DETAILED ACTION
Claims 1 through 15 originally filed 8 January 2024. Claims 1 through 15 are addressed by this 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 .
Drawings
The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5).
The description includes the reference characters "103c" and "103d" which do not appear in the drawings. Reference characters mentioned in the description must appear in the drawings.
In the present case, these reference characters or similar numbers appear in the following locations: "103c" is mentioned in ¶100, ¶101, and ¶102 and "103d" is mentioned in ¶100, ¶101, and ¶102.
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.
Claim 12 rejected under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, 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.
Regarding claim 12, this claim requires "Wherein the DBR is a dielectric DBR formed of a dielectric or a semiconductor DBR formed of a semiconductor." However, parent claim 11 introduces two different "DBR" elements. Since parent claim 11 introduces two different "DBR" elements, it is uncertain which of the two "DBR" elements is being referred to in the use of the term "the DBR". As such, this claim is 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. For the remainder of this action, this claim will be interpreted as meaning that at least one of the "DBR" elements must exhibit the claimed requirement.
The following is a quotation of 35 U.S.C. 112(d):
(d) REFERENCE IN DEPENDENT FORMS.—Subject to subsection (e), a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.
The following is a quotation of pre-AIA 35 U.S.C. 112, fourth paragraph:
Subject to the following paragraph [i.e., the fifth paragraph of pre-AIA 35 U.S.C. 112], a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.
Claim 13 rejected under 35 U.S.C. 112(d) or pre-AIA 35 U.S.C. 112, 4th paragraph, as being of improper dependent form for failing to further limit the subject matter of the claim upon which it depends, or for failing to include all the limitations of the claim upon which it depends.
Regarding claim 13, this claim requires "Wherein laser light is transmitted through the first mirror or the second mirror and emitted." However, parent claim 1 already requires "[The second mirror] causes the light of a wavelength to be transmitted therethrough." The use of "or" in the present claim causes the present claim to introduce a configuration in which light is only transmitted through the first mirror. Introduction of this configuration conflicts with parent claim 1 because parent claim 1 already requires a different configuration. As such, this claim is of improper dependent form for failing to include all the limitations of the claim upon which it depends.
Applicant may cancel the claim(s), amend the claim(s) to place the claim(s) in proper dependent form, rewrite the claim(s) in independent form, or present a sufficient showing that the dependent claim(s) complies with the statutory requirements.
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 through 3, 6, and 8 through 15 are rejected under 35 U.S.C. 103 as being unpatentable over Ueki et al. (Ueki, US Pub. 2006/0227835), in view of Aldaz et al. (Aldaz, US Pub. 2003/0169797), and further in view of Park et al. (Park, US Pub. 2002/0105988).
Regarding claim 1, Ueki discloses, "A semiconductor layer that includes an active layer formed of a first material" (p. [0056] and Fig. 1, pt. 15). "A substrate that is bonded to the semiconductor layer" (p. [0057] and Figs. 1 and 3C, pts. 10 and 15). "[The substrate] is formed of a second material having bandgap energy higher than that of the first material" (p. [0044], [0056], and Fig. 1, pts. 10 and 15, where GaAs has a higher bandgap than the bandgap recited for the layers of the active region). "A first mirror that is provided on a side of the semiconductor layer opposite to the substrate" (p. [0044] and Fig. 1, pts. 15 and 17). "[The first mirror] reflects the light of a wavelength" (p. [0044] and Fig. 1, pt. 17). Ueki does not explicitly disclose, "[The substrate] causes light of a specific wavelength to be transmitted therethrough." "A second mirror that is provided on a side of the substrate opposite to the semiconductor layer." Aldaz discloses, "[The substrate] causes light of a specific wavelength to be transmitted therethrough" (p. [0040], [0053], [0060], and Fig. 5, pts. 152 and 178). "A second mirror that is provided on a side of the substrate opposite to the semiconductor layer" (p. [0053], [0060], and Fig. 5, pts. 152 and 158). 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 teachings of Ueki with the teachings of Aldaz. In view of the teachings of Ueki regarding a VCSEL device with a bonded substrate, the alternate construction of the cavity to include the substrate therein with a curved mirror provided thereon as taught by Aldaz would enhance the teachings of Ueki by allowing the cavity to be lengthened while also maintaining stable operation.
The combination of Ueki and Aldaz does not explicitly disclose, "[The second mirror] causes the light of a wavelength to be transmitted therethrough." Park discloses, "[The second mirror] causes the light of a wavelength to be transmitted therethrough" (p. [0047] and Fig. 13, pt. 100b). 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 teachings of the combination of Ueki and Aldaz with the teachings of Park. In view of the teachings of Ueki regarding a VCSEL device with a bonded substrate and the teachings of Aldaz regarding the inclusion of a curved mirror as one of the cavity mirrors, the alternate configuration of the resonator to emit light through the curved mirror as taught by Park would enhance the teachings of Ueki and Aldaz by providing a suitable emission facet for the laser device.
Regarding claim 2, Ueki discloses, "Wherein the second material is a material different from the first material in group V" (p. [0044], [0056], and Fig. 1, pts. 10 and 15).
Regarding claim 3, Ueki discloses, "Wherein the first material is AlGaAs, GaAs, InGaAs, InGaP, AlInGaP, AlGaInAs, or GaInAsP" (p. [0056] and Fig. 1, pt. 15).
Regarding claim 6, Ueki discloses, "Wherein an energy level difference between the first material and the second material is 100 meV or more" (p. [0044], [0056], and Fig. 1, pts. 10 and 15, where GaAs has a higher bandgap than the bandgap recited for the layers of the active region by more than 100meV).
Regarding claim 8, Ueki does not explicitly disclose, "Wherein the second mirror is a concave mirror whose surface on a side of the substrate is a concave surface." Aldaz discloses, "Wherein the second mirror is a concave mirror whose surface on a side of the substrate is a concave surface" (p. [0060] and Fig. 5, pts. 152 and 158, where the surface of mirror 158 that faces substrate 152 is concave). 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 teachings of Ueki with the teachings of Aldaz for the reasons provided above regarding claim 1.
Regarding claim 9, Ueki discloses, "Which has a current confinement structure formed by ion implantation, oxidation confinement, or a buried tunnel junction" (p. [0060] and Fig. 1, pts. 13a and 13b).
Regarding claim 10, Ueki discloses, "Wherein the semiconductor layer further includes a spacer layer located between the active layer and the substrate" (p. [0044] and Fig. 1, pts. 10, 14a, and 15).
The combination of Ueki, Aldaz, and Park does not explicitly disclose, "A thickness of the spacer layer is 10 nm or more and 1000 nm or less." It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to select a thickness for the spacer layer within the claimed range so as to establish the cavity length and the location of the active region within the cavity, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art. In re Aller, 105 USPQ 233.
Regarding claim 11, Ueki discloses, "Wherein the first mirror and the second mirror are each a DBR (Distributed Bragg Reflector), a metal mirror, or a diffraction grating" (p. [0044] and Fig. 1, pts. 11 and 17).
Regarding claim 12, Ueki discloses, "Wherein the DBR is a dielectric DBR formed of a dielectric or a semiconductor DBR formed of a semiconductor" (p. [0044] and Fig. 1, pts. 11 and 17).
Regarding claim 13, Ueki discloses, "Wherein laser light is transmitted through the first mirror or the second mirror and emitted" (p. [0061]).
Regarding claim 14, Ueki discloses, "A plurality of vertical cavity surface emitting laser devices is arrayed" (p. [0092]). "Each of the vertical cavity surface emitting laser device including a semiconductor layer" (p. [0056] and Fig. 1, pt. 15). "[The semiconductor layer] includes an active layer formed of a first material" (p. [0056] and Fig. 1, pt. 15). "A substrate that is bonded to the semiconductor layer" (p. [0057] and Figs. 1 and 3C, pts. 10 and 15). "[The substrate] is formed of a second material having bandgap energy higher than that of the first material" (p. [0044], [0056], and Fig. 1, pts. 10 and 15, where GaAs has a higher bandgap than the bandgap recited for the layers of the active region). "A first mirror that is provided on a side of the semiconductor layer opposite to the substrate" (p. [0044] and Fig. 1, pts. 15 and 17). "[The first mirror] reflects the light of a wavelength" (p. [0044] and Fig. 1, pt. 17). Ueki does not explicitly disclose, "[The substrate] causes light of a specific wavelength to be transmitted therethrough." "A second mirror that is provided on a side of the substrate opposite to the semiconductor layer." Aldaz discloses, "[The substrate] causes light of a specific wavelength to be transmitted therethrough" (p. [0040], [0053], [0060], and Fig. 5, pts. 152 and 178). "A second mirror that is provided on a side of the substrate opposite to the semiconductor layer" (p. [0053], [0060], and Fig. 5, pts. 152 and 158). 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 teachings of Ueki with the teachings of Aldaz for the reasons provided above regarding claim 1.
The combination of Ueki and Aldaz does not explicitly disclose, "[The second mirror] causes the light of a wavelength to be transmitted therethrough." Park discloses, "[The second mirror] causes the light of a wavelength to be transmitted therethrough" (p. [0047] and Fig. 13, pt. 100b). 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 teachings of the combination of Ueki and Aldaz with the teachings of Park for the reasons provided above regarding claim 1.
Regarding claim 15, Ueki discloses, "Bonding a semiconductor layer… and a substrate… to each other to form a structure including the semiconductor layer and the substrate" (p. [0057] and Figs. 1 and 3C, pts. 10 and 15). "[The semiconductor layer] includes an active layer formed of a first material" (p. [0056] and Fig. 1, pt. 15). "[The substrate] is formed of a second material having bandgap energy higher than that of the first material" (p. [0044], [0056], and Fig. 1, pts. 10 and 15, where GaAs has a higher bandgap than the bandgap recited for the layers of the active region). "A first mirror that is provided on a side of the semiconductor layer opposite to the substrate" (p. [0044] and Fig. 1, pts. 15 and 17). "[The first mirror] reflects the light of a wavelength" (p. [0044] and Fig. 1, pt. 17). Ueki does not explicitly disclose, "[The substrate] causes light of a specific wavelength to be transmitted therethrough." "A second mirror that is provided on a side of the substrate opposite to the semiconductor layer." Aldaz discloses, "[The substrate] causes light of a specific wavelength to be transmitted therethrough" (p. [0040], [0053], [0060], and Fig. 5, pts. 152 and 178). "A second mirror that is provided on a side of the substrate opposite to the semiconductor layer" (p. [0053], [0060], and Fig. 5, pts. 152 and 158). 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 teachings of Ueki with the teachings of Aldaz for the reasons provided above regarding claim 1.
The combination of Ueki and Aldaz does not explicitly disclose, "[The second mirror] causes the light of a wavelength to be transmitted therethrough." Park discloses, "[The second mirror] causes the light of a wavelength to be transmitted therethrough" (p. [0047] and Fig. 13, pt. 100b). 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 teachings of the combination of Ueki and Aldaz with the teachings of Park for the reasons provided above regarding claim 1.
Claims 4, 5, and 7 are rejected under 35 U.S.C. 103 as being unpatentable over Ueki, in view of Aldaz, in view of Park, and further in view of Ikeda (US Pub. 2001/0050531).
Regarding claim 4, The combination of Ueki, Aldaz, and Park does not explicitly disclose, "Wherein the second material is GaN." Ikeda discloses, "Wherein the second material is GaN" (p. [0041]). 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 teachings of the combination of Ueki, Aldaz, and Park with the teachings of Ikeda. In view of the teachings of Ueki regarding a VCSEL device with a bonded substrate, the alternate use of a GaN based substrate in the laser device as taught by Ikeda would enhance the teachings of Ueki, Aldaz, and Park by allowing for increased thermal conductivity in the substrate region.
Regarding claim 5, The combination of Ueki, Aldaz, and Park does not explicitly disclose, "Wherein the second material is a material having a thermal conductivity higher than that of the first material." Ikeda discloses, "Wherein the second material is a material having a thermal conductivity higher than that of the first material" (p. [0041], where using a GaN based substrate as the bonded substrate would result in the substrate having a higher thermal conductivity than the material of the active region). 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 teachings of the combination of Ueki, Aldaz, and Park with the teachings of Ikeda for the reasons provided above regarding claim 4.
Regarding claim 7, The combination of Ueki, Aldaz, and Park does not explicitly disclose, "Wherein the first material and the second material have different crystal structure." Ikeda discloses, "Wherein the first material and the second material have different crystal structure" (p. [0041], where using a GaN based substrate as the bonded substrate would result in the substrate having different crystal structure than the material of the active region). 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 teachings of the combination of Ueki, Aldaz, and Park with the teachings of Ikeda for the reasons provided above regarding claim 4.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Lee (US Pub. 2005/0286591) is cited for teaching bonding of a GaN based element to a GaAs based element in the context of VCSEL devices.
Kim et al. (Kim, US Pub. 2019/0115459) is cited for teaching bonding a GaAs based device to a GaN based substrate.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Sean P Hagan whose telephone number is (571)270-1242. The examiner can normally be reached Monday - Thursday, 8:30AM-5:00PM.
Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, MinSun Harvey can be reached at 571-272-1835. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
/SEAN P HAGAN/Examiner, Art Unit 2828
Prosecution Insights