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 .
Information Disclosure Statement
The information disclosure statement (IDS) submitted on November 29th, 2023, was filed prior to the mailing date of the first office action on the merits. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner.
Drawings
The drawings are objected to under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the “given structure” in lines 4 and 5 of Claim 1 and line 11 of Claim 9 must be shown or the feature canceled from the claim. No new matter should be entered.
Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
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 1-11 are 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 "given structure" in lines 4 and 5. It is unclear if the “given structure” refers to the “cleaved semiconductor structure” defined in line 1 or a separate structure. For the purpose of examination the limitation “given structure” will be interpreted to be the same feature as the “cleaved semiconductor structure”.
Claim 9 recites the limitation "given structure" in line 11. It is unclear if the “given structure” refers to the “cleaved semiconductor structure” defined in line 1 or a separate structure. Additionally, there is insufficient antecedent basis for this limitation in the claim. For the purpose of examination, the limitation “given structure” will be interpreted to be the same feature as the “cleaved semiconductor structure”. Additionally, there is is insufficient antecedent basis for this limitation in the claim.
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.
Claims 1, 6-7, and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Ohki et al. (2018/0316156 A1; hereinafter Ohki).
Rejection Note: Italicized claim limitations indicate that the corresponding limitations are addressed with a secondary reference/embodiment in an obviousness analysis.
Regarding Claim 1, Ohki (fig. 1) teaches a method of passivating a cleaved semiconductor structure for utilization as an edge-emitting laser device ([0027]-[0030]), the method comprising:
providing an enclosure ([0020], 100) having a first chamber and a second chamber ([0020], 101) [], a transfer arm to receive and transfer a given structure from the first chamber to the second chamber, and
a fixture ([0025], tray fitted to plate 31) to mount the given structure ([0025], BE) thereon in the second chamber (101), and with each of the first chamber and the second chamber (101) adapted to provide vacuum condition ([0020], 101 is held in a vacuum state) inside thereof ;
loading the cleaved semiconductor structure defining a first facet, in the first chamber, onto the transfer arm therein;
transferring the cleaved semiconductor structure from the first chamber to the second chamber using the transfer arm, to have the cleaved semiconductor structure mounted onto the fixture in the second chamber;
exposing the first facet ([0027], BE1) of the cleaved semiconductor structure (BE) in the second chamber (101) to a cleaning beam ([0033], P1) from a cleaning source ([0033], gas and microwaves used for the cleaning process) opposing the first facet (BE1) by manipulating ([0025], 32 rotates BE to 10) the fixture (tray fitted to 31) therein, to remove a possible native oxide layer ([0033], natural oxide film is removed) formed on the first facet (BE1) of the cleaved semiconductor structure (BE);
exposing the first facet (BE1) of the cleaved semiconductor structure (BE) in the second chamber (101) to heat energy ([0090], temperature holding process) from a heating source ([0089], lamp heating device) opposing the first facet (BE1) by manipulating the fixture (tray fitted to 31) therein, to heat the first facet (BE1) of the cleaved semiconductor structure (BE); and
exposing the first facet (BE1) of the cleaved semiconductor structure (BE) in the second chamber (101) to an oxidation agent ([0037], P2) from an oxidizing source ([0037], oxygen gas and microwaves) opposing the first facet (BE1) by manipulating ([0025], 32 rotates BE to 20) the fixture (30) therein, to form an ordered oxide layer ([0038], [0062], RC1 may be a thin oxide layer) on the first facet (BE1) of the cleaved semiconductor structure (BE).
Ohki doesn’t teach providing an enclosure having a first chamber and a second chamber and a transfer arm to receive and transfer a given structure from the first chamber to the second chamber and each of the first and second chamber adapted to provide vacuum condition inside thereof and loading the cleaved semiconductor structure defining a first facet, in the first chamber, onto the transfer arm therein; transferring the cleaved semiconductor structure from the first chamber to the second chamber using the transfer arm, to have the cleaved semiconductor structure mounted onto the fixture in the second chamber.
However, Ohki (fig. 6) teaches providing an enclosure ([0101], 40, 60, 70) having a first chamber (40) and a second chamber (60, 70) and a transfer arm ([0099], transport mechanism in 50) to receive and transfer a given structure ([0101], bar element) from the first chamber (40) to the second chamber (60, 70) and each of the first (40) and second chamber (60, 70) adapted to provide vacuum condition ([0101], formed without being exposed to atmosphere) inside thereof and loading the cleaved semiconductor structure (diode lasers) defining a first facet ([0101], facet of the bar element), in the first chamber (40), onto the transfer arm (transport mechanism in 50) therein; transferring the cleaved semiconductor structure (bar element) from the first chamber (40) to the second chamber (60, 70) using the transfer arm (transport mechanism in 50), to have the cleaved semiconductor structure (bar element) mounted onto the fixture in the second chamber (60, 70). Ohki also teaches that the first chamber is used to introduce a bar element into the treatment apparatus without exposing the bar element to atmosphere ([0099]).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the first embodiment of Ohki to include the first chamber and transport system of the second embodiment of Ohki to introduce a bar element into the treatment apparatus.
Regarding Claim 6, Ohki (fig. 1) teaches the method according to claim 1, wherein the oxidation agent comprises at least one of: molecular oxygen ([0037], O2 gas), oxygen plasma, ozone, NOx, CO.
Regarding Claim 7, the two embodiments of Ohki (figs. 1 and 6) teaches the method according to claim 1, wherein a plurality of cleaved semiconductor structures ([0027], BE has a plurality of elements E. see fig. 2) are loaded in the first chamber (40, see fig. 6), being stacked on top of each other at respective side facets ([0027], facet of E connected to each other in one direction) thereof, with the first facet (BE1) being orthogonal (see fig. 2) to the corresponding side facet (facet of E connected to each other) in the respective cleaved semiconductor structure (BE), and wherein the method further comprises manipulating the fixture (tray fitted to 31) in the second chamber (101) to expose the first facet (BE1) of each of the cleaved semiconductor structure (E in BE) of the plurality of cleaved semiconductor structures (BE) to one or more of the cleaning beam from the cleaning source, the heat beam from the heating source and the oxidation agent from the oxidizing source ([0025], 32 rotates BE to 10 and 20 covering each of E in BE, see fig. 2).
Regarding Claim 9, Ohki (fig. 1) teaches a system for passivating a cleaved semiconductor structure for utilization as an edge-emitting laser ([0027]-[0030]), the system comprising:
an enclosure ([0020], 100) having a first chamber and a second chamber ([0020], 101);
a pump ([0020], gas discharge port in 101) configured to generate vacuum condition inside each of the first chamber and the second chamber (101);
a cleaning source ([0033], gas and microwaves used for the cleaning process) mounted in the second chamber (101);
an oxidizing source ([0037], oxygen gas and microwaves) mounted in the second chamber (101);
a heating source ([0089], lamp heating device) mounted in the second chamber (101);
a transfer arm configured to receive and transfer the cleaved semiconductor structure, defining a first facet, from the first chamber to the second chamber; and
a fixture ([0025], tray fitted to plate 31) configured to mount the given structure (BE) thereon in the second chamber (101), wherein the fixture (tray fitted to 31) is configured to be manipulated ([0025], 32 rotates BE between 10 and 20) to:
expose the first facet (BE1) of the cleaved semiconductor structure (BE) in the second chamber (101) to a cleaning beam ([0033], P1) from a cleaning source ([0033], gas and microwaves used for the cleaning process), by disposing the first facet (BE1) opposing the cleaning source,
expose the first facet (BE1) of the cleaved semiconductor structure (BE) in the second chamber (101) to heat energy ([0090], temperature holding process) from a heating source ([0089], lamp heating device), by disposing the first facet (BE1) opposing the heating source, and
expose the first facet (BE1) of the cleaved semiconductor structure (BE) in the second chamber (101) to an oxidation agent ([0037], P2) from an oxidizing source ([0037], oxygen gas and microwaves), by disposing the first facet (BE1) opposing the oxidizing source.
Ohki doesn’t teach an enclosure having a first chamber and a second chamber and vacuum condition inside each of the first chamber and the second chamber and a transfer arm configured to receive and transfer the cleaved semiconductor structure, defining a first facet, from the first chamber to the second chamber.
However, Ohki (fig. 6) teaches an enclosure ([0101], 40, 60, 70) having a first chamber (40) and a second chamber (60, 70) and vacuum condition ([0101], formed without being exposed to atmosphere) inside each of the first chamber (40) and the second chamber (60, 70) and a transfer arm ([0099], transport mechanism in 50) configured to receive and transfer the cleaved semiconductor structure ([0101], bar element), defining a first facet (BE1), from the first chamber (40) to the second chamber (60, 70). Ohki also teaches that the first chamber is used to introduce a bar element into the treatment apparatus without exposing the bar element to atmosphere ([0099]).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the first embodiment of Ohki to include the first chamber and transport system of the second embodiment of Ohki to introduce a bar element into the treatment apparatus.
Claim 2 is rejected under 35 U.S.C. 103 as being unpatentable over Ohki as applied to Claim 1 above, and further in view of Jiang et al. (2018/0108587 A1; hereinafter Jiang).
Regarding Claim 2, Ohki doesn’t teach the method according to claim 1 further comprising, prior to exposing the first facet to the oxidation agent from the oxidizing source, exposing the first facet of the cleaved semiconductor structure in the second chamber to group III atoms from a deposition source opposing the first facet by manipulating the fixture therein, to deposit the group III atoms on the first facet of the cleaved semiconductor structure.
However, Jiang (fig. 1) teaches prior to exposing the first facet ([0023], top of 116) to the oxidation agent from the oxidizing source ([0053], forming metallic oxide), exposing the first facet (top of 116) of the cleaved semiconductor structure (116) in the second chamber ([0022], 103) to group III atoms ([0041], metal precursor like TMA) from a deposition source ([0022], 108) opposing the first facet (top of 116) by manipulating the fixture ([0022], 104) therein, to deposit the group III atoms (metal precursor like TMA) on the first facet (top of 116) of the cleaved semiconductor structure (116). Jiang also teaches that a metal containing precursor enhances the passivation of the semiconductor surface ([0042]).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the method of Ohki to include the group III deposition source of Jiang to enhance the passivation of the surface.
Claim 3 is rejected under 35 U.S.C. 103 as being unpatentable over Ohki as applied to Claim 1 above, and further in view of Jakubowicz (10418781 B1; hereinafter Jakubowicz).
Regarding Claim 3, Ohki doesn’t teach the method according to claim 1 further comprising, depositing a layer of at least one of Si, a-Si:H, SiO2, SiNx, over the ordered oxide formed on the first facet of the cleaved semiconductor structure.
However, Jakubowicz (fig. 2) teaches depositing a layer (Col. 7, Lines 60-63; 36 may be silicon nitride) of at least one of Si, a-Si:H, SiO2, SiNx, over the ordered oxide layer (Col. 7, Lines 1-60; 32, 34) formed on the first facet (Col. 6, Lines 49-50; 12) of the cleaved semiconductor structure (Col. 6, Line 49; 10). Jakubowicz also teaches that the silicon nitride layer acts as a protective layer for the oxide layers underneath (Col. 7, Lines 60-63).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the method of Ohki to include the silicon nitride layer of Jakubowicz to protect the oxide layer underneath.
Claims 4 and 8 are rejected under 35 U.S.C. 103 as being unpatentable over Ohki as applied to Claim 1 above, and further in view of Charache et al. (2006/0216842 A1; hereinafter Charache).
Regarding Claim 4, Ohki doesn’t explicitly teach the method according to claim 1, wherein the cleaning beam comprises at least one of: atomic beam of hydrogen, argon, xenon, or mixture thereof, ion beam comprising ionized noble gases and/or nitrogen.
However, Charache (fig. 14) teaches the cleaning beam ([0065], 40) comprises at least one of: atomic beam of hydrogen, argon, xenon, or mixture thereof, ion beam comprising ionized noble gases and/or nitrogen ([0065], ion beam of argon, neon, nitrogen, and hydrogen). One of ordinary skill in the art could have substituted the ion beam of Charache for the cleaning method of Ohki and yielded the predictable results of cleaning the facet of a laser.
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to substitute the ion beam of Charache for the cleaning method of Ohki, since simple substitution of cleaning methods for another is an appropriate rationale to support a rejection under 35 U.S.C. 103. KSR International Co. v. Teleflex Inc., 550 U.S. 398, 82 USPQ2d 1385 (2007).
Regarding Claim 8, Ohki (fig. 1) teaches the method according to claim 1, wherein the cleaved semiconductor structure (BE) further defines a second facet ([0027], BE2) therein, and wherein the method further comprises manipulating ([0025], 32 rotates BE between 10 and 20) the fixture (tray fitted to 31) in the second chamber (101) to expose the second facet (BE2) of the cleaved semiconductor structure (BE) to one or more of the cleaning beam from the cleaning source, the heat beam from the heating source and the oxidation agent from the oxidizing source ([0025], 32 rotates BE to 10 and 20 covering each of BE1 and BE2 in BE, see fig. 2) in the second chamber (101). Ohki doesn’t explicitly teach exposing the second facet without removing the semiconductor structure from the enclosure.
However, Charache (fig. 14) teaches exposing the second facet ([0069], 15) without removing the semiconductor structure ([0069], 100) from the enclosure ([0067], 36). Charache also teaches that this avoids exposing the diode laser to atmosphere between steps ([0014]-[0015]).
Claims 5 and 10 are rejected under 35 U.S.C. 103 as being unpatentable over Ohki as applied to Claim 1 and 9 above, and further in view of Verhaverbeke et al. (2007/0093071 A1; hereinafter Verhaverbeke).
Regarding Claim 5, Ohki doesn’t teach the method according to claim 1, wherein the heat beam provided by the heating source is at least one of: laser irradiation, infrared radiation.
However, Verhaverbeke (fig. 4) teaches the heat beam provided by the heating source ([0053], 420) is at least one of: laser irradiation, infrared radiation ([0053], infrared lamps). One of ordinary skill in the art could have substituted the infrared lamp of Verhaverbeke for the lamp of Ohki and yielded the predictable results of heating a semiconductor.
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to substitute the infrared lamp of Verhaverbeke for the lamp of Ohki, since simple substitution of heating sources for another is an appropriate rationale to support a rejection under 35 U.S.C. 103. KSR International Co. v. Teleflex Inc., 550 U.S. 398, 82 USPQ2d 1385 (2007).
Regarding Claim 10, Ohki doesn’t teach the system according to claim 9, wherein the heating source comprises at least one of: a laser, an infrared lamp.
However, Verhaverbeke (fig. 4) teaches the heating source ([0053], 420) comprises at least one of: a laser, an infrared lamp ([0053], infrared lamps). One of ordinary skill in the art could have substituted the infrared lamp of Verhaverbeke for the lamp of Ohki and yielded the predictable results of heating a semiconductor.
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to substitute the infrared lamp of Verhaverbeke for the lamp of Ohki, since simple substitution of heating sources for another is an appropriate rationale to support a rejection under 35 U.S.C. 103. KSR International Co. v. Teleflex Inc., 550 U.S. 398, 82 USPQ2d 1385 (2007).
Claim 11 is rejected under 35 U.S.C. 103 as being unpatentable over Ohki as applied to Claim 1 above, and further in view of Terashima et al. (6069021 B1; hereinafter Terashima).
Regarding Claim 11, Ohki (fig. 1) teaches an edge-emitting laser device ([0030], LE) formed by a method of claim 1 the edge-emitting laser (LE) comprising:
a cleaved semiconductor structure ([0027], E) having a multi-quantum well structure ([0103], quantum well layer) configured to generate light at a designated wavelength ([0103], 850 nm to 1070 nm); and
at least one facet ([0027], BE1) defined by cleaving of the semiconductor structure (E) along a crystalline direction thereof, the at least one facet (BE1) comprising the ordered oxide layer ([0038], [0062], RC1 may be a thin oxide layer) formed thereon.
Ohki doesn’t teach one facet defined by cleaving of the semiconductor structure, along a crystalline direction thereof.
However, Terashima teaches one facet (Col. 2, Line 17; optical resonance facet) defined by cleaving of the semiconductor structure (Col. 2, Lines 10-18; silicon), along a crystalline direction thereof (Col. 2, Lines 10-18). Terashima also teaches that utilizing specific cleavage directions forms smooth optical resonance facets (Col. 2, Lines 10-18).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to combine the device of Ohki to include the cleaving direction of Terashima to form smooth facets.
Conclusion
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/A.H./Examiner, Art Unit 2817
/Kretelia Graham/Supervisory Patent Examiner, Art Unit 2817 February 25, 2026