification, first and second holes in 13b in square lattice in 13).
Modified Matsubara does not disclose wherein a ratio d/a between a distance d between one of the plurality of first holes and one of the plurality of second holes adjacent thereto and a lattice constant a of the square lattice is 0.35 to 0.45.
Otsuka discloses a photonic crystal SE laser with main and secondary hole lattices and an analogous d/a ratio of .15 to .35 or .35 to .50, where the d/a ratio is used to control/balance the feedback effect, with .35 having the widest applicability when considering main + secondary reflected light phase difference + feedback effect (fig. 3, 0040-0045, 0051-0052, claims 2-3).
It is well known to optimize values to achieve desired results (MPEP 2144.05 II A/B).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have used the ratio d/a between a distance d between one of the plurality of first holes and one of the plurality of second holes adjacent thereto and a lattice constant a of the square lattice is 0.35 to 0.45 to allow for adjustment of feedback effect + balance the benefits of both a higher feedback effect and lower feedback effect and allow for design of wider range of structures/ phase differences (Otsuka 0007, 0010-0016, 0051-0052).
Regarding claim 9, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1.
Modified Matsubara does not disclose wherein a shape of each of the plurality of first holes and a shape of each of the plurality of second holes in the plane of the photonic crystal layer are circular or elliptical.
Otsuka discloses circular shape for both first and second holes (fig. 3 holes 33 and 34 circular, 0038).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a shape of each of the plurality of first holes and a shape of each of the plurality of second holes in the plane of the photonic crystal layer are circular or elliptical to avoid needing to form sharp corners via dry etching and reduce likelihood of fabrication issues.
Claim(s) 7, 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsubara in view of Noda, Hoshino, and Hori (JP-2008277563-A, machine translation "Hori_English" cited and included herewith).
Regarding claim 7, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1, wherein the plurality of first holes and the plurality of second holes are disposed in a square lattice in the plane of the photonic crystal layer (after claim 1 modification, first and second holes in 13b in square lattice in 13).
Modified Matsubara does not disclose wherein a depth of each of the plurality of first holes and a depth of each of the plurality of second holes are greater than or equal to a lattice constant of the square lattice.
Hori discloses hole depths greater than lattice constant (fig. 1, holes 108, Table 1 w/ hole depths lines 382-384, line 369 lattice constant = 0.8 um).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a depth of each of the plurality of first holes and a depth of each of the plurality of second holes are greater than or equal to a lattice constant of the square lattice to provide sufficient depth margin to account for etch variations and reduce odds of incomplete formation of holes and reducing footprint of device by keeping lattice constant smaller.
Regarding claim 18, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1.
Modified Matsubara wherein a depth of each of the plurality of second holes is 1.75 times a lattice constant of a square lattice or more, and wherein a depth of each of the plurality of first holes is 1.25 times the lattice constant or more.
Hori discloses photonic crystal structure with first holes that are at least 1.25 times lattice constant and second holes that are at least 1.75 times lattice constant (fig. 1, holes 108, Table 1 w/ hole depths first hole depth = 1.0 um, second hole depth = 1.5 um, line 369 lattice constant = 0.8 um).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a depth of each of the plurality of second holes is 1.75 times a lattice constant of a square lattice or more, and wherein a depth of each of the plurality of first holes is 1.25 times the lattice constant or more to provide sufficient flexibility in hole depth to achieve desired refractive index profile.
Claim(s) 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsubara in view of Noda, Hoshino, and Bian_NPL (1.5 um Epitaxially Regrown...).
Regarding claim 14, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1.
Modified Matsubara does not disclose wherein the first semiconductor layer contains indium phosphide, and wherein the first region of the photonic crystal layer contains indium gallium arsenide phosphide.
Bian discloses a photonic crystal laser with InP cladding layers and a GaInAsP photonic crystal layer first region (fig. 1 and Table 1, P/N-Cladding and Photonic Crystal).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have used an InP/GaInAsP material structure for the device to obtain access to the 1300 – 1550 nm wavelength range and allow for increased data-center size (Bien pg. 1531 right col.).
Claim(s) 19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Matsubara in view of Noda, Hoshino, and Nagatomo (US-20080117941-A1).
Regarding claim 19, modified Matsubara discloses the photonic-crystal surface emitting laser according to claim 1.
Modified Matsubara does not disclose wherein a thickness of the photonic crystal layer is greater than or equal to a lattice constant of a square lattice formed by the plurality of first holes and the plurality of second holes.
Nagatomo discloses a photonic crystal structure with a photonic crystal layer thickness equal to a lattice constant formed by a plurality of holes (fig. 6 thickness of layer 1000 250 nm = lattice constant 250 nm, 0079).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have a thickness of the photonic crystal layer is greater than or equal to a lattice constant of a square lattice formed by the plurality of first holes and the plurality of second holes to increase durability of photonic crystal layer relative to overall size/footprint of device.
Conclusion
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/A.E./Examiner, Art Unit 2828
/MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828
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