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
Applicant's election with traverse of Species VI, Figure 8 in the reply filed on March 9, 2026 is acknowledged. The traversal is on the ground(s) that claim 1 is a proper generic claim which captures the common inventive concept across the embodiments and that the office has not established a serious search burden. This is not found persuasive because the specific configurations of the different shapes of the first mask layer would require different searches and consideration including different search strategies, in addition the prior art would not likely not be applicable to other species.
The requirement is still deemed proper and is therefore made FINAL.
Claims 2, 7-8 and 15 (note that 15 corresponds to claim 2) are withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected species, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on March 9, 2026.
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.
Claims 10-12 and 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.
Claims 10 and 18 recites the limitation "the second mask layer on the opposite sides of the light emitting structure" in lines 1-2. There is insufficient antecedent basis for this limitation in the claim. Specifically, “the opposite sides” of the light emitting structure have not previously been cited. In addition, it is not clear how the mask layer “forms the first and second Bragg reflectors” as there is no mask on any of the Bragg reflectors. For purposes of examination, this limitation is interpreted as “the second mask layer comprises a plurality of protruding walls spaced in a direction perpendicular to an end face of the light-emitting structure, wherein the plurality of protruding walls are formed on outside surfaces of the light emitting structure”.
Claims 11-12 and 19 are rejected since they inherit the indefiniteness of the claims from which they depend.
Double Patenting
The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b).
The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13.
The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The actual filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/apply/applying-online/eterminal-disclaimer.
Claims 1, 5-6 and 14 provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1, 6, 9-11, 14 and 17 of copending Application No. 18/836,025 (reference application). Although the claims at issue are not identical, they are not patentably distinct from each other because they read on or make obvious the claims as per below.
Instant application
Application: 18/836,025
Claim 1: A structure, comprising: a base; a first mask layer on the base, wherein the first mask layer has a first channel exposing the base, the first channel comprises a first open end and a second open end, the second open end is close to a surface of the base, the first open end is away from the surface of the base, and an area of an orthographic projection of the first open end in a plane where the base is located is smaller than an area of an orthographic projection of the first channel in the plane;
and a second mask layer on the first mask layer, wherein the second mask layer has a second channel exposing the first mask layer, and the second channel is connected to the first channel.
Claim 1: A light-emitting device, comprising: a base; a first mask layer on the base, wherein the first mask layer comprises a first window exposing the base, the first window comprises an opening end, and an area of an orthographic projection of the opening end on a plane of the base is smaller than an area of an orthographic projection of the first window on the plane of the base; a first epitaxial layer (13), epitaxially grown from the base (10) to fill up the first window (110); and a light-emitting structure (14), arranged on the first epitaxial layer (13) and the first mask layer (11).
Claim 6: The light-emitting device according to claim 2, further comprising: a second mask layer on the first mask layer, wherein the second mask layer comprises a second window exposing the first mask layer, the second window is connected with the first window, and at least the second epitaxial layer (141) and the active layer (142) are arranged in the second window (120).
Claim 5: The structure of claim 1, wherein the orthographic projection of the first open end in the plane where the base is located does not overlap at least partially with the second open end.
Claim 9: The light-emitting device according to claim 1, wherein the first window further comprises a bottom wall end on a surface of the base, and the orthographic projection of the opening end on the plane of the base is at least partially staggered from the bottom wall end.
Claim 10: The light-emitting device according to claim 9, wherein the orthographic projection of the opening end on the plane of the base is completely outside from the bottom wall end.
Claim 6: The structure of claim 1, wherein the first channel is an inclined columnar channel.
Claim 11: The light-emitting device according to claim 1, wherein the first window is a slanted columnar window.
Claim 14: A method for manufacturing a structure, comprising: providing a base; forming a first mask layer on the base; forming a first channel within the first mask layer that exposes the base, wherein the first channel comprises a first open end and a second open end, the second open end is close to a surface of the base, the first open end is away from the surface of the base, and an area of an orthographic projection of the first open end in a plane where the base is located is smaller than an area of an orthographic projection of the first channel in the plane;
forming a second mask layer on the first mask layer; and forming a second channel within the second mask layer that exposes the first mask layer, wherein the second channel is connected to the first channel.
Claim 14: A manufacturing method of a light-emitting device, comprising: providing a base, forming a first mask layer on the base, and in the first mask layer, forming a first window exposing the base, wherein the first window comprises an opening end, to enable an area of an orthographic projection of the opening end on a plane of the base to be smaller than an area of an orthographic projection of the first window on the plane of the base; and performing an epitaxial growth process on the base to sequentially form a first epitaxial layer and a light-emitting structure by using the first mask layer as a mask, wherein the first epitaxial layer is epitaxially grown from the base to fill up the first window, and the light-emitting structure is epitaxially grown on the first epitaxial layer and the first mask layer.
17. The manufacturing method according to claim 15, wherein before the step of forming the first epitaxial layer and the light-emitting structure, the manufacturing method of the light-emitting device further comprises: forming a second mask layer on the first mask layer, and in the second mask layer, forming a second window exposing the first mask layer, wherein the second window is connected with the first window; and performing an epitaxial growth process on the base by using the first mask layer and the second mask layer as a mask, wherein at least the second epitaxial layer and the active layer of the light-emitting structure are epitaxially grown in the second window.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Claim 14 provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1, 6, 9-11, 14 and 17 of copending Application No. 18/319437 (reference application). Although the claims at issue are not identical, they are not patentably distinct from each other because they read on or make obvious the claims as per below.
Instant application
Application: 18/319437
Claim 14: A method for manufacturing a structure, comprising: providing a base; forming a first mask layer on the base; forming a first channel within the first mask layer that exposes the base, wherein the first channel comprises a first open end and a second open end, the second open end is close to a surface of the base, the first open end is away from the surface of the base, and an area of an orthographic projection of the first open end in a plane where the base is located is smaller than an area of an orthographic projection of the first channel in the plane;
forming a second mask layer on the first mask layer; and forming a second channel within the second mask layer that exposes the first mask layer, wherein the second channel is connected to the first channel.
A manufacturing method of a semiconductor structure, comprising: providing a structure to be peeled off, wherein the structure to be peeled off comprises a first structure and a second structure, the first structure comprises: a base; a first mask layer located on the base, wherein a first opening that exposes the base is provided in the first mask layer, the first opening is an oblique columnar opening having a vertical section that is an inclined parallelogram, the first opening comprises an open end, and an area of an orthographic projection of the open end on the base is less than an area of an orthographic projection of the first opening on the base; and a first epitaxial layer epitaxially grown from the base to fill up the first opening; and the second structure comprises: a second epitaxial layer located on the first epitaxial layer and the first mask layer; and applying force on the structure to be peeled off to fracture the second epitaxial layer and the first epitaxial layer, to peel off the first structure and make the second structure form a semiconductor structure.
Claim 12: The manufacturing method according to claim 1, wherein the second structure further comprises: a second mask layer located on the first mask layer, wherein a second opening that exposes the first mask layer is provided in the second mask layer, the second opening is connected with the first opening, and the second epitaxial layer is located in the second opening; and before applying the force on the structure to be peeled, the manufacturing method further comprises: removing at least one of the first mask layer in the first structure or the second mask layer in the second structure by wet etching.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Claim Rejections - 35 USC § 102
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.
Claims 1, 3, 14, and 16 are rejected under 35 U.S.C. 102 (a)(1) as being anticipated by JP 2003-243702, herein after Sawaki ‘702.
Regarding claim 1, Sawaki ‘702 discloses a structure, comprising: a base (1); a first mask layer (19) on the base (Figures 6 and 13), wherein the first mask layer has a first channel (6) exposing the base (Figures 6-7 and 13, portion of channel 6 exposes base 1), the first channel (6) comprises a first open end and a second open end (Figures 6-7 and 13), the second open end is close to a surface of the base (Figures 6-7 and 13), the first open end is away from the surface of the base, and an area of an orthographic projection of the first open end in a plane where the base is located is smaller than an area of an orthographic projection of the first channel in the plane (Shown in Figures 6-7 and 13); and a second mask layer (26) on the first mask layer (20), wherein the second mask layer has a second channel exposing the first mask layer (Channel formed between masks 26-See Figures 12-15), and the second channel is connected to the first channel (Figures 12-15).
Regarding claim 14, Sawaki ‘702 discloses a method for manufacturing a structure, comprising: providing a base (1); forming a first mask layer (19) on the base (Figure 6); forming a first channel (6) within the first mask layer that exposes the base (Figures 6-7 and 13, portion of channel 6 exposes base 1), wherein the first channel (6) comprises a first open end and a second open end (Figures 6-7 and 13), the second open end is close to a surface of the base, the first open end is away from the surface of the base (Figures 6-7 and 13), and an area of an orthographic projection of the first open end in a plane where the base is located is smaller than an area of an orthographic projection of the first channel in the plane (Shown in Figures 6-7 and 13); forming a second mask layer (26) on the first mask layer (19); and forming a second channel within the second mask layer that exposes the first mask layer (Channel formed between masks 26-See Figures 12-15), wherein the second channel is connected to the first channel (Figures 12-15).
Regarding claims 3 and 16, Sawaki ‘702 further discloses that the first mask layer and the second mask layer are both single-layer structures (Figures 6-7 and 12-15), and a material of the first mask layer (19-made of SiO2-page 3) is different from that of the second mask layer (26-made of silicon nitride-page 17).
Regarding claim 4, Sawaki ‘702 further discloses that an area of a cross section of the second channel is larger than an area of the first open end of the first channel (See Figures 12-15).
Claim Rejections - 35 USC § 103
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.
Claims 5-6 are rejected under 35 U.S.C. 103 as being unpatentable over Sawaki ‘702 in view of Lee US 20150137072, herein referred to as Lee ‘072.
Regarding claims 5, Sawaki ‘702 does not specifically discloses that an orthographic projection of the first open end in the plane where the base is located does not overlap at least partially with the second open end.
In the same field of endeavor, Lee ‘072 discloses a structure including a mask wherein an orthographic projection of the first open end (lower portion of 22) in the plane of a mask where the base is located does not overlap at least partially with the second open end (upper portion of 22, Figures 2D, 3-7, [0046-0049]). It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teaching of Lee ‘072 with the device of Sawaki ‘702 for the purpose of reducing vertical threading dislocation in the semiconductor layer ([0048]).
Regarding claim 6, Lee ‘072 further teaches that the first channel (22) is an inclined columnar channel (Figure 2D, 3-7).
Claims 9-13 and 17-20 are rejected under 35 U.S.C. 103 as being unpatentable over Sawaki ‘702 in view of Burroughs US 20180301865, herein after Burroughs ‘865.
Regarding claims 9 and 17, Sawaki ‘702 further discloses a first epitaxial layer comprising a first epitaxial sub-layer (lower portion-12 within channel 6) and a second epitaxial sub-layer (upper portion-12 above upper surface of base 1) , wherein the first epitaxial sub-layer is epitaxially grown from the base to fully fill the first channel (Figures 7 and 15), and the second epitaxial sub-layer is epitaxially grown, from the first epitaxial sub-layer located at the first open end, in the second channel (Figures 7 and 15); an active layer on the second epitaxial sub-layer (3), wherein the active layer is located within the second channel (light emitting layer is formed between the area between mask sections 26-see Figure 15); a second epitaxial layer on the active layer (5), wherein a light-emitting structure is formed by the second epitaxial sub-layer, the active layer and the second epitaxial layer (Figures 7 and 15).
Sawaki ‘702 does not teach that the device is a laser diode comprising a first Bragg reflector and a second Bragg reflector, which are on opposite sides of the light-emitting structure respectively, so as to allow light emitted from the light-emitting structure to exit from either of the opposite sides.
In the same field of endeavor, Burroughs ‘865 teaches of a laser diode (Title/Abstract) comprising a first Bragg reflector (1001 a/b) and a second Bragg reflector (1002a/b), which are on opposite sides of the light-emitting structure respectively (Figures 10A-B, [0102, 0113]) so as to allow light emitted from the light-emitting structure to exit from either of the opposite sides ([0102-0113]).
It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to combine the teaching of Burroughs ‘865 with the device of Sawaki ‘702 for the purpose of achieving desired roughness and thermal conductivity in a surface emitting laser ([0105]).
Regarding claims 10 and 18 (as best understood using the interpretation above), Sawaki ‘702 further discloses that the second mask layer (26) on the opposite sides of the light-emitting structure comprises a plurality of protruding walls spaced in a direction perpendicular to an end face of the light-emitting structure (wherein second mask layer 26 comprises a plurality of protruding walls spaced in a direction perpendicular to an end face of the light-emitting structure, the plurality of protruding walls are formed on outside surfaces of the light emitting structure, Figures 12-15, wherein upper layer 12 is part of the light-emitting structure) and Burroughs ‘865 further teaches wherein the first Bragg reflector and the second Bragg reflector, so as to allow the light emitted from the light-emitting structure to exit from either of the opposite sides in the direction perpendicular to the end face of the light-emitting structure ([0102-0113]).
Regarding claims 11 and 19, Burroughs ‘865 further discloses that the first Bragg reflector and the second Bragg reflector both comprise a plurality of repeating units (Figures 10a-b), and each of the plurality of repeating units comprises a protruding wall (1013) and an air gap (Shown in Figures 10a-b) adjacent a side of the protruding wall; when a number of repeating units of the first Bragg reflector is smaller than that of the second Bragg reflector, the first Bragg reflector corresponds to a light- emitting surface of the light-emitting structure; when the number of repeating units of the first Bragg reflector is larger than that of the second Bragg reflector, the second Bragg reflector corresponds to the light-emitting surface of the light-emitting structure (Figures 10a-b, ([0102-0113]).
Regarding claim 12, Burroughs ‘865 further teaches that plurality of protruding walls respectively have the same width, and air gaps between the plurality of protruding walls respectively have the same width (See Figures 10a-b and 11).
Regarding claim 13, Burroughs ‘865 further teaches wherein the first mask layer comprises a fifth sub-layer and a sixth sub-layer arranged alternately to form the second Bragg reflector (1001a/b), and the first Bragg reflector is on the light-emitting structure (1002) and on the second mask layer (Sawaki ‘702 as modified with Burroughs ‘865), or on the light-emitting structure within the second channel (Figures 10a-b, ([0102-0113]).
Regarding claim 20, Sawaki ‘702 further discloses that the base (1) is a single-layer structure, the first epitaxial layer (12) is formed by performing a homogeneous epitaxial growth process or a heterogeneous epitaxial growth process on the base (Figure 7-8); or the base comprises a semiconductor substrate (1) and a transition layer (20) disposed on the semiconductor substrate, and the first epitaxial layer (12) is formed by performing a homogeneous epitaxial growth process or a heterogeneous epitaxial growth process on the transition layer (Figures 7-8).
Conclusion
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/JESSICA S MANNO/SPE, Art Unit 2898
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