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 listing of references in the specification is not a proper information disclosure statement. 37 CFR 1.98(b) requires a list of all patents, publications, or other information submitted for consideration by the Office, and MPEP § 609.04(a) states, "the list may not be incorporated into the specification but must be submitted in a separate paper." Therefore, unless the references have been cited by the examiner on form PTO-892, they have not been considered.
Specification
The objections to the disclosure are withdrawn in view of applicants’ amendments to the specification. It is noted that applicants may wish to consider the use of “ABO3” instead of “ABO3” in the title of the invention.
Claim Objections
The objection to claims 1, 3-4, and 15 is withdrawn in view of applicants’ claim amendments.
Claim Rejections - 35 USC § 112
The 35 U.S.C. 112(b) rejection of claim 3 is withdrawn in view of applicants’ amendment to the claim.
Claim Rejections - 35 USC § 103
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claim(s) 1-8 and 15-17 is/are rejected under 35 U.S.C. 103 as being unpatentable over U.S. Patent No. 6,555,946 to Finder, et al. (hereinafter “Finder”) in view of U.S. Patent Appl. Publ. No. 2021/0242017 to Yamamoto, et al. (“Yamamoto”).
Regarding claim 1, Finder teaches a method for forming an LN/LT layer, with the basis of an ABO3 material, O being oxygen, A being at least one first chemical element taken from among sodium (Na), potassium (K), barium (Ba), lithium (Li), and lead (Pb), and B being at least one second chemical element taken from among zirconium (Zr), titanium (Ti), niobium (Nb), and tantalum (Ta) (see the Abstract, Figs. 1-10, and entire reference which teach a method for forming a piezoelectric material comprised of an oxide such as LiNbO3 or LiTaO3), the method comprising:
providing a silicon-based substrate (see Fig. 1 and col. 2, l. 25 to col. 4, l. 4 which teach providing a monocrystalline substrate (22) and an amorphous intermediate layer (28) comprised of silicon),
forming a nucleation layer on the substrate (see Fig. 1 and col. 2, l. 25 to col. 4, l. 4 which teach forming a buffer layer (24) on the substrate (22) and amorphous intermediate layer (28)), and
forming the LN/LT layer by epitaxy on the nucleation layer (see Fig. 1 and col. 2, l. 25 to col. 4, l. 4 which teach that a piezoelectric layer (26) comprised of an oxide such as LiNbO3 or LiTaO3 is epitaxially grown on the buffer layer (24)),
wherein the nucleation layer is made of a nitride-based refractory material (see col. 3, ll. 28-52 which teach that the buffer layer (24) may be made from a nitride such as AlN), and
wherein the substrate is silicon-based, oriented along (111) (see col. 6, ll. 4-6 which teach that the substrate may be (111)-oriented monocrystalline Si),
the nucleation layer is aluminum nitride AlN-based (see col. 3, ll. 28-52 which teach that the buffer layer (24) may be made from a nitride such as AlN).
Finder does not teach that the AlN-based nucleation layer is oriented along (0001) and the LN/LT layer is oriented along (0001). However, in Figs. 1-2, ¶¶[0031]-[0072], and Table I as well as elsewhere throughout the entire reference Yamamoto teaches an analogous method of depositing an epitaxial AlN buffer layer (11) directly onto a Si(111) substrate (10). As explained specifically in ¶[0034] the buffer layer (11a) consists of AlN and prevents the occurrence of a reaction between the Si included in the substrate (10) and elements such as Ga which are included in layers that are formed above the substrate (10). In ¶[0068] Yamamoto further teaches that the AlN buffer layer (11) may be formed in such a manner that the (0001) crystal plane of the nitride crystal is parallel to the substrate plane of the substrate (10) such that the inherent properties of the crystal can be exhibited. Thus, a PHOSITA prior to the effective filing date of the invention would deposit the AlN buffer layer (24) in the method of Finder via heteroepitaxial growth directly onto the Si(111) substrate (22) with the motivation for doing so being to prevent a reaction between the Si substrate and the piezoelectric layer (26) and to promote formation of the (0001) crystal plane of the nucleation layer and the LN/LT layer which is parallel to the Si substrate surface in order to obtain the desired materials properties in the deposited layers. The combination of prior art elements according to known methods to yield predictable results has been held to support a prima facie determination of obviousness. All the claimed elements are known in the prior art and one skilled in the art could combine the elements as claimed by known methods with no change in their respective functions, with the combination yielding nothing more than predictable results to one of ordinary skill in the art. KSR International Co. v. Teleflex Inc., 550 U.S. 398, __, 82 USPQ2d 1385, 1395 (2007). See also, MPEP 2143(A).
Regarding claim 2, Finder teaches that the nitride-based refractory material is taken from among III-N refractory nitrides with a basis of an element of group III, or transition refractory nitrides with a basis of a transition metal (see col. 3, ll. 28-52 which teach that the buffer layer (24) may be made from a nitride such as AlN).
Regarding claim 3, Finder teaches that the nitride-based refractory material is a refractory nitride III-N taken from among aluminum nitride AlN and AlGaN alloy (see col. 3, ll. 28-52 which teach that the buffer layer (24) may be made from a nitride such as AlN).
Regarding claim 4, Finder teaches that the ABO3 material of the LN/LT layer is chosen from among: lithium niobate (LiNbO3), lithium tantalum (LiTaO3), or an Li(Nb,Ta)O3 alloy (see Fig. 1 and col. 2, l. 25 to col. 4, l. 4 which teach that a piezoelectric layer (26) comprised of an oxide such as LiNbO3 or LiTaO3 is epitaxially grown on the buffer layer (24)).
Regarding claim 5, Finder teaches that forming the nucleation layer comprises forming the nucleation layer to have a thickness less than or equal to 200nm (see Example 1 at col. 4, l. 60 to col. 5, l. 25 which teach that the buffer layer (24) may have a thickness of 2 to 100 nm).
Regarding claim 6, Finder teaches that forming the LN/LT layer comprises forming the LN/LT layer to have, after epitaxy, a thickness between 50nm and 500nm (see Example 1 at col. 4, l. 60 to col. 5, l. 25 which teach that the piezoelectric layer (26) may have a thickness of 100 to 5,000 nm).
Regarding claim 7, Finder teaches that forming the nucleation layer and forming the LN/LT layer by pulsed laser deposition successively within one same reactor without venting with air between the formings (see col. 8, ll. 36-63 which teach that each layer, including the buffer layer (24) and piezoelectric layer (26) may be formed by pulsed laser deposition (PLD) by ablating a target of the desired material and heating the substrate to a temperature of 300 to 500 °C which necessarily means that the nucleation and LN/LT layers are formed successively within the same reactor without venting with air; alternatively, a PHOSITA prior to the effective filing date of the invention would be motivated to deposit the nucleation and LN/LT layers successively within the same PLD system without venting with air in order to minimize the propensity for the deposition of atmospheric contaminants at the interface between the two layers).
Regarding claim 8, Finder teaches that the silicon-based substrate is formed of a material taken from among: silicon, SiC, and SiGe (see Fig. 1 and col. 2, l. 25 to col. 4, l. 4 which teach that the monocrystalline substrate (22) and amorphous intermediate layer (28) comprised of silicon)
Regarding claim 15, Finder teaches that the nitride-based refractory material is taken from among boron nitride BN, aluminum nitride AiN, gallium nitride GaN, indium nitride InN, and their alloys, and titanium nitride TiN, tantalum nitride TaN, niobium nitride NbN, zirconium nitride ZrN, hafnium nitride HfN, and vanadium nitride VN (see col. 3, ll. 28-52 which teach that the buffer layer (24) may be made from a nitride such as AlN).
Regarding claim 16, Finder teaches that forming the nucleation layer comprises forming the nucleation layer to have a thickness less than or equal to 50nm (see Example 1 at col. 4, l. 60 to col. 5, l. 25 which teaches that the buffer layer (24) may have a thickness of 2 to 100 nm).
Regarding claim 17, Finder teaches that forming the LN/LT layer comprises forming the LN/LT layer to have, after epitaxy, a thickness around 200nm (see Example 1 at col. 4, l. 60 to col. 5, l. 25 which teach that the piezoelectric layer (26) may have a thickness of 100 to 5,000 nm).
Response to Arguments
Applicants’ arguments filed July 16, 2026, have been fully considered and are persuasive with respect to the 35 U.S.C. 103 rejection over Finder alone, but they are unpersuasive with respect to the rejection over Finder in view of Yamamoto.
As noted supra, the 35 U.S.C. 112(b) rejection of claim 3 is withdrawn in view of applicants’ claim amendment. Upon further review the Examiner notes that the basis for the rejection of claim 3 also applies to claim 15 since it also recites nitrides that do not contain aluminum. Consequently it is unclear how the nucleation layer can simultaneously be AlN-based yet also be taken from a material such as BN, GaN, InN, TiN, TaN, NbN, ZrN, HfN, and VN.
Applicants argue that since there is an amorphous intermediate layer (28) positioned between the substrate (22) and the buffer layer (24) in Finder, there therefore is no teaching or suggestion that the AlN nucleation layer and LN/LT layer are oriented along (0001). See applicants’ 7/16/2026 reply, pp. 9-10. This argument is found persuasive and the 35 U.S.C. 103 rejection of claim 1 over Finder alone is withdrawn.
Applicants then argue that since Yamamoto is directed to forming Ga-containing nitride layers rather than LN/LT layers, Yamamoto does not teach or suggest forming an LN/LT layer by epitaxy on an AlN-based nucleation layer and further argues that the combination of references does not teach or suggest a LN/LT layer oriented along (0001) as claimed. Id. at pp. 10-11. Applicants’ arguments are noted, but are unpersuasive. In this case Finder is relied upon to teach that the growth of a LN/LT layer onto an AlN buffer layer is known in the art. Then the teachings of Yamamoto are introduced to show that the crystal structure and, hence, the materials properties of the deposited overlayer (i.e., the GaN layer (12)) may be controlled by facilitating epitaxial growth of the AlN layer such that it is oriented along (0001). Although Yamamoto is directed to the epitaxial growth of GaN onto an (0001)-oriented epitaxial AlN layer deposited on a Si(111) substrate, it is the Examiner’s position that a PHOSITA would look to the teachings of Yamamoto and would recognize that the use of an (0001)-oriented epitaxial AlN buffer layer may be incorporated in the method of Finder and would do so in order to promote epitaxial growth of an LN/LT layer having the desired crystal structure and materials properties for a particular application. Since both Finder and Yamamoto utilize a Si(111) substrate with an AlN buffer layer formed thereupon for epitaxial growth, they are considered to be analogous art or, at the very least, their teachings are reasonably pertinent to the problem to be solved, which is that of producing high quality epitaxial layers. Finder would only need to be modified based on the teachings of Yamamoto such that an epitaxial rather than an amorphous AlN layer is formed on the Si(111) substrate. In this case the AlN layer still functions as an intermediate which prevents a reaction between the Si substrate and the deposited LN/LT layer, but now has the added benefit of promoting epitaxial growth of the LN/LT layer with a particular crystal structure and orientation (i.e., an (0001) orientation) that improves the quality of the deposited crystal and produces the desired materials properties. Thus, replacing the amorphous AlN layer of Finder with an epitaxial AlN layer as taught by Yamamoto would involve nothing more than the use of a known material based on its suitability for its intended use. Use of a known material based on its suitability for its intended use has been held to support a prima facie determination of obviousness. Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1947). See also MPEP 2144.07. Similarly, the application of a known technique to a known device, method, or product ready for improvement to yield predictable results supports a prima facie determination of obviousness. See, e.g., MPEP 2143(D).
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
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/KENNETH A BRATLAND JR/Primary Examiner, Art Unit 1714
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