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 .
Summary of the Claims
The present application (18/580,503) was filed on January 18, 2024 as a 371 of PCT/JP2022/010412 filed on March 9, 2022 and claims priority to JP2021-138210 filed on August 26, 2021. Claims 1-20 are pending. Claims 1, 6, and 18 are the independent claims.
References and Documents Cited in this Action
Minamaru (WO 2021/024508 A1; see English-language family document US 2022/0114835 A1)
Anami (JP 2010-080571 A; see English-language machine translation mailed with this action)
Guenter (US 2009/0305447 A1)
Summary of Rejections and Objections in this Action
Claims 1, 2, 4-6, 10, 12, 13, 15, and 17-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Minamaru.
Claims 1, 4, 6, 12, 15, 16, and 18 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Anami.
Claims 3 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Minamaru in view of Guenter.
Claims 3 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Anami in view of Guenter.
Claims 7-9 and 14 contain allowable subject matter.
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.
Claims 1, 2, 4-6, 10, 12, 13, 15, and 17-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Minamaru.
Since Minamaru (WO 2021/024508 A1) is in Japanese, references to its disclosure in this Office action are made to the English-language equivalent family document US 2022/0114835 A1.
Regarding independent claim 1, Minamaru discloses a surface emitting device (Abstract; Figure 7) comprising:
a semiconductor layer (i.e., an upper spacer layer of active region 106) including a first crystal material (i.e., undoped Al0.6Ga0.4As; paragraph [0080]),
a reflection layer (i.e., p-type upper distributed Bragg reflector DBR 108) formed on the semiconductor layer, including a second crystal material of which a lattice constant or a crystal structure is different from the first crystal material (i.e., Al0.9Ga0.1As and GaAs layers; paragraph [0081]), and having a mesa shape (i.e., mesa M1; Figure 7; paragraph [0082]); and
a light constriction region 110 that is formed in a portion of the reflection layer and controls optical confinement (i.e., current confinement layer 110 including oxidized region 110A is “formed in a portion” of reflection layer 108 at least in the sense that Minamaru explicitly discloses that current confinement layer 110 can be formed “inside” the second reflection layer 108 instead of on the lowermost layer of the second reflection layer as shown in Figure 7; paragraphs [0081]-[0082]).
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Regarding claim 2, Minamaru discloses that wherein the light constriction region 110 includes a region 110A that is oxidized inward from a side surface of the mesa shape (paragraph [0082]).
Regarding claim 4, Minamaru discloses that the reflection layer 108 includes GaAs and AlGaAs that are the second crystal materials, the GaAs and the AlGaAs being laminated on each other (paragraph [0081]).
Regarding claim 5, Minamaru discloses that the light constriction region 110 is formed by oxidizing a portion of AlAs that is inserted between the GaAs and the AlGaAs (paragraph [0082]).
Regarding independent claim 6, Minamaru discloses a surface emitting device (Abstract; Figure 7) comprising:
a first reflection layer (i.e., n-type lower distributed Bragg grating DBR 102; paragraphs [0078]-[0079])), a first semiconductor layer (i.e., a lower spacer layer of active region 106; paragraph [0080]), a light emission layer (i.e., a quantum well active layer of active region 106), a second semiconductor layer (i.e., an upper spacer layer of active region 106), and a second reflection layer (i.e., p-type upper DBR 108) laminated in order; and
a light constriction region (i.e., current confinement layer 110 including oxidized region 110A; paragraphs [0081]-[0082]),
wherein the first semiconductor layer, the second semiconductor layer, or both include a first crystal material (i.e., the lower and upper spacer layers of active region 106 are undoped Al0.6Ga0.4As layers; paragraph [0080]),
the first reflection layer, the second reflection layer, or both include a second crystal material of which a lattice constant or a crystal structure is different from the first crystal material (i.e., the first reflection layer 102 and the second reflection layer 108 are Al0.9Ga0.1As and GaAs layers; paragraphs [0079] and [0081]) and further has a mesa shape (i.e., mesa M1; Figure 7; paragraph [0082]), and
the light constriction region 110 controls optical confinement in a portion of the first reflection layer, the second reflection layer, or both (paragraphs [0081]-[0082]).
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Regarding claim 10, Minamaru discloses that the light constriction region 110 includes a region 110A that is oxidized inward from a side surface of the mesa shape (paragraph [0082]).
Regarding claim 12, Minamaru discloses that the first reflection layer 102 or the second reflection layer 108 includes GaAs and AlGaAs that are the second crystal materials, the GaAs and the AlGaAs being laminated on each other (paragraphs [0079] and [0081]).
Regarding claim 13, Minamaru discloses that the light constriction region 110 is formed by oxidizing a portion of AlAs that is inserted between the GaAs and the AlGaAs (paragraph [0082]).
Regarding claim 15, Minamaru discloses that a portion of the first reflection layer 102, the second reflection layer 108, or both is formed in a mesa shape (i.e., mesa M1; Figure 7; paragraph [0082]).
Regarding claim 17, Minamaru dsiclsoes that the light constriction region 110 is formed at a position separated from the light emission layer 106 by one cycle of the first reflection layer or the second reflection layer or more, at least in the sense that Minamaru explicitly discloses that light constriction region 110 can be formed “inside” the second reflection layer 108 instead of on the lowermost layer of the second reflection layer as shown in Figure 7 (paragraph [0081]).
Regarding independent claim 18, Minamaru discloses a method for manufacturing a surface emitting device comprising:
forming a semiconductor layer with a first crystal material (i.e., an upper spacer layer of active region 106 comprising undoped Al0.6Ga0.4As; paragraph [0080]);
forming a reflection layer (i.e., p-type upper distributed Bragg reflector DBR 108) on the semiconductor layer with a second crystal material of which a lattice constant or a crystal structure is different from the first crystal material (i.e., Al0.9Ga0.1As and GaAs layers; paragraph [0081]);
forming the reflection layer in a mesa shape (i.e., mesa M1; Figure 7; paragraph [0082]); and
forming a light constriction region 110 that controls optical confinement in a portion of the reflection layer (i.e., current confinement layer 110 including oxidized region 110A is “formed in a portion” of reflection layer 108 at least in the sense that Minamaru explicitly discloses that current confinement layer 110 can be formed “inside” the second reflection layer 108 instead of on the lowermost layer of the second reflection layer as shown in Figure 7; paragraphs [0081]-[0082]).
Regarding claim 19, Minamaru discloses that the light constriction region 110 is formed by oxidizing a portion 110A of the reflection layer inward from a side surface of the mesa shape of the reflection layer (paragraph [0082]).
Regarding claim 20, Minamaru discloses the reflection layer 108 includes GaAs and AlGaAs that are the second crystal materials, the GaAs and the AlGaAs being laminated on each other (paragraph [0081]), and the light constriction region 110 is formed by oxidizing a portion of AlAs, inserted between the GaAs and the AlGaAs, exposed from a side surface of the mesa shape (paragraph [0082]).
Claims 1, 4, 6, 12, 15, 16, and 18 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Anami.
Since Anami (JP 2010-080571 A) is in Japanese, references to its disclosure in this Office action are made to the English-language machine translation mailed with this action.
Regarding independent claim 1, Anami discloses a surface emitting device (Figure 1 and corresponding description for “Embodiment 1” under “Best Mode”) comprising:
a semiconductor layer (i.e., semiconductor substrate 101) including a first crystal material (e.g., semiconductor substrate 101 includes Zn-doped p-type GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention);
a reflection layer (i.e., first distributed Bragg reflector DBR 102) formed on the semiconductor layer, including a second crystal material of which a lattice constant or a crystal structure is different from the first crystal material (e.g., first DBR 102 includes Al0.9Ga0.1As and GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention”), and having a mesa shape (Figure 1); and
a light constriction region (i.e., current confinement layer 103) that is formed in a portion of the reflection layer and controls optical confinement.
Regarding claim 4, Anami discloses that the reflection layer 102 includes GaAs and AlGaAs that are the second crystal materials, the GaAs and the AlGaAs being laminated on each other (e.g., first reflection layer 102 includes Al0.9Ga0.1As and GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention”).
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Regarding independent claim 6, Anami discloses a surface emitting device (Figure 1 and corresponding description for “Embodiment 1” under “Best Mode”) comprising:
a first reflection layer (i.e., first distributed Bragg reflector DBR 102), a first semiconductor layer 104, a light emission layer (i.e., active layer 105), a second semiconductor layer 106, and a second reflection layer (i.e., second DBR 107) laminated in order; and
a light constriction region (i.e., current confinement layer 103),
wherein the first semiconductor layer 104, the second semiconductor layer 106, or both include a first crystal material (e.g., second semiconductor layer 106 includes Si-doped GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention”),
the first reflection layer 102, the second reflection layer 107, or both include a second crystal material of which a lattice constant or a crystal structure is different from the first crystal material (e.g., first reflection layer 102 includes Al0.9Ga0.1As and GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention”) and further has a mesa shape (Figure 1), and
the light constriction region 103 controls optical confinement in a portion of the first reflection layer, the second reflection layer, or both (Figure 1).
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Regarding claim 12, Anami discloses that the first reflection layer 102 or the second reflection layer 107 includes GaAs and AlGaAs that are the second crystal materials, the GaAs and the AlGaAs being laminated on each other (e.g., first reflection layer 102 includes Al0.9Ga0.1As and GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention”).
Regarding claim 15, Anami discloses that a portion of the first reflection layer 102, the second reflection layer 107, or both is formed in a mesa shape (Figure 1 and corresponding description for “Embodiment 1” under “Best Mode).
Regarding claim 16, Anami discloses that the light constriction region 103 is formed in the first reflection layer 102 (Figure 1), and the second reflection layer 107 includes a dielectric material (see “the manufacturing method of Example 1” under “Mode-For-Invention”).
Regarding independent claim 18, Anami discloses a method for manufacturing a surface emitting device (Figure 1 and corresponding description for “Embodiment 1” under “Best Mode”) comprising:
forming a semiconductor layer with a first crystal material (i.e., semiconductor substrate 101 including Zn-doped p-type GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention);
forming a reflection layer on the semiconductor layer with a second crystal material of which a lattice constant or a crystal structure is different from the first crystal material (i.e., first distributed Bragg reflector DBR 102 includes Al0.9Ga0.1As and GaAs; see “the manufacturing method of Example 1” under “Mode-For-Invention);
forming the reflection layer in a mesa shape (Figure 1); and
forming a light constriction region (i.e., current confinement layer 103) that controls optical confinement in a portion of the reflection layer (Figure 1).
Claim Rejections - 35 USC § 103
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 3 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Minamaru in view of Guenter.
Regarding claims 3 and 11, Minamaru discloses a surface emitting device as discussed above with regard to independent claims 1 and 6 but does not specifically disclose that in claim 1, the semiconductor layer (an upper spacer layer of active region 106) includes InP that is the first crystal material; or in claim 6, the first semiconductor layer (a lower spacer layer of active region 106) or the second semiconductor layer (an upper spacer layer of active region 106) includes InP that is the first crystal material.
However, Guenter teaches a device that is related to the one disclosed by Minamaru, including a reflector layer 106 on a semiconductor layer 104 that is a crystal material (Figure 1; paragraphs [0016]-[0018]). Guenter further teaches the semiconductor layer 104 can be InP instead of GaAs (paragraph [0017]). Regarding claims 3 and 11, it would have been obvious to a person of ordinary skill in the art to use InP as the material for a semiconductor layer as taught by Guenter in the device disclosed by Minamaru as a substitution of another known semiconductor crystal material with predictable similar results.
Claims 3 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Anami in view of Guenter.
Regarding claims 3 and 11, Anami discloses a surface emitting device as discussed above with regard to independent claims 1 and 6 but does not specifically disclose that in claim 1, the semiconductor layer (semiconductor substrate 101) includes InP that is the first crystal material; or in claim 6, the first semiconductor layer (first semiconductor layer 104) or the second semiconductor layer (second semiconductor layer 106) includes InP that is the first crystal material.
However, Guenter teaches a device that is related to the one disclosed by Anami, including a reflector layer 106 on a semiconductor layer 104 that is a crystal material (Figure 1; paragraphs [0016]-[0018]). Guenter further teaches the semiconductor layer 104 can be InP instead of GaAs (paragraph [0017]). Regarding claims 3 and 11, it would have been obvious to a person of ordinary skill in the art to use InP as the material for a semiconductor layer as taught by Guenter in the device disclosed by Anami as a substitution of another known semiconductor crystal material with predictable similar results.
Allowable Subject Matter
Claims 7-9 and 14 are 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.
The prior art does not specifically disclose or fairly suggest a surface emitting device including the combination of all of the elements, steps, and limitations recited in claims 7-9 and 14 (including all of the limitations of any respective parent claims), particularly wherein the device further comprises:
a tunnel junction layer formed between the first semiconductor layer and the light emission layer or between the light emission layer and the second semiconductor layer; a first electrode formed on the first semiconductor layer; and a second electrode formed on the second semiconductor layer (e.g., claims 7 and 14); or
a tunnel junction layer formed between the first semiconductor layer and the light emission layer or between the light emission layer and the second semiconductor layer; a first electrode formed on the first reflection layer; and a second electrode formed on the second semiconductor layer (e.g., claim 8); or
a tunnel junction layer formed between the first semiconductor layer and the light emission layer or between the light emission layer and the second semiconductor layer; a first electrode formed on the first semiconductor layer or the first reflection layer; and a second electrode formed on the second reflection layer (e.g., claim 9).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Christina Leung at telephone number (571) 272-3023. If attempts to reach the examiner are unsuccessful, the examiner’s supervisor, Patricia Engle can be reached at (571) 272-6660.
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/CHRISTINA Y. LEUNG/ Primary Examiner, Art Unit 3991
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