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 .
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 11/25/2025 has been entered.
Response to Amendment
Applicant’s amendment dated 11/25/2025, in which claims 1, 7, 9-10 were amended, claims 2, 6, 8, 11-20 were canceled, has been entered.
Notes, the status of claims 11-20 should be “canceled” instead of “withdrawn” because no claim text was presented for claims 11-20.
37 CFR 1.121 (c)(3): The presentation of a clean version of any claim having the status of "original," "withdrawn" or "previously presented" will constitute an assertion that it has not been changed relative to the immediate prior version, except to omit markings that may have been present in the immediate prior version of the claims of the status of "withdrawn" or "previously presented."
37 CFR 1.121 (c)(4) When claim text shall not be presented; canceling a claim. No claim text shall be presented for any claim in the claim listing with the status of "canceled" or "not entered."
Priority
Acknowledgment is made of applicant’s claim for foreign priority under 35 U.S.C. 119 (a)-(d) to foreign application CN202111222881.8 filed on 10/20/2021. The foreign application is not in English. The certified copy of the foreign priority application CN202111222881.8 has been received.
Filing Dates for the Claims — All Claims Not Entitled to Priority Date
To be entitled to the filing date of the foreign priority application CN202111222881.8 that is not in English, an English translation of the non-English language foreign application CN202111222881.8 and a statement that the translation is accurate in accordance with 37 CFR 1.55 is required to perfect the claim for priority under 35 U.S.C. 119 (a)-(d). The foreign application must adequately support the claimed subject matter, meaning satisfy the written description and enablement requirements of 35 U.S.C. 112(a). See MPEP §§ 215 and 216. 37 C.F.R. 1.55(g)(3)(ii)-(iii). To demonstrate compliance with 35 U.S.C. 112(a), applicant should point to support for their claimed subject matter in their translations.
An English translation filed 08/06/2025 did not indicate whether or not it is an English translation of the non-English language foreign application CN202111222881.8 together with a statement that the translation is accurate in accordance with 37 CFR 1.55.
The statement provided in page 4 of Applicant’s remark filed 11/25/2025 is not in accordance with 37 CFR 1.55 “If an English language translation of a non-English language foreign application is required, it must be filed together with a statement that the translation of the certified copy is accurate.”
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.
Claim(s) 1, 3-5, 7, 9-10 are rejected under 35 U.S.C. 103 as being unpatentable over Niwa et al. (US Pub. 20200066941) in view of Broell et al. (US Pub. 20200313036).
Regarding claim 1, Niwa et al. discloses in Fig. 1, paragraph [0034]-[0042] a light-emitting structure, comprising:
a GaN-based LED structure [22, 24, 26, 28, and 30] and a nitrogen-containing passivation layer [protective layer 38 made of AlON or AlN] located on a sidewall of the GaN-based LED structure [22, 24, 26, 28, and 30];
wherein the GaN- based LED structure [22, 24, 26, 28, and 30] comprises:
a first semiconductor layer [24], a second semiconductor layer [30], and a light-emitting layer [26] located between the first semiconductor layer [24] and the second semiconductor layer [30], wherein conductivity types of the first semiconductor layer [24] and the second semiconductor layer [30] are opposite [n type layer 24 vs. p-type layer 30];
wherein the light emitting structure further comprises:
a first patterned mask layer [36] located between the nitrogen-containing passivation layer [38] and the GaN-based LED structure [22, 24, 26, 28, and 30];
wherein the first patterned mask layer [36] and the nitrogen-containing passivation layer [38] comprise an opening [42 and 48], and the opening [42 and 48] exposes a partial region of an upper surface of the second semiconductor layer [30];
a region of the second semiconductor layer [30] corresponding to the opening [42 and 48] is an active region, and a region of the second semiconductor layer [30] covered by the first patterned mask layer [36] is an inactive region.
Paragraph [0093] of the original specification states “In the annealing process, the opening can provide an escape path for the released H atoms to activate the dopant ions”. Therefore, the limitation “wherein an escape path for released H atoms is provided in the opening” directs to intended function of the opening during the manufacturing process. A recitation of the intended function of the claimed invention must result in a structural difference between the claimed invention and the prior art in order to patentably distinguish the claimed invention from the prior art. If the prior art structure is capable of performing the intended function, then it meets the claim. "[A]pparatus claims cover what a device is, not what a device does." Hewlett-Packard Co. v. Bausch & Lomb Inc., 909 F.2d 1464, 1469, 15 USPQ2d 1525, 1528 (Fed. Cir. 1990) (emphasis in original). A claim containing a "recitation with respect to the manner in which a claimed apparatus is intended to be employed does not differentiate the claimed apparatus from a prior art apparatus" if the prior art apparatus teaches all the structural limitations of the claim. Ex parte Masham, 2 USPQ2d 1647 (Bd. Pat. App. & Inter. 1987). See MPEP 2114(II).
Niwa et al. fails to disclose
wherein a sidewall of the GaN-based LED structure includes N atoms and H atoms, wherein the N atoms and the H atoms are derived from decomposition of NH3 gas introduced during an annealing process.
Broell et al. discloses in Fig. 2A, Fig. 5, Fig. 10, paragraph [0039], [0045], [0080], [0084]
an annealing process including NH3 is performed on exposed sidewalls of the GaN-based LED structure [facet 250][“These surface preparations may include …thermal desorption in high-vacuum or ultra-high vacuum, H2, NH3, phosphine, arsine overpressure at high temperature”].
Therefore, similar to the claimed device, a sidewall of the GaN-based LED structure [facet 250] disclosed by Broell et al. includes N atoms and H atoms, wherein the N atoms and the H atoms are derived from decomposition of NH3 gas introduced during the annealing process.
“Where the claimed and prior art products are identical or substantially identical in structure or composition, or are produced by identical or substantially identical processes, a prima facie case of either anticipation or obviousness has been established. In re Best, 562 F.2d 1252, 1255, 195 USPQ 430, 433 (CCPA 1977).” MPEP 2112.01 I.
It would have been obvious to one of ordinary skill in the art before the effective filling date of the invention to incorporate the teachings of Broell et al. into the method of Niwa et al. to include wherein a sidewall of the GaN-based LED structure includes N atoms and H atoms, wherein the N atoms and the H atoms are derived from decomposition of NH3 gas introduced during an annealing process. The ordinary artisan would have been motivated to modify Niwa et al. in the above manner for the purpose of removing imperfections or otherwise improving the condition of the mesa facet surface and reducing surface traps before application of subsequent epitaxial process and thus improving overall device performance [paragraph [0045], [0080], [0084] of Broell et al.]. Further, it would have been obvious to try one of the known methods with a reasonable expectation of success. KSR International Co. v. Teleflex Inc., 82 USPQ2d 1385 (2007).
Regarding claim 3, Niwa et al. discloses in Fig. 1
wherein the nitrogen-containing passivation layer [38] further covers a side of the first semiconductor layer [24] away from the light- emitting layer [26], or covers a side of the second semiconductor layer [30] away from the light-emitting layer [26].
Regarding claim 4, Niwa et al. discloses in Fig. 1, paragraph [0044]-[0046]
a first electrode [32] electrically connected to the first semiconductor layer [24]; and
a second electrode [34] electrically connected to the second semiconductor layer [30].
Regarding claim 5, Niwa et al. discloses in Fig. 1, paragraph [0044]-[0046]
wherein the first electrode [32] and the second electrode [34] are located separately on both sides of the GaN-based LED structure [22, 24, 26, 28, and 30].
Regarding claims 7, 9, Niwa et al. discloses in Fig. 1, paragraph [0034]-[0046]
wherein the first patterned mask layer [36] is made of an insulating material [silicon oxide, silicon oxynitride];
a first electrode [32] electrically connected to the first semiconductor layer [24]; and
a second electrode [34] formed in the opening [42 and 48] and on the nitrogen-containing passivation layer [38], the second electrode [34] is electrically connected to the second semiconductor layer [30], and a material of the second electrode [34] includes indium tin oxide [paragraph [0034]].
Regarding claim 10, Niwa et al. discloses in Fig. 1
wherein the GaN-based LED structure [22, 24, 26, 28, and 30] is in stair shape, and the second semiconductor layer [30] and the light-emitting layer [26] expose a partial region of the first semiconductor layer [24].
Response to Arguments
Applicant’s arguments with respect to claims 1, 3-5, 7, 9-10 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument.
Overall, Applicant’s arguments are not persuasive. The claims stand rejected.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The cited art discloses similar materials, devices and methods.
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/SOPHIA T NGUYEN/Primary Examiner, Art Unit 2893