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 .
Priority
Acknowledgment is made of applicant’s claim for foreign priority under 35 U.S.C. 119 (a)-(d) to application JP 2022/208887.
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
However, certified translation of the certified copy is required in order to perfect priority claims made to this application.
Information Disclosure Statement
The information disclosure statement (IDS) submitted on 12/20/2023 is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner.
The information disclosure statement (IDS) submitted on 05/25/2026 is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner.
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 1-7 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 {01-1} plane" in line 24. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”. By their dependency, the following claims are also rejected: 2/1, 3/1, 4/1, 5/1, 6/1, 7/1.
Claim 1 recites the limitation "the {01-1} plane" in line 26. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”. By their dependency, the following claims are also rejected: 2/1, 3/1, 4/1, 5/1, 6/1, 7/1.
Claim 1 recites the limitation "the {01-1} plane" in line 28. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”. By their dependency, the following claims are also rejected: 2/1, 3/1, 4/1, 5/1, 6/1, 7/1.
Claim 1 recites the limitation "the {01-1} plane" in line 30. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”. By their dependency, the following claims are also rejected: 2/1, 3/1, 4/1, 5/1, 6/1, 7/1.
Claim 2 recites the limitation "the {01-1} plane" in line 3. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”.
Claim 3 recites the limitation "the {01-1} plane" in line 3. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”.
Claim 3 recites the limitation “in a plane parallel to the first main surface, the third surface is inclined from the {01-1} plane more by an angle of 0° to 1° than the fifth surface”. It is not understood by the Examiner what is meant by “more by an angle of 0° to 1° than the fifth surface”. Therefore, the scope of the claim is indefinite. For purposes of examination, this limitation is taken to mean that the third surface is inclined relative to a plane which is parallel to the first main surface, and the third surface is inclined 0° to 1° further away from the {01-1} plane than the fifth surface is inclined from the {01-1} plane.
Claim 4 recites the limitation "the {01-1} plane" in line 3. There is insufficient antecedent basis for this limitation in the claim. For purposes of examination, this limitation will be read as “the {01-1} plane of the substrate”.
Claim 4 recites the limitation “in a plane parallel to the first main surface, the fourth surface is inclined from the {01-1} plane less by an angle larger than 0° and smaller than or equal to 3° than the sixth surface”. It is not understood by the Examiner what is meant by “less by an angle larger than 0° and smaller than or equal to 3° than the sixth surface”. Therefore, the scope of the claim is indefinite. For purposes of examination, this limitation is taken to mean that the fourth surface is inclined relative to a plane which is parallel to the first main surface, and the fourth surface is inclined farther than but no more than 3° from where the sixth surface is inclined from the {01-1} plane.
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 1-3, 5-7 are rejected under 35 U.S.C. 103 as being unpatentable over Kiyota (U.S. 2014/0055842 A1), in view of Suzaki et al. (JP 2001/111177 A), hereinafter Suzaki, in view of Mason et al. (U.S. Patent No. 6,658,035), hereinafter Mason.
Regarding Claim 1, Kiyota teaches an optical semiconductor element (Fig. 1, “100”; paragraph [0026], “semiconductor optical amplification element”) comprising: a substrate (Fig. 2, “120”) having a first main surface (Fig. 2, top vertical edge of “120”, see explanation below); a first semiconductor layer (Fig. 2, “121”, “122”, “123”; paragraph [0028], “n-InP”, “active layer”, “p-InP”) provided on the first main surface (Fig. 2, see “121”, “122”, “123” provided on the top vertical edge of “120”) and in which a mesa is formed (paragraph [0028], “mesa stripe is formed”); and a second semiconductor layer (Fig. 2, “124”, “125”, “126” “127”; paragraph [0028], “p-InP”, “n-InP”, “p-InP”, “p-GaInAs”) wherein the mesa has a laser portion (Fig. 2, “111”, “112”, “113” within “110” with input “L1”; paragraphs [0026], [0033], [0036]) and an optical amplifier portion (Fig. 1, “114”, “115”, “115a”, “116” within “110”; paragraph [0026]), wherein the laser portion has a first surface (Annotated Fig. 1-I), perpendicular to the first main surface (Annotated Fig. 1-I, see explanation below), and a second surface (Annotated Fig. 1-II) perpendicular to the first main surface (Annotated Fig. 1-I, see explanation below ) and parallel to the first surface (Annotated Fig. 1-I, see “first surface” parallel to “second surface), wherein the optical amplifier portion has a third surface (Annotated Fig. 1-I) perpendicular to the first main surface (Annotated Fig. 1-I, see explanation below) and continuous with the first surface (Annotated Fig. 1-I, see “third surface” is continuous with the “first surface”), a fourth surface perpendicular to the first main surface (Annotated Fig. 1-I, see explanation below ) and continuous with the second surface (Annotated Fig. 1-I, see “fourth surface” is continuous with the “second surface”), a fifth surface (Annotated Fig. 1-I) perpendicular to the first main surface (Annotated Fig. 1-I, see explanation below) and continuous with the third surface (Annotated Fig. 1-I, see “fifth surface” continuous with “third surface”), a sixth surface (Annotated Fig. 1-I) perpendicular to the first main surface (Annotated Fig. 1-I, see explanation below, continuous with the fourth surface (Annotated Fig. 1-I, see “sixth surface” continuous with “fourth surface”), and parallel to the fifth surface (Annotated Fig. 1-I), and an end surface (Annotated Fig. 1-I) perpendicular to the first main surface (Annotated Fig. 1-I, see explanation), continuous with the fifth surface and the sixth surface (Annotated Fig. 1-I), and from which light is emitted (Fig. 1, “L2”; paragraph [0036]), wherein a first distance between the first surface and the second surface is smaller than a second distance between the fifth surface and the sixth surface (Annotated Fig. 1-I), wherein the first surface and the second surface are parallel to a plane of the substrate (Annotated Fig. 1-II, see explanation below), wherein the end surface is perpendicular to the plane of the substrate (Annotated Fig. 1-II, see explanation below), wherein, in a plane parallel to the first main surface (Annotated Fig. 1-III, see explanation below), the third surface and the fourth surface are inclined from the plane of the substrate in directions identical to each other (Annotated Fig. 1-III, see both angle of inclinations of the third and fourth surface respectively are both inclined with respect to a line parallel to the horizontal direction of the plane), wherein, in a plane parallel to the first main surface (Fig. 1, plane of top view, see explanation below), the fifth surface and the sixth surface are inclined from the plane of the substrate (Annotated Fig 1-III) in a direction identical to the directions in which the third surface and the fourth surface are inclined (Annotated Fig. 1-III), and wherein the second semiconductor layer is in contact with the first surface, the second surface, the third surface, the fourth surface, the fifth surface, and the sixth surface (paragraph [0028], see explanation below).
It can be understood by someone having ordinary skill in the art that: Fig. 1 of Kiyota is seen from a top view; Fig. 2 of Kiyota is a cross sectional view of Fig. 1 along the line A-A; Fig. 2 of Kiyota is perpendicular to Fig. 1 of Kiyota, as only the edge of the cross section of line A-A in Fig. 1 of Kiyota (the line A-A itself) can be viewed in Fig. 1 of Kiyota; the first surface, second surface, third surface, fourth surface, fifth surface, and sixth surface are perpendicular to the top view of Annotated Fig. 1-I of Kiyota, as only the edge of each respective surface can be viewed in Fig. 1 of Kiyota; the first surface, second surface, third surface, fourth surface, fifth surface, and sixth surface are aligned with the into and out of the page direction in the top view of Annotated Fig. 1-I of Kiyota; the left to right direction of Fig. 1 of Kiyota is the into and out of the page direction of Fig. 2 of Kiyota; the up and down direction of Fig. 1 of Kiyota is the left to right direction of Fig. 2 of Kiyota, by implication the line A-A which is up to down in Fig. 1 of Kiyota is left to right in Fig. 2; the into and out of the page direction of Fig. 1 of Kiyota is the up and down direction of Fig. 2 of Kiyota;
Therefore, Kiyota discloses: the first surface, second surface, third surface, fourth surface, fifth surface, and sixth surface are perpendicular to the first main surface, in the sense that the into and out of the page direction in Fig. 2 of Kiyota is perpendicular to the up and down the page direction in Fig. 2 of Kiyota; that since the end surface is parallel to the cross section of Fig. 1 of Kiyota taken across the line A-A (i.e. Fig. 2 of Kiyota), it is also perpendicular to the first main surface; the first surface and the second surface are parallel to a plane of the substrate, namely the plane defining the left vertical edge and the plane defining the right vertical edge of the substrate in Fig. 2 of Kiyota which each define a plane going into and out of the page; that the plane parallel to the first main surface is the plane in the top view of Fig. 1 of Kiyota, in the sense that the main surface of the substrate is into and out of the page in Fig. 2 of Kiyota which coincides with the direction parallel to the first and second surfaces in Annotated Fig. 1-II of Kiyota; that the second semiconductor layer is in contact with the first surface, second surface, third surface, fourth surface, fifth surface, and sixth surface of the mesa, in the sense that it is in contact with the first semiconductor layer (Fig. 2, see “124” of “124, “125, “126” in contact with “123” and “121” of “121”, “122”, “123”, and the first semiconductor layer forms the mesa as disclosed by Kiyota (paragraph [0028], “mesa stripe is formed”). Kiyota does not teach: the substrate had a (100) plane orientation; that the plane the first and second surface are parallel to, the third surface and fourth surface are inclined from, the third surface is inclined more than the fourth surface from, and the fifth and sixth surface are inclined from in a direction identical to the direction that the third and fourth surface are inclined from, is the {01-1} plane; in a plane parallel to the first main surface, the third surface is inclined more than the fourth surface from the {01-1} plane.
Suzaki teaches: the substrate with a (100) plane orientation (see paragraph [0013] of Examiner provided translation, “n-InP substrate”); the surfaces of the mesa are parallel to the [01-1] direction (see paragraph [0014] of Examiner provided translation, “mesa stripes”). Therefore, it would have been obvious to someone having ordinary skill in the art to: have the substrate with a (100) plane orientation, to differ the growth mechanism in this orientation (paragraph [0013] of Examiner provided translation); that the first surface and second surface are parallel to the {01-1} plane, the third surface and fourth surface are inclined from the {01-1} plane, the third surface is inclined more than the fourth surface from the {01-1} plane, and the fifth and sixth surface are inclined from the {01-1} plane in a direction identical to the direction that the third and fourth surface are inclined from, to optimize growth conditions (paragraph [0014]). Kiyota and Suzaki do not teach: in a plane parallel to the first main surface, the third surface is inclined more than the fourth surface from the {01-1} plane.
Mason teaches: in a plane parallel to the first main surface (Annotated Fig. 3D, plane of top view), the third surface (Annotated Fig 3D) is inclined more than the fourth surface (Annotated Fig. 3D) from the plane (Annotated Fig. 3D). Therefore, it would have been obvious to someone having ordinary skill in the art before the effective filing date of the claimed invention to: have the third surface inclined more than the fourth surface from the {01-1} plane in the device of Kiyota and Suzaki, for the benefit of forming a mode adapter for the guided light (Col. 4, lines 58-64).
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Annotated Fig. 1-I
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Annotated Fig. 1-II
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Annotated Fig. 3D
Regarding Claim 2, Kiyota, Suzaki, and Mason teach the device of Claim 1. Kiyota further teaches: in a plane parallel to the first main surface (Annotated Fig. 1-III, see explanation below), the fifth surface and the sixth surface are inclined at 6° to 8° (paragraph [0032], “8°”) in a direction identical to the directions in which the third surface and the fourth surface are inclined (Annotated Fig. 1-I, the third surface, fourth surface, fifth surface, and sixth surface are along the direction of “L2”). It can be necessarily understood to someone having ordinary skill in the art that: the fifth surface and the sixth surface are inclined at 6° to 8° from the {01-1} plane, as the surfaces of the mesa are parallel to the [01-1] direction as taught by Suzaki (see paragraph [0014] of Examiner provided translation, “mesa stripes”) in the device of Kiyota, Suzaki, and Mason.
Regarding Claim 3, Kiyota, Suzaki, and Mason teach the device of Claim 1. Kiyota further teaches: in a plane parallel to the first main surface, the third surface is inclined more by an angle of 0° to 1° than the fifth surface (Annotated Fig. 1-I, the fifth surface is not inclined from the third surface, so the third surface is inclined more by an angle of 0° than the fifth surface). It can be necessarily understood to someone having ordinary skill in the art that: the third surface is inclined from the {01-1} plane more by an angle of 0° to 1° than the fifth surface, as the surfaces of the mesa are parallel to the [01-1] direction as taught by Suzaki (see paragraph [0014] of Examiner provided translation, “mesa stripes”) in the device of Kiyota and Suzaki.. As the surfaces of the mesa are parallel to the [01-1] direction as taught by Suzaki in the device of Kiyota, Suzaki, and Mason.
Regarding Claim 5, Kiyota, Suzaki, and Mason teach the device of Claim 1. Kiyota further teaches: a size of an inclination of the fifth surface from the third surface is equal to a size of an inclination of the sixth surface from the fourth surface (Annotated Fig. 1-I, the fifth surface is not inclined from the third surface and the fourth surface is not inclined from the sixth surface, so both sizes of inclination are zero respectively).
Regarding Claim 6, Kiyota, Suzaki, and Mason teach the device of Claim 1. Kiyota further teaches: the third surface and the fifth surface are flush with each other (Annotated Fig. 1-I).
Regarding Claim 7, Kiyota, Suzaki, and Mason teach the device of Claim 1. Kiyota further teaches: the substrate is an indium phosphide substrate (paragraph [0028]).
Allowable Subject Matter
Claim 4 would be allowable if rewritten to overcome the rejection(s) under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), 2nd paragraph, set forth in this Office action and to include all of the limitations of the base claim and any intervening claims.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Koda et al. (U.S. Patent Application No. 2017/0250522 A1)
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/J.K.M./Examiner, Art Unit 2828 /TOD T VAN ROY/Primary Examiner, Art Unit 2828
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