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 .
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The two information disclosure statement (IDS), submitted on 4/21/26 and 1/16/24, is in compliance with the provisions of 37 CFR 1.97. Accordingly, the two IDS is being considered by the examiner.
Claim Objections
Claim 1, 11 objected to because of the following informalities:
“the clad layer” should read “the upper clad layer” claim 1 line 11
“of the DFB region” should read “of the DBR region” claim 11 line 7 (instant application spec 00102)
. Appropriate correction is required.
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 15, 19 (and claim 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 15 indefinite due to “a direction perpendicular to the substrate” in line 5. A direction perpendicular to the substrate already introduced in claim 15 line 3. It is unclear whether the line 5 reference represents a new direction perpendicular to the substrate or the existing perpendicular direction. Examiner interprets them to be two separate directions.
Claim 19 indefinite due to “an etching mask” in line 3. “An etching mask” already introduced in claim 17 line 3. It is unclear if the claim 19 etching mask is the same as the one introduced in claim 17. Examiner interprets the etching masks to be different and to have a different set of component patterns and films, based on language in claims 17 and 19. Applicant advised to distinguish between a first etching mask and a second etching mask.
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.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim(s) 11 is/are rejected under 35 U.S.C. 102a1/2 as being anticipated by Kim (US-20120051386-A1).
Regarding claim 11, Kim discloses a distributed reflector laser diode comprising: a substrate including a distributed feed-back (DFB) region and a distributed Bragg reflection (DBR) region contacting the DFB region (figs. 2 + 4 substrate 100 includes DFB region A and DBR region C indirectly physically contacting region A, 0060-0061); a lower clad layer on the substrate of the DFB region (lower clad layer 110 on 100 of DFB region A); an active layer on the lower clad layer (active layer 124 on 110); a first lattice on the active layer (first lattice 145 on 124); a second lattice on the substrate of the DBR region (second lattice 135 on 100 of DBR region C); an upper clad layer between the first lattice and the second lattice (upper clad layer 140 between 145 and 135); an upper electrode on the upper clad layer of the DFB region (upper electrode 150 on 140 of DFB region A); and a heater layer on the upper clad layer of the DBR region (heater layer 190 on 140 of DBR region C).
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) 1-3, 5-6, 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim (US-20120051386-A1) in view of Meyer (US-20230231364-A1) and Song (US-20050121680-A1).
Regarding claim 1, Kim discloses a distributed reflector laser diode comprising: a substrate including a distributed feed-back (DFB) region and a distributed Bragg reflection (DBR) region contacting the DFB region (figs. 2 + 4 substrate 100 includes DFB region A and DBR region C indirectly physically contacting region A, 0060-0061); an active layer on the substrate of the DFB region (active layer 124 on 100 region A); a first lattice on the active layer (first lattice 145 on 124); a second lattice provided on the substrate of the DBR region (second lattice 135 on 100 region C); an upper clad layer on the first lattice and the second lattice (upper clad layer 140 on 145 and 135); an upper electrode (upper electrode 150); an insulating layer on the upper clad layer of the DBR region (insulating layer 155 on 140 region C); and a heater layer on the insulating layer (heater layer 190 on 155).
Kim does not disclose second lattice being thicker than the first lattice.
Meyer discloses a laser cavity having a DBR grating depth/thickness greater than a DFB grating depth/thickness (0116).
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 second lattice being thicker than the first lattice to improve coupling strength and reflectivity of DBR grating, causing light to return more efficiently to the laser (Meyer 0116).
Modified Kim does not disclose an ohmic contact layer on the upper clad layer of the DFB region.
Song discloses a semiconductor laser with an ohmic contact layer on an upper clad layer and below an upper electrode (fig. 7F ohmic contact 107 on upper clad 106 and below upper electrode 109, 0043-0045).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have an ohmic contact layer on the upper clad layer of the DFB region to reduce electrical resistance between electrode and upper clad layer.
Regarding claim 2, modified Kim discloses the distributed reflector laser diode of claim 1, further comprising a lower spacer layer provided between the active layer and the substrate (lower spacer layer 122 between 124 and 100, 0060).
Regarding claim 3, modified Kim discloses the distributed reflector laser diode of claim 2, further comprising a lower clad layer provided between the lower spacer layer and the substrate (lower clad 110 between 122 and 100, 0060).
Regarding claim 5, modified Kim discloses the distributed reflector laser diode of claim 2, further comprising an upper spacer layer provided between the first lattice and the active layer (upper spacer layer 126 between 145 and 124).
Regarding claim 6, modified Kim discloses the distributed reflector laser diode of claim 5, wherein the upper spacer layer has the same thickness as that of the lower spacer layer (126 same thickness as 122).
Regarding claim 8, modified Kim discloses the distributed reflector laser diode of claim 1, wherein the active layer includes a multi quantum well (MQW) active layer (0064, “multi-quantum well”).
Claim(s) 7 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim in view of Meyer, Song, and Funabashi (US-20020031152-A1).
Regarding claim 7, modified Kim discloses the distributed reflector laser diode of claim 5, wherein the upper clad layer include indium phosphide (InP) (140 InP, 0052).
Modified Kim does not disclose wherein the lower spacer layer and the upper spacer layer each include InP.
Funabashi discloses a DFB laser device with a lower InP spacer layer and an upper InP spacer layer surrounding an active layer (figs. 5-6 InP spacer layers 45B and 48 immediately below and above active layer 46, w/ InP cladding layer 52, 0094).
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 lower spacer layer and the upper spacer layer each include InP to provide improved thermal conductivity in spacer/barrier layers while confining carriers.
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim in view of Meyer, Song, and Chen (US-20210288469-A1).
Regarding claim 9, modified Kim discloses the distributed reflector laser diode of claim 1, wherein the upper clad layer includes a first trench between the DFB region and the DBR region (140 includes trench to left of 170 between region A and region C).
Modified Kim does not disclose a second trench on an outer periphery of the heater layer.
Chen discloses a DBR laser with trenches on either side/along an outer periphery of a heater (figs. 5a-c + 6a-b first and second trench portions and first heater, Abstract, 0010).
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 second trench on an outer periphery of the heater layer to help confine heat to the regions directly underneath/adjacent to the heater and reduce unwanted heating/heat spread to other areas of device, increasing efficiency.
Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim in view of Meyer, Song, Chen, and Shibata (US-20150117482-A1).
Regarding claim 10, modified Kim discloses the distributed reflector laser diode of claim 9.
Modified Kim does not disclose wherein the substrate further includes a semiconductor optical amplifier region on one side of the DFB region facing the DBR region.
Claim interpreted to require SOA region on side of DFB region opposite DBR region (instant application figures show SOA 16 on side of DFB 12 opposite DBR 14).
Shibata discloses a wavelength tunable laser with a semiconductor optical amplifier region on one side of a DFB region facing a DBR region (fig. 2 SOA on side of DFB opposite DBR, 0029-0031).
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 substrate further includes a semiconductor optical amplifier region on one side of the DFB region facing the DBR region to provide additional control over the optical output intensity (Shibata 0029).
Claim(s) 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim in view of Hung (US-20200203925-A1).
Regarding claim 12, Kim discloses the distributed reflector laser diode of claim 11, with lattices placed in clad layers.
Kim does not disclose wherein the first lattice includes: a first lower lattice in the lower clad layer; and a first upper lattice in the upper clad layer.
Hung discloses a DFB laser with a first lower lattice below an active layer and a first upper lattice above the active layer (figs. 13-14, first lower grating layer 330 below active layer 310, first upper grating layer 320 above 310, 0064).
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 first lattice includes: a first lower lattice in the lower clad layer; and a first upper lattice in the upper clad layer to further control grating coupling strength and improve single-mode operation and wavelength stability by creating phase-shifted grating with combined first lower and upper gratings (Hung 0002, 0050).
Claim(s) 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim in view of Hung and Funabashi/"Funabashi2" (US-20020101896-A1).
Regarding claim 13, modified Kim discloses the distributed reflector laser diode of claim 12.
Modified Kim does not disclose wherein the first lattice further includes a first intermediate lattice in the active layer between the first lower lattice and the first upper lattice.
Funabashi2 discloses a DFB laser with a diffraction grating formed in the laser’s MQW structure (figs. 1-3 grating 18 formed in MQW structure 16, 0024-0027).
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 first lattice further includes a first intermediate lattice in the active layer between the first lower lattice and the first upper lattice to provide the active layer with a periodic spatial structure, improving gain coupling, single mode operation/wavelength stability (Funabashi2 0004-0009, 0015).
Claim(s) 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kim in view of Hung, Funabashi2, and Clayton (US-20220311206-A1).
Regarding claim 14, modified Kim discloses the distributed reflector laser diode of claim 13.
Modified Kim does not disclose wherein the second lattice includes: a second lower lattice adjacent to the first lower lattice; a second intermediate lattice provided on the second lower lattice and adjacent to the first intermediate lattice; and a second upper lattice provided on the second intermediate lattice and adjacent to the first upper lattice.
Clayton discloses DBR grating layers identical to and vertically aligned with corresponding DFB layers (fig. 11, DBR region grating w/ grooves/trenches has layers identical to and vertically aligned with DFB region layers to left of DBR region, 0080).
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 second lattice includes: a second lower lattice adjacent to the first lower lattice; a second intermediate lattice provided on the second lower lattice and adjacent to the first intermediate lattice; and a second upper lattice provided on the second intermediate lattice and adjacent to the first upper lattice (i.e. give second lattice same layout as first lattice) to simplify design/construction process for device and improve alignment accuracy + predictability during operation (Clayton Abstract).
Both first and second lattices are discontinuous after this modification.
Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kobayashi (US-20150357792-A1) in view of Ungar (US-4856017-A) and Kwon (US-20180205199-A1) .
Regarding claim 16, Kobayashi discloses a method for manufacturing a distributed reflector laser diode (figs. 1-3), the method comprising: sequentially forming a lower clad layer (lower clad layer (non-substrate portion of 102), 0050), a lower spacer layer (103a (bottom of the three 103 layers), 0033), an active layer (103b, middle 103 layer), an upper spacer layer (103c (top 103 layer) +104), a first lattice layer (105), and a first cap layer (106) on a substrate (non-clad portion of 102) including a distributed feed-back (DFB) region and a distributed Bragg reflection (DBR) region contacting the DFB region (DFB region 110 and DBR region 120 physically contacting 110, 0031); exposing the lower spacer layer by removing the active layer, the upper spacer layer, the first lattice layer, and the first cap layer from the DBR region (fig. 3b expose 103a (bottom) by removing 103b (middle), 103c (top)+104, 105, 106 from 120); forming a first lattice by partially removing the first cap layer, the upper spacer layer, and the first lattice layer of the DFB region (first lattice formed by partially removing 106, 103c+104, and 105 of region 110); forming an upper clad layer on the first lattice and a second lattice (fig. 3d upper clad S formed on first lattice and a second lattice (similar structure in 120 DBR region (103,104,105 and 106 combo make grating)), S same material as 104, 0035, 0057); forming an contact layer and an upper electrode on the upper clad layer of the DFB region (contact layer and upper electrode 107 formed on 106 of region 110, 0038).
def. on –
used as a function word to indicate position in or in contact with an outer surface (Merriam-Webster def. b)
used as a function word to indicate position in close proximity with (Merriam-Webster def. c)
Kobayashi does not disclose forming the second lattice by partially removing the lower clad layer of the DBR region.
Ungar discloses a semiconductor laser with a diffraction grating that extends into a lower cladding layer (fig. 1 laser with grating 25 extends into lower cladding 13, col. 4 lines 5-25).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have formed the second lattice by partially removing the lower clad layer of the DBR region (i.e. extend DBR grating into lower clad layer) to reduce sensitivity to etch residue (if etch is stopped at lower spacer layer 103a then residue could collect in groove at level of 103 and more strongly impact optical characteristics than if the residue was located further from 103 and in the lower clad layer).
Modified Kobayashi does not disclose and forming an insulating layer and a heater layer on the upper clad layer of the DBR region, and the contact layer being an Ohmic contact layer.
Kwon discloses a distributed Bragg reflector laser diode with an insulating layer and a heater layer on the upper clad layer of a DBR region (fig. 15 insulating layer 50 and heater layer 76 on upper clad 40 in DBR region 106, 0003, 0043-0044, 0051), and forming an Ohmic contact layer on an upper clad of a gain section (ohmic contact 62 on 40 within gain section 102, 0045, 0048).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have an insulating layer and a heater layer on the upper clad layer of the DBR region to allow for wavelength tuning of DBR while maintaining appropriate electrical insulation (Kwon 0051), and the contact layer being an Ohmic contact layer to reduce electrical resistance between electrode and upper clad layer.
Claim(s) 17-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kobayashi in view of Ungar, Kwon, and Park (US-20110090932-A1).
Regarding claim 17, modified Kobayashi discloses the method of claim 16, wherein the first lattice is formed through an etching process in which a first hard mask film is used as an etching mask (figs. 2a-b 105 in region 110 formed through etching process with first hard mask film M1, 0051-0053).
Modified Kobayashi does not disclose a first photoresist pattern is used.
Park discloses a distributed feedback laser device with a hard mask film and photoresist pattern used to create a diffraction grating (figs. 2b-d hard mask film 116 and photoresist pattern 118, 0091-0094).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use a first photoresist pattern to form the first lattice to allow for precise fabrication of mask M1 and lattice and flexibility in design without having to form small mask pieces. Also easier to mass produce if same photoresist pattern used for each device.
Regarding claim 18, modified Kobayashi discloses the method of claim 17, further comprising forming a second hard mask film on the first photoresist pattern and the first hard mask film of the DFB region (figs. 2a-c second hard mask film M2 on M1 photoresist and M1, 0053). See annotated fig. 2d.
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424
1215
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Annotated fig. 2D (M1 photoresist layer only present directly above M1 segments)
Regarding claim 19, modified Kobayashi discloses the method of claim 18, wherein the second lattice is formed through an etching process using the first photoresist pattern, the first hard mask film, and the second hard mask film as an etching mask (105 in region 120 formed by etching using M1 photoresist, M1, and M2, 0055).
Modified Kobayashi does not disclose etching into the lower clad layer.
Ungar discloses a semiconductor laser with a diffraction grating that extends into a lower cladding layer (fig. 1 laser with grating 25 extends into lower cladding 13, col. 4 lines 5-25).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have etched into the lower clad layer (i.e. extend DBR grating into lower clad layer) to reduce sensitivity to etch residue (if etch is stopped at lower spacer layer 103a then residue could collect in groove at level of 103 and more strongly impact optical characteristics than if the residue was located further from 103 and in the lower clad layer).
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399
1203
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Annotated fig. 3B (M1 photoresist layer only present directly above M1 segments)
Regarding claim 20, modified Kobayashi discloses the method of claim 19, further comprising forming a lower electrode on a lower surface of the substrate (fig. 1 lower electrode 101 on lower surface of 102, 0030).
Allowable Subject Matter
Claim 4, 15 objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
Claim 15 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.
The following is a statement of reasons for the indication of allowable subject matter:
Claim 4: Prior art of record does not disclose the lower clad layer has the same thickness as that of the second lattice when considered in conjunction with the limitations of claims 1-3.
Claim 15: Prior art of record does not disclose simultaneously having discontinuous DFB first lattice components and continuous DBR second lattice components.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Debregeas US-20250047068-A1
Matsuda US-20120002285-A1
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/A.E./Examiner, Art Unit 2828 /MINSUN O HARVEY/Supervisory Patent Examiner, Art Unit 2828
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