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 .
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 10 is 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 10 recites the limitations "the current spreading layer under the first DBR" and “the current spreading layer under the third DBR” in lines 2-3. There is insufficient antecedent basis for these limitations in the claim as the presence of the layer under both the stated DBRs has not previously been concretely established.
For purposes of examination, the limitations will be read as "a portion of the current spreading layer under the first DBR" and “a portion of the current spreading layer under the third DBR”.
Claim Rejections - 35 USC § 102
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 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) 1-2, 4-6, 9-10, 12 and 14-15 is/are rejected under 35 U.S.C. 102a1/2 as being anticipated by Dummer et al. (US 2020/0278426).
With respect to claim 1, Dummer discloses a system (fig.26), comprising: a first bottom surface emitting vertical cavity surface emitting laser (BSE VCSEL) (fig.26 right side VCSEL [0127]) comprising: a substrate operable to output a light signal from a bottom side (fig.26 lowest layer, labeled in fig.12, [0127]), a first contact (fig.26 n-contact), a first distributed Bragg reflector (DBR) (fig.26 n-DBR) operably coupled to a top side of the substrate and the first contact ([0127-128]), a first aperture directly coupled to a top side of the first DBR (fig.26 tunnel junction + oxide aperture- labeled in fig.22), wherein the first aperture is lithographically defined (this is considered a product-by-process term wherein patentability is based on the product, see MPEP 2113; here there is no understood limitation imparted via an aperture which is formed via lithography and the tj + ox ap are understood to read on this limitation), a first active region directly coupled to a top side of the first aperture (fig.26 MQW active + spacers, [0127]), a second DBR (fig.26 top DBR, [0127]) operably coupled to a top side of the first active region, and a second contact directly coupled to a top side of the second DBR (fig.26 contact on very top, labeled in fig.22).
With respect to claim 2, Dummer discloses the substrate is semi-insulating ([0127] based on using undoped GaAs and no bounds on semi-insulating being stated).
With respect to claim 4, Dummer discloses the substrate is covered by a current spreading layer on the top side ([0127-128] doped buffer).
With respect to claim 7, Dummer discloses the first contact is an n contact, and the second contact is an n contact ([0127]).
With respect to claim 9, Dummer discloses the system comprises a second BSE VCSEL (fig.26 left side VCSEL) comprising: a third contact operably coupled to a top side of the substrate (fig.26 n-contact), a third DBR operably coupled to the top side of the substrate (fig.26 n-DBR), a second aperture directly coupled to a top side of the third DBR (fig.26 tj+ox ap), a second active region directly coupled to a top side of the second aperture (fig.26 MQW active + spacers), a fourth DBR (fig.26 top DBR) operably coupled to a top side of the second active region, and a fourth contact directly coupled to a top side of the fourth DBR (fig.26 contact at very top).
With respect to claim 10, Dummer discloses the substrate is covered by a current spreading layer on the top side ([0127-128]), and wherein the current spreading layer under the first DBR is separated from the current spreading layer under the third DBR (note 112b above, a portion of the current spreading layer is found under the left VCSEL and the right VCSEL and the two portions are separated by a central portion between the emitters).
With respect to claim 12, Dummer discloses the first contact is directly coupled to a top side of the first DBR (fig.26 top right).
With respect to claim 14, Dummer discloses the aperture is defined, via a tunnel junction, for gain guiding (fig.26 tj, controls current path and size of MQW which is stimulated thereby gain guiding).
With respect to claim 15, Dummer discloses the aperture is defined, via an index step, for index guiding (fig.26 both the tj and ox aps have index differences from the remainder of the device thereby providing a step effect, while the central region of the ox aperture has a higher index than the oxidized material at sides thereby providing a step and guiding effect).
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.
Claim(s) 5-6 and 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer.
With respect to claim 5, Dummer teaches the device outlined above, including the first contact to be n type (fig.26 lower) but does not teach the second contact is a p contact. Dummer further teaches an additional device (fig.33) wherein a first contact is n and second is p ([0142-143]). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to adapt the upper contact and DBR of fig.26 of Dummer to be p in order to enable coupling to other elements in an integrated manner as well as allow for alternate dopant usage and processing.
With respect to claim 6, Dummer teaches the first DBR is an n DBR (fig.26 bottom), but does not teach the second DBR is a p DBR. Dummer further teaches an additional device (fig.33) wherein a first dbr is n and second dbr is p ([0142-143]). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to adapt the upper contact and DBR of fig.26 of Dummer to be p in order to enable coupling to other elements in an integrated manner as well as allow for alternate dopant usage and processing.
With respect to claim 11, Dummer teaches the device outlined above, but does not teach the first BSE VCSEL comprises a plurality of active regions, the plurality of active regions comprise the first active region, and the plurality of active regions are separated by a tunnel junction. Dummer teaches another embodiment (fig.27) wherein a plurality of active regions (fig.27 MQW actives) are used and are separated by a tunnel junction (fig.27 tunnel junction on top). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to adapt the embodiment of fig.26 to make use of the multiple active regions separated by a tj as shown in fig.27 in order to improve the performance ([0111]).
Claim(s) 3 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Kamiyama et al. (US 2007/0249109).
With respect to claim 3, Dummer teaches the device outlined above, but does not teach the substrate is covered by an anti-reflective coating on the bottom side. Kamiyama teaches a related bottom emitting VCSEL (fig.9) which includes an AR coat beneath the substrate (fig.9 #719, [0066]). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to make use of an AR coat beneath the substrate of Dummer as demonstrated by Kamiyama in order to reduce reflections at the air/semiconductor interface and avoid forming another resonator (Kamiyama, [0066]).
Claim(s) 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Wong et al. (US 2018/0241177).
With respect to claim 8, Dummer teaches the device outlined above, including the first DBR is an n DBR (fig.26 lower) and the second DBR is an n DBR ([0127]), but does not teach the first BSE VCSEL comprises a tunnel junction above the first active region, and the second DBR directly coupled to the tunnel junction. Wong teaches a dual n dbr VCSEL (fig.3) which includes a tj (fig.3 #49) above the active (fig.3 #48) and the second n dbr (fig.3 #50) directly atop the tj. It would have been obvious to one of ordinary skill in the art before the filing of the instant application to make use of a tj above the active and directly coupled to the top dbr in Dummer as demonstrated by Wong in order to control the flow of current on both sides of the active and utilize a compact device.
Claim(s) 13 and 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Kondo et al. (US 8731012).
With respect to claim 13, Dummer teaches the device outlined above, but does not teach a shape of the aperture is one of a circle and a polygon OR the aperture to be greater than 0.5um. Kondo teaches a related VCSEL using a tunnel junction (fig.8 #124) and the tunnel junction to function as an aperture with diameter Do2 denoted in figure 1 as a circle and of a diameter of greater than 0.5um (col.4 lines 39-41). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to adapt the device of Dummer to make use of a tj in the shape of a circle with a diameter greater than 0.5um as demonstrated by Kondo in order to control the size and shape of the current flowing through the active region.
Claim(s) 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dummer in view of Kaneko (US 2003/0016713).
With respect to claim 17, Dummer teaches the device outlined above, but does not teach the first contact is planarized through a via, and the first BSE VCSEL comprises a passivation layer that isolates the first contact from the second contact. Kaneko teaches a related bottom emitting VCSEL (fig.1) which includes a first contact (fig.1 #115) which is planarized through a via (fig.1 #114) and which is isolated from the second contact (fig.1 #113) by a passivation layer (fig.1 #112). It would have been obvious to one of ordinary skill in the art before the filing of the instant application to adapt the first contact of Dummer to planarize the contact through a via and isolate the first and second contact using a passivation layer as demonstrated by Kaneko to facilitate an easier connection for flip-chip bonding using bumps (Kaneko, [0072]).
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Please see the include pto892 form for a list of related art.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to TOD THOMAS VAN ROY whose telephone number is (571)272-8447. The examiner can normally be reached M-F: 8AM-430PM.
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/TOD T VAN ROY/Primary Examiner, Art Unit 2828
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