DETAILED ACTION
Notice of Pre-AIA or AIA Status
1. The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
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 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.
Claim Interpretations
2. “ferroelectricity property” (in claims 11 and 18) is interpreted as described in para [13-15] (paragraph(s) [0013] through [0015]) in the Specification of the present invention ([13]: “ferroelectric properties of the AlN or AlGaN thin film is achieved through at least one of an improved crystallization of the AlN or AlGaN thin film and a tensile stress applied to the AlN or AlGaN thin film through the different crystalline structure of the underlying GaN layer, i.e., lattice mismatch”, emphasis added, and para [15]: “To ensure that the tensile stress effectively contributes to the ferroelectric properties of the Al1-xGaxN film, the thickness of the Al1-xGaxN film is controlled to be sufficiently thin, e.g., no more than 25 nm”); and as such, a method of forming a structure or a structure comprising an AlN or Al1-xGaxN film having a thickness of no more than 25 nm directly over a GaN film should possess a ferroelectric property.
3. “Facet” in “same facet direction” is broadly interpreted:
“
fac·et
PNG
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13
17
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Greyscale
(făsĭt)
n.
1. One of the flat polished surfaces cut on a gemstone or occurring naturally on a crystal.
2. Anatomy A small, smooth, flat surface, as on a bone or tooth.
3. Biology One of the lenslike visual units of a compound eye, as of an insect.
4. One of numerous aspects, as of a subject.
[French facette, from Old French, diminutive of face, face; see FACE.]
facet·ed, facet·ted adj.
The American Heritage® Dictionary of the English Language, Fifth Edition copyright ©2022 by HarperCollins Publishers. All rights reserved.
“; and as such, two thin semiconductor films in the nano scale with one directly overlying the other should have a same facet direction.
Drawings
4. The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they include the following reference character(s) not mentioned in the description: 124, Fig. 1D. Corrected drawing sheets in compliance with 37 CFR 1.121(d), or amendment to the specification to add the reference character(s) in the description in compliance with 37 CFR 1.121(b) 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 replacement sheet(s) should be labeled “Replacement Sheet” in the page header (as per 37 CFR 1.84(c)) so as not to obstruct any portion of the drawing figures. 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.
Double Patenting
5. The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory obviousness-type double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); and In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on a nonstatutory double patenting ground provided the reference application or patent either is shown to be commonly owned with this application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP §§ 706.02(l)(1) - 706.02(l)(3) for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b).
The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/forms/. The filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to http://www.uspto.gov/patents/process/file/efs/guidance/eTD-info-I.jsp.
6. Claims 11-12 and 15-17 are rejected on the ground of nonstatutory obviousness-type double patenting as being unpatentable over claims 4, 7 and 9 of U.S. Patent No. 11,502,176. Although the conflicting claims are not identical, they are not patentably distinct from each other because said claims of the present invention is a similar version or an obvious combination of elements of said claims of the above-identified U.S. Patent(s) with similar intended scope.
Specifically, the conflicting claims are listed below:
Application Claims
Patent Claims
11. A method, comprising:
4. A method, comprising:
forming a first layer of a first group-III nitride over a substrate;
forming a layer of GaN over a substrate;
forming a second layer of a second group-III nitride over the first group-III nitride layer, the second group-III nitride having a ferroelectric property; and
forming a layer of Al1-xGaxN directly over the GaN layer, the Al1-xGaxN layer having a ferroelectric property;
forming source or drain structure over the first layer of the first group-III nitride.
forming a gate electrode over the Al1-xGaxN layer; and
12. The method of claim 11, further comprising forming a gate electrode over the second layer of the second group-III nitride.
forming a source/drain structure over the GaN layer and adjacent to the gate electrode.
15. The method of claim 11, wherein the second group-III nitride is AlGaN.
16. The method of claim 11, wherein the forming the second layer includes forming the second layer to have a thickness less than 20 nm.
7. The method of claim 4, wherein the Al1-xGaxN layer has a thickness ranging from about 1 nm to 20 nm.
17. The method of claim 11, wherein the substrate includes sapphire.
9. The method of claim 4, wherein the substrate includes sapphire.
Claim Rejections - 35 USC § 102
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.
7. Claims 1-2, 4-7, 11-18 and 20 are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Romanczyk et al. U.S. Patent Application Publication 2019/0348532 A1 (the ‘532 reference, of record).
The reference discloses in Fig. 13A and related text a method as claimed.
Referring to claim 1, the ‘532 reference discloses a method, comprising:
forming a first layer (GaN Channel) of a first group III-V compound material (GaN) over a substrate (Substrate); and
forming a second layer (2.6 nm Al0.27Ga0.73N) of a second group III-V compound (AlGaN) directly over the first layer (GaN Channel), the second group III-V compound having a same facet direction (as interpreted above) as the first group III-V compound.
Referring to claim 2, the reference further discloses that the first group III-V compound (GaN) is GaN and the second group III-V compound (2.6 nm Al0.27Ga0.73N) is Al1-xGaxN (0.73 = x).
Referring to claim 4, the reference further discloses that the forming the second layer (2.6 nm Al0.27Ga0.73N) includes forming the second layer to have a thickness of 2.6 nm, within and meeting the claim ranges from about 1 nm to about 20 nm, inclusive.
Referring to claim 5, the reference further discloses firming a source (S) or drain (D) structure (para [176]) over the first layer (GaN Channel).
Referring to claim 6, the reference further discloses forming a gate structure (1302) over the second layer (the 2.6 nm Al0.27Ga0.73N).
Referring to claim 7, the reference further discloses that the substrate (Substrate) is sapphire (para [162]).
Referring to claim 11 and using the same reference characters, interpretations, and citations as detailed above for claim 1 where applicable, the reference discloses a method, comprising:
forming a first layer (GaN Channel) of a first group-III nitride (gallium (Ga) nitride (N)) over a substrate (Substrate);
forming a second layer (2.6 nm Al0.27Ga0.73N) of a second group-III nitride (aluminum gallium nitride) over the first group-III nitride layer, the second group-III nitride having a ferroelectric property (as interpreted above in the Claim Interpretations); and
forming source (S) or drain (D) structure (para [176]) over the first layer (the GaN Channel) of the first group-III nitride.
Referring to claim 12, the reference further discloses forming a gate electrode (1302) over the second layer (the 2.6 nm Al0.27Ga0.73N layer) of the second group-III nitride.
Referring to claim 13, the reference further discloses forming a dielectric layer (SiN 1304) positioned between the gate electrode (1302) and the second layer (the 2.6 nm Al0.27Ga0.73N layer) of the second group-III nitride.
Referring to claim 14, the reference further discloses that the first layer (GaN channel 408, Fig. 4) is un-doped.
Referring to claim 15, the reference further discloses that the second group-III nitride is AlGaN (Al0.27Ga0.73N).
Referring to claim 16, the reference further discloses that the forming the second layer (the 2.6 nm Al0.27Ga0.73N layer) includes forming the second layer to have a thickness of 2.6 nm, within and meeting the claim range of less than 20 nm.
Referring to claim 17, the reference further discloses that the substrate (Substrate) includes sapphire (para [162])
Referring to claim 18 and using the same reference characters, interpretations, and citations as detailed above for claims 1 and 11 where applicable, the reference discloses a method, comprising:
forming a first layer (GaN Buffer) of a first group III-V material (GaN) over a silicon substrate (Substrate, para [162]);
forming a second layer (GaN Channel) of a second group III-V material (GaN) over the first layer; and
forming a third layer (2.6 nm Al0.27Ga0.73N layer) of a third group III-V material (AlGaN) over the second layer, the third layer including a ferroelectric property (as interpreted above in the Claim Interpretations).
Referring to claim 20, the reference further discloses that the second group III-V material (GaN) and the third group III-V material (AlGaN of the 2.6 nm Al0.27Ga0.73N layer) are formed to have a same facet direction (as interpreted above in the Claim Interpretations).
8. Claims 1-2, 4-9, 11-12 and 14-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Smorchkova et al. European Patent EP 1 390 983 B2 (the ‘983 reference).
The reference discloses in Fig. 2 and related text a method as claimed.
Referring to claim 1, the ‘532 reference discloses a method, comprising:
forming a first layer (GaN 26) of a first group III-V compound material (GaN) over a substrate (Substrate 22); and
forming a second layer (AlyGa1-yN 28) of a second group III-V compound (AlGaN) directly over the first layer (26), the second group III-V compound having a same facet direction (as interpreted above) as the first group III-V compound.
Referring to claim 2, the reference further discloses that the first group III-V compound (GaN) is GaN and the second group III-V compound (AlyGa1-yN) is Al1-xGaxN (1-y = x, y=1-x).
Referring to claim 4, the reference further discloses that the forming the second layer (28) includes forming the second layer (28) to have a thickness of smaller than 5 nm (less than 50 Å, para [25]), within and meeting the claim ranges from about 1 nm to about 20 nm, inclusive.
Referring to claim 5, the reference further discloses firming a source (32) or drain (34) structure (para [27]) over the first layer (26).
Referring to claim 6, the reference further discloses forming a gate structure (36, para [27]) over the second layer (28).
Referring to claim 7, the reference further discloses that the substrate (22) is sapphire (para [20]).
Referring to claim 8, the reference further discloses forming a nucleation layer (24) between the first layer (26) and the substrate (22).
Referring to claim 9, the reference further discloses that the nucleation layer (24) is a third group III-V material (AlN, para [23]).
Referring to claim 11 and using the same reference characters, interpretations, and citations as detailed above for claim 1 where applicable, the reference discloses a method, comprising:
forming a first layer (GaN 26) of a first group-III nitride (gallium (Ga) nitride (N)) over a substrate (Substrate 22);
forming a second layer (AlyGa1-yN layer 28, having a thickness of smaller than 5 nm (less than 50 Å, para [25]) of a second group-III nitride (aluminum gallium nitride) over the first group-III nitride layer (26), the second group-III nitride having a ferroelectric property (as interpreted above in the Claim Interpretations); and
forming source (32) or drain (34) structure (para [27]) over the first layer (26) of the first group-III nitride.
Referring to claim 12, the reference further discloses forming a gate electrode (36, para [27]) over the second layer (28) of the second group-III nitride.
Referring to claim 14, the reference further discloses that the first layer (26) is un-doped (the only layers that are doped are GaN layer 58 (para [32]) and barrier layer 96, para [36]).
Referring to claim 15, the reference further discloses that the second group-III nitride is AlGaN (aluminum gallium nitride).
Referring to claim 16, the reference further discloses that the forming the second layer (28) includes forming the second layer to have a thickness of smaller than 5 nm (less than 50 Å, para [25], within and meeting the claim range of less than 20 nm.
Referring to claim 17, the reference further discloses that the substrate (22) includes sapphire (para [20])
Referring to claim 18 and using the same reference characters, interpretations, and citations as detailed above for claims 1 and 11 where applicable, the reference discloses a method, comprising:
forming a first layer (24) of a first group III-V material (AlN, para [23]) over a silicon substrate (22, para [20]);
forming a second layer (GaN 26l) of a second group III-V material (GaN) over the first layer; and
forming a third layer (AlyGa1-yN layer 28, having a thickness of smaller than 5 nm (less than 50 Å, para [25]) of a third group III-V material (AlGaN) over the second layer, the third layer including a ferroelectric property (as interpreted above in the Claim Interpretations).
Referring to claim 19, the reference further discloses the third group III-V material (AlyGa1-yN) is Al1-xGaxN (1-y = x, y=1-x, with x being 0 (when y = 1, para [25]), touching and meeting the claim limitation “with x being between 0 and 0.4, inclusive”.
Referring to claim 20, the reference further discloses that the second group III-V material (GaN) and the third group III-V material (AlGaN of the AlyGa1-yN layer) are formed to have a same facet direction (as interpreted above in the Claim Interpretations).
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 of this title, 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.
9. Claim 3 is rejected under 35 U.S.C. §103 as being unpatentable over Romanczyk et al. U.S. Patent Application Publication 2019/0348532 A1 (the ‘532 reference, of record) in view of Then et al. U.S. Patent Application Publication 20190058049.
Referring to claim 3, the ‘532 reference discloses a method as detailed above for claim 1, and further discloses that the second group III-V compound (2.6 nm Al0.27Ga0.73N) is Al1-xGaxN (0.73 = x), but does not disclose that the first group III-V compound is InN. Instead, the reference discloses that the first group III-V compound (GaN) is GaN.
Then, in disclosing a method comprising forming a first layer (230, Figs. 2, 3) of a first group III-V compound material over a substrate, and forming a second layer (240) of a second group III-V compound directly over the first layer, discloses that the first group III-V compound (of the first layer 230) is InN or GaN (para [17], thereby teaching that InN and GaN are art-recognized equivalents.
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have form the reference’s first group III-V compound utilizing InN. One would have been motivated to make such a modification in view of the teachings in Then that InN and GaN are art-recognized equivalent materials.
10. Claim 10 is rejected under 35 U.S.C. §103 as being unpatentable over Romanczyk et al. U.S. Patent Application Publication 2019/0348532 (the ‘532 reference) in consideration of Gambin et al. U.S. Patent Application Publication 20130026489, both of record.
Referring to claim 10, the ‘532 reference discloses a method comprising forming a first layer (GaN Channel) of a first group-III nitride, which is GaN (gallium nitride), including a first (inherent) in-plane interatomic distance between a group-III atom (gallium) and a group-V atom (nitrogen), and forming a layer (2.6 nm Al0.27Ga0.73N) of aluminum nitride (AlGaN) with a second (inherent) in-plane interatomic distance between an aluminum (Al) atom and a nitrogen atom, but does not discloses that the first in-plane interatomic distance is larger than a second in-plane interatomic distance between an aluminum atom and a nitrogen atom in aluminum nitride
Gambin - in disclosing a method comprising forming a layer of a first group-III nitride (GaN layer 16) over a substrate (12, Fig. 1), the first group-III nitride (GaN) including a first in-plane interatomic distance (atomic spacing, paragraph(s) [0019]) between a group-III atom (gallium) and a nitrogen (N) atom; and forming a layer of aluminum nitride (AlGaN layer 18 or AlN layer 20) including second in-plane interatomic distance (atomic spacing) between an aluminum (Al) atom and a nitrogen (N) atom over the layer of the first group-III nitride (GaN layer 16) – discloses that the first in-plane interatomic distance (atomic spacing of GaN layer 16) is larger than a second in-plane interatomic distance (atomic spacing) between an aluminum atom and a nitrogen atom (in aluminum nitride AlN layer 20 or in aluminum gallium nitride AlGaN layer 18) (paragraph(s) [0019]: “the atomic spacing of the AlGaN and AlN barrier layers 18 and 20 is narrower than the atomic spacing of the layer 16”).
Thus, according to Gambin, the ‘532 reference discloses all limitations of claim 10.
Conclusion
11. Any inquiry concerning this communication or earlier communications from the examiner should be directed to TU TU V HO whose telephone number is (571)272-1778. The examiner can normally be reached on Monday to Thursday 6:30 - 15:00, Monday through Thursday.
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04-16-2026
/TU-TU V HO/Primary Examiner, Art Unit 2818
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