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 .
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) 1-7, 9, and 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al).
Concerning claim 1, Zhu discloses a laminate comprising (Fig. 2B) a structure in which a Si . . .substrate (222) ([0038]), an oxygen- containing aluminum nitride film. . .([0048]), and a gallium nitride film are laminated ([0038] and [0050]).
Zhu is silent as to the orientation of the crystals in the substrate and therefore does not disclose that the Si substrate is a Si(111) substrate or having a crystal structure of aluminum nitride in which a portion of nitrogen in the aluminum nitride is substituted with oxygen such that a molar ratio of nitrogen to aluminum is less than 1.0. However, Clark discloses a laminate structure (Fig. 2) that includes a silicon (111) substrate (22) , and AlON layer (28) having a crystal structure of aluminum nitride in which a portion of nitrogen in the aluminum nitride is substituted with oxygen such that a molar ratio of nitrogen to aluminum is less than 1.0 (Abstract and [0023]), and a GaN nitride film subsequently formed over the AlON layer ([0005]). Clark discloses that configuration is relatively easily grown with single crystal materials and further growth of single crystal material on the single crystal SOI structure is easily accomplished. Most of the insulation problems are overcome with the characteristics of the preferred insulating material layer slightly improved and the overall insulating quality of the structure being much better ([0025]). Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to use a Si(111) substrate for the substrate of Zhu as well as the AlON having a crystal structure of aluminum nitride in which a portion of nitrogen in the aluminum nitride is substituted with oxygen such that a molar ratio of nitrogen to aluminum is less than 1.0 in order to form a structure that has improved overall insulating quality.
Continuing to claim 2, Zhu in view of Clark discloses wherein the gallium nitride film is laminated on the oxygen-containing aluminum nitride film (Zhu [0049] Clark Fig. 2).
Considering claim 3, Zhu in view of Clark discloses wherein the gallium nitride film is laminated on the oxygen-containing aluminum nitride film with an aluminum nitride film therebetween (Zhu [0049]-[0050] and Clark Fig. 2).
Referring to claim 4, Zhu in view of Clark discloses wherein the oxygen-containing aluminum nitride film is laminated on the Si(111) substrate (Zhu Fig. 2B and Clark Fig. 2).
Regarding claim 5, Zhu in view of Clark discloses wherein the oxygen-containing aluminum nitride film is laminated on the Si(111) substrate with an aluminum film therebetween (Zhu [0027]).
Pertaining to claim 6, Zhu in view of Clark discloses wherein the oxygen-containing aluminum nitride film has an oxygen content of 5 x10²⁰ atoms/cc or more (Zhu [0008], [001], and claim 6).
As to claim 7, Zhu in view of Clark discloses wherein the oxygen-containing aluminum nitride film has a thickness of 20 nm or less (Zhu [0031]).
Concerning claim 9, Zhu in view of Clark discloses a semiconductor element comprising the laminate according to claim 1 (Zhu [0031]).
Continuing to claim 10, Zhu in view of Clark discloses an electronic appliance comprising the semiconductor element according to claim 9 (Zhu [0031]).
Claim(s) 11 and 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) and US 20070161494 (Fukuyama et al).
Considering claim 11, Zhu discloses a method for manufacturing a laminate having a structure (Fig. 2B) in which a Si . . . substrate (222) ([0038]), an oxygen-containing aluminum nitride film, and a gallium nitride film are laminated ([[038]), the method comprising: an AIN film forming step of forming an aluminum nitride film on a Si . . . substrate to obtain a Si substrate that has the aluminum nitride film ([0038]); an oxidizing step of treating the Si substrate that has the aluminum nitride film in an oxidizing atmosphere to obtain a Si substrate that has an oxygen-containing aluminum nitride film ([0048]); and a GaN film forming step of forming a gallium nitride film on the Si substrate that has the oxygen-containing aluminum nitride film ([0038] and [0050]).
Zhu is silent as to the orientation of the crystals in the substrate and therefore does not disclose that the Si substrate is a Si(111) substrate or having a crystal structure of aluminum nitride in which a portion of nitrogen in the aluminum nitride is substituted with oxygen such that a molar ratio of nitrogen to aluminum is less than 1.0. However, Clark discloses a laminate structure (Fig. 2) that includes a silicon (111) substrate (22) , and AlON layer (28) having a crystal structure of aluminum nitride in which a portion of nitrogen in the aluminum nitride is substituted with oxygen such that a molar ratio of nitrogen to aluminum is less than 1.0 (Abstract and [0023]), and a GaN nitride film subsequently formed over the AlON layer ([0005]). Clark discloses that configuration is relatively easily grown with single crystal materials and further growth of single crystal material on the single crystal SOI structure is easily accomplished. Most of the insulation problems are overcome with the characteristics of the preferred insulating material layer slightly improved and the overall insulating quality of the structure being much better ([0025]). Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to use a Si(111) substrate for the substrate of Zhu as well as the AlON having a crystal structure of aluminum nitride in which a portion of nitrogen in the aluminum nitride is substituted with oxygen such that a molar ratio of nitrogen to aluminum is less than 1.0 in order to form a structure that has improved overall insulating quality.
Additionally, Fukuyama discloses a method of oxidizing an aluminum nitride layer with air being the oxidizing material environment used for the oxidation process ([0171]). The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945). See MPEP 2144.07. Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to use air as the oxidizing environment material because it is a know material for use in oxidizing an aluminum nitride structure.
Referring to claim 20, Zhu in view of Clark and Fukuyama discloses wherein the exposure to air in the oxidizing step has an exposure time of 10 seconds or longer and 5 minutes or shorter (Fukuyama [0171]).
Claim(s) 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al)as applied to claim 1 above, and further in view of US 20210301419 (Kubota et al).
Referring to claim 8, Zhu in view of Clark discloses forming the gallium nitride film.
Zhu in view of Clark is silent as to the polarity of the surface of the gallium nitride film and therefore does not disclose wherein a surface of the gallium nitride film has gallium polarity. However, Kubota discloses a laminate structure that includes a GaN layer and that the growth or front surface side becomes a Ga polarity surface (referred to as Ga surface, hereinafter) in the case of general epitaxial growth of GaN (that GaN epitaxial growth film formed on the first substrate) and that the Ga surface is capable of providing high properties to the device fabrication surface is generally utilized in the electronic part application ([0010]). Therefore it would have been obvious to one of ordinary skill in the art to form the GaN film of Zhu in view of Clark to have Ga polarity in order to provide high properties to the device fabrication surface is generally utilized in the electronic part application.
Claim(s) 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) and US 20070161494 (Fukuyama et al) as applied to claim 11 above, and further in view of US 20210317565 (Haymore et al).
Regarding claim 12, Zhu in view of Clark and Fukuyama discloses wherein a film forming method in the AIN film forming step is a sputtering method (Zhu [0038] and [0048]).
Zhu in view of Clark and Fukuyama does not disclose a sputtering method that involves a sputter energy of 0.01 W/cm²Pa² or more and 150 W/cm²Pa² or less. However, Haymore discloses sputtering conditions used for depositing an AlN film ([0004]) and that it is believed that the high power density applied to the target (i.e. at least 6 W/cm.sup.2) compensates for the increased gas scattering, and in turn compensates for the attenuation of the energy of the sputtered species that arises due to the increased chamber pressure. Overall, the combination of high chamber pressure (i.e. at least 6 mTorr) and high power density supplied to the target (i.e. at least 6 W/cm.sup.2) provides suitable conditions to deposit metallic layers having a reduced resistivity ([0015]). Applicant discloses in [0075] of the originally filed disclosure that the sputter energy (Es) is determined by the formula Es = [injected power density (unit: W/cm2) /[introduced gas pressure (unit: Pa) ] 2 therefore the Es as disclosed by Haymore is (6 W/cm2 /(0.7999344 Pa)2 ) = 9.376537752191359 W/cm²Pa² which satisfies the claimed limitation. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to use the sputtering conditions as disclosed by Haymore in order to provide suitable conditions to deposit the AlN film having a reduced resistivity.
Claim(s) 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) and US 20070161494 (Fukuyama et al) as applied to claim 11 above, and further in view of US 20180072570 (Mesuda et al).
As to claim 14, Zhu in view of Clark and Fukuyama discloses forming the GaN film ([Zhu [0038] and [0050]).
Zhu in view of Clark and Fukuyama does not disclose wherein a film forming method in the GaN film forming step is a sputtering method that involves a sputter energy of 0.01 W/cm²Pa² or more and 150 W/cm²Pa² or less. However, Mesuda discloses a gallium nitride-based film that may be suitably used also as a laminated substrate comprising a substrate and a gallium nitride-based film ([0070]). The GaN film is deposited by sputtering with the gas pressure at the time of sputtering is less than 0.3 Pa, preferably at most 0.1 Pa, more preferably at most 0.08 Pa and the power density is preferably at most 5 W/cm.sup.2, more preferably at most 2.5 W/cm.sup.2, further preferably at most 1.5 W/cm.sup.2. The lower limit is preferably 0.1 W/cm.sup.2, more preferably 0.3 W/cm.sup.2. The power density is calculated by dividing the electric power applied at the time of discharge by the area of the sputtering target. If the power density at the time of discharge is higher than 5 W/cm.sup.2, since the sputtering target containing gallium nitride as the main component used generally has a low density, coarse polycrystalline particles tend to be separated from the sputtering target by the power applied to the target. The lower the gas pressure at the time of sputtering, the more particles discharged from the sputtering target are likely to arrive at the substrate while maintaining a high energy, and the more they are likely to be re-arranged to achieve epitaxial growth ([0063] and [0068]). Applicant discloses in [0075] of the originally filed disclosure that the sputter energy (Es) is determined by the formula Es = [injected power density (unit: W/cm2) /[introduced gas pressure (unit: Pa) ] 2 therefore the Es as disclosed to most preferable by Mesuda is (0.3 W/cm2 /(0.08 Pa)2 )= 46.875 W/cm²Pa² which satisfies the claimed limitation. Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to sputter the GaN film of Zhu in view of Clark under the conditions as disclosed by Mesuda in order to achieve epitaxial growth.
Claim(s) 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) as applied to claim 1 above, and further in view of US 20180072570 (Mesuda et al).
Concerning claim 15, Zhu in view of Clark discloses forming the GaN layer on the oxygen-containing aluminum nitride layer.
Zhu in view of Clark does not disclose wherein the gallium nitride film is a sputter-deposited film. However, Mesuda discloses a gallium nitride-based film that may be suitably used also as a laminated substrate comprising a substrate and a gallium nitride-based film ([0070]). The GaN film is deposited by sputtering with the gas pressure at the time of sputtering is less than 0.3 Pa, preferably at most 0.1 Pa, more preferably at most 0.08 Pa and the power density is preferably at most 5 W/cm.sup.2, more preferably at most 2.5 W/cm.sup.2, further preferably at most 1.5 W/cm.sup.2. The lower limit is preferably 0.1 W/cm.sup.2, more preferably 0.3 W/cm.sup.2. The power density is calculated by dividing the electric power applied at the time of discharge by the area of the sputtering target. If the power density at the time of discharge is higher than 5 W/cm.sup.2, since the sputtering target containing gallium nitride as the main component used generally has a low density, coarse polycrystalline particles tend to be separated from the sputtering target by the power applied to the target. The lower the gas pressure at the time of sputtering, the more particles discharged from the sputtering target are likely to arrive at the substrate while maintaining a high energy, and the more they are likely to be re-arranged to achieve epitaxial growth ([0063] and [0068]). Applicant discloses in [0075] of the originally filed disclosure that the sputter energy (Es) is determined by the formula Es = [injected power density (unit: W/cm2) /[introduced gas pressure (unit: Pa) ] 2 therefore the Es as disclosed to most preferable by Mesuda is (0.3 W/cm2 /(0.08 Pa)2 )= 46.875 W/cm²Pa² which satisfies the claimed limitation. Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to sputter the GaN film of Zhu in view of Clark under the conditions as disclosed by Mesuda in order to achieve epitaxial growth.
Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) as applied to claim 1 above, and further in view of US 20160254411 (Fukuyama et al, hereafter referred to as Fukuyama’411).
Continuing to claim 16, Zhu in view of Clark discloses forming the gallium nitride film.
Zhu in view of Clark does not disclose wherein the gallium nitride film is composed of gallium nitride having a hexagonal crystal structure obtained by (0002) epitaxial growth, and a surface of the gallium nitride film has gallium polarity. However, Fukuyama’411 discloses a laminate structure in which the gallium nitride film is composed of gallium nitride having a hexagonal crystal structure obtained by (0002) epitaxial growth, and a surface of the gallium nitride film has gallium polarity ([0138]) and that the GaN film is a layer having excellent crystalline properties ([0138]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to substitute the gallium nitride layer of Zhu in view of Clark with Fukuyama’411 in order to form an epitaxial film with excellent crystalline properties.
Claim(s) 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) and US 20070161494 (Fukuyama et al) as applied to claim 11 above, and further in view of US 20190383976 (Bluck et al).
Considering claim 17, Zhu in view of Clark and Fukuyama disclose forming the AlN layer and the materials used for the formation of the AlN..
Zhu in view of Clark and Fukuyama does not disclose wherein the AlN film forming step comprises forming an aluminum film in an argon atmosphere and then nitriding the aluminum film and simultaneously forming an aluminum nitride film in a nitrogen-containing atmosphere. However, Bluck discloses an AlN film forming method wherein the AlN film forming step comprises forming an aluminum film in an argon atmosphere and then nitriding the aluminum film and simultaneously forming an aluminum nitride film in a nitrogen-containing atmosphere ([0056]). The selection of a known material based on its suitability for its intended use supported a prima facie obviousness determination in Sinclair & Carroll Co. v. Interchemical Corp., 325 U.S. 327, 65 USPQ 297 (1945). See MPEP 2144.07. Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to use an argon atmosphere in forming an aluminum film in an argon atmosphere and then a nitriding nitrogen-containing atmosphere to simultaneously form an aluminum nitride film because these are materials known in the art to be suitable for the intended purpose of forming an AlN layer.
Claim(s) 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) and US 20070161494 (Fukuyama et al) as applied to claim 11 above, and further in view of US 20160254411 (Fukuyama et al, hereafter referred to as Fukuyama’411).
Pertaining to claim 18, Zhu in view of Clark and Fukuyama disclose forming the AlN film and the GaN.
Zhu in view of Clark and Fukuyama does not disclose further comprising an additional AlN film forming step of forming an aluminum nitride film after the oxidizing step and before the GaN film forming step. However, Fukuyama’411 discloses a laminate structure (Fig. 1B) in which an oxygen doped aluminum nitride layer is formed over a substrate, followed by the formation of an aluminum nitride layer, and then a gallium nitride layer ([0054]-[0056] and [0138]). Fukuyama’411 discloses that AlN allows for the formation of a laminate structure that has a low crystalline defect concentration ([0006]). Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the process of Zhu in view of Clark and Fukuyama to include the additional formation of an AlN layer as disclosed by Fukuyama’411 in order to form a laminate structure that has a low crystalline defect concentration.
Claim(s) 19 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 20140264363 (Zhu et al) in view of US 20120104443 (Clark et al) and US 20070161494 (Fukuyama et al) as applied to claim 11 above, and further in view of US 20180072570 (Mesuda et al).
Concerning claim 19, Zhu in view of Clark and Fukuyama discloses forming the GaN layer on the oxygen-containing aluminum nitride layer.
Zhu in view of Clark and Fukuyama does not disclose wherein the gallium nitride film is a sputter-deposited film. However, Mesuda discloses a gallium nitride-based film that may be suitably used also as a laminated substrate comprising a substrate and a gallium nitride-based film ([0070]). The GaN film is deposited by sputtering with the gas pressure at the time of sputtering is less than 0.3 Pa, preferably at most 0.1 Pa, more preferably at most 0.08 Pa and the power density is preferably at most 5 W/cm.sup.2, more preferably at most 2.5 W/cm.sup.2, further preferably at most 1.5 W/cm.sup.2. The lower limit is preferably 0.1 W/cm.sup.2, more preferably 0.3 W/cm.sup.2. The power density is calculated by dividing the electric power applied at the time of discharge by the area of the sputtering target. If the power density at the time of discharge is higher than 5 W/cm.sup.2, since the sputtering target containing gallium nitride as the main component used generally has a low density, coarse polycrystalline particles tend to be separated from the sputtering target by the power applied to the target. The lower the gas pressure at the time of sputtering, the more particles discharged from the sputtering target are likely to arrive at the substrate while maintaining a high energy, and the more they are likely to be re-arranged to achieve epitaxial growth ([0063] and [0068]). Applicant discloses in [0075] of the originally filed disclosure that the sputter energy (Es) is determined by the formula Es = [injected power density (unit: W/cm2) /[introduced gas pressure (unit: Pa) ] 2 therefore the Es as disclosed to most preferable by Mesuda is (0.3 W/cm2 /(0.08 Pa)2 )= 46.875 W/cm²Pa² which satisfies the claimed limitation. Therefore it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to sputter the GaN film of Zhu in view of Clark and Fukuyama under the conditions as disclosed by Mesuda in order to achieve epitaxial growth.
Applicant’s arguments with respect to claim(s) 1 and 11 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.
Conclusion
Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). 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.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to VALERIE N NEWTON whose telephone number is (571)270-5015. The examiner can normally be reached M-F 8-5.
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/VALERIE N NEWTON/ Examiner, Art Unit 2897 10/02/26
/CHAD M DICKE/ Supervisory Patent Examiner, Art Unit 2897
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