`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www .uspto.gov
`
`APPLICATION NO.
`
`
`
`
` FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKETNO.
`
`CONFIRMATIONNO.
`
`14/533,561
`
`11/05/2014
`
`Jun Fujiyoshi
`
`0520-52005CX1
`
`5811
`
`TYPHA IPLLC
`
`1819 L Street NW Suite 200
`Washington, DC 20036
`
`Le
`
`
`
`CHUNG, DAVID 'Y
`
`PAPER NUMBER
`
`ART UNIT
`
`2871
`
`MAIL DATE
`
`12/02/2016
`
`DELIVERY MODE
`
`PAPER
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`PTOL-90A (Rev. 04/07)
`
`

`

`
`
`Applicant(s)
`Application No.
` 14/533,561 FUJIYOSHI ET AL.
`
`Examiner
`Art Unit
`AIA (First Inventorto File)
`Office Action Summary
`
`DAVID CHUNG Na 2871
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTHS FROM THE MAILING DATE OF
`THIS COMMUNICATION.
`Extensions of time may be available underthe provisions of 37 CFR 1.136(a).
`after SIX (6) MONTHS from the mailing date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Anyreply received by the Office later than three months after the mailing date of this communication, evenif timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`
`In no event, however, may a reply betimely filed
`
`Status
`1)X] Responsive to communication(s)filed on16August2016.
`LJ A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiledon__
`2a)X] This action is FINAL.
`2b)L] This action is non-final.
`3)L] Anelection was made bythe applicant in responsetoarestriction requirementset forth during the interview on
`
`
`; the restriction requirement and election have been incorporatedinto this action.
`4)[] Since this application is in condition for allowance exceptfor formal matters, prosecution as to the merits is
`closed in accordance with the practice under Ex parte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`
`
`
`
`Disposition of Claims*
`5)X] Claim(s) 1-20 is/are pending in the application.
`
`5a) Of the above claim(s)
`is/are withdrawn from consideration.
`
`6)L] Claim(s)
`is/are allowed.
`7)X] Claim(s) 1-20 is/are rejected.
`8)L] Claim(s)
`is/are objected to.
`9)L] Claim(s)
`are subject to restriction and/or election requirement.
`* If any claims have been determined allowable, you may be eligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`or send an inquiry to PPHieedback@uspto.qoy.
`
`Application Papers
`10)L] The specification is objected to by the Examiner.
`11) The drawing(s)filed on 05 November 2014 is/are: a)X] accepted or b)[_] objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121(d).
`
`Priority under 35 U.S.C. § 119
`12)X] Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
`a)X] All
`)[_] Some** c)] None ofthe:
`1.x] Certified copies of the priority documents have been received.
`2.L] Certified copies of the priority documents have been received in Application No.
`3.L] Copies of the certified copies of the priority documents have been receivedin this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`““ See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`1) CT] Notice of References Cited (PTO-892)
`:
`.
`2) CT] Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`Paper No(s)/Mail Date
`.
`U.S. Patent and Trademark Office
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`3) CT] Interview Summary (PTO-413)
`Paper No(s)/Mail Date.
`4) CO Other:
`.
`
`.
`
`Part of Paper No./Mail Date 20161128
`
`

`

`Application/Control Number: 14/533,561
`Art Unit: 2871
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`Page 2
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`The present application is being examined underthe pre-AlA first to invent
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`provisions.
`
`DETAILED ACTION
`
`Claim Rejections - 35 USC § 112
`
`The following is a quotation ofthe first paragraph of pre-AlIA 35 U.S.C. 112:
`
`The specification shall contain a written description of the invention, and of the
`manner and process of making and usingit, in suchfull, clear, concise, and exact termsas to
`enable any person skilled in the art to whichit pertains, or with which it is most nearly
`connected, to make and use the same, and shall set forth the best mode contemplated by the
`inventor of carrying out his invention.
`
`Claims 1-9 are rejected under 35 U.S.C. 112 (pre-AlA), first paragraph, as
`
`failing to comply with the written description requirement.
`
`Claim 1 contains subject matter which was not described in the specification in
`
`such a way as to reasonably conveyto one skilled in the relevant art that the inventors,
`
`at the time the application wasfiled, had possession of the claimed invention. Applicant
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`has amendedclaim 1 to recite that “the lowermost plane and the uppermost plane are
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`at a surface of the underlying layer, the surface facing the organic insulation film”.
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`However, as shownin figures 3 and 4 of applicant's originally filed disclosure, the
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`lowermostplane of the underlying layer IN2 faces the inorganic insulation film IN1 and
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`not the organic insulation film PAS. Therefore, the newly addedclaim limitation is not
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`describedin the specification in such a way as to reasonably convey to one of ordinary
`
`skill that the inventors, at the timeoffiling, had possession of the invention as currently
`
`claimed. This is a new matter rejection. For examination purposes, the uppermost
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
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`Page 3
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`plane and the lowermostplane will be interpreted as being on the uppersurface of the
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`underlying layer.
`
`Claims 2-9 are rejected based on their dependency.
`
`Claims 10-14 are rejected under 35 U.S.C. 112 (pre-AlA), first paragraph, as
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`failing to comply with the written description requirement.
`
`Claim 10 contains subject matter which was not described in the specification in
`
`such a way as to reasonably conveyto one skilled in the relevant art that the inventors,
`
`at the time the application wasfiled, had possession of the claimed invention. Applicant
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`has amendedclaim 10 to recite that “the lowermost plane and the uppermost plane are
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`at a surface of the underlying layer, the surface facing the color filter layer’. However,
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`as shownin figures 8 and 9 of applicant's originally filed disclosure, the lowermost plane
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`of the underlying layer IN2 faces the inorganic insulation film IN1 and notthe color filter
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`layer CF. Therefore, the newly added claim limitation is not described in the
`
`specification in such a wayas to reasonably convey to one of ordinary skill that the
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`inventors, at the time of filing, had possession of the invention as currently claimed.
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`This is a new matter rejection. For examination purposes, the uppermost plane and the
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`lowermostplane will be interpreted as being on the uppersurface of the underlying
`
`layer.
`
`Claims 11-14 are rejected based on their dependency.
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
`
`Page 4
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`Claim Rejections - 35 USC § 102
`
`The following is a quotation of the appropriate paragraphs of pre-AlIA 35 U.S.C.
`
`102 that form the basis for the rejections underthis section madein this Office action:
`
`A person shall be entitled to a patent unless —
`
`(b) the invention was patented or described in a printed publication in this or a foreign country
`or in public use or on sale in this country, more than one yearprior to the date of application
`for patent in the United States.
`
`Claims 1-8, 10-12 and 14-19 are rejected under pre-AlA 35 U.S.C. 102(b) as
`
`being anticipated by Kim et al. (US 2004/0125277).
`
`Asto claims 1, 2 and 10, Kim disclosesin figures 3 and 4: a liquid crystal
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`display device comprising a plurality of pixels, each including a thin film transistor T and
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`a pixel electrode 134 formed above a substrate 110, and a color filter layer 132 formed
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`betweenthe drain electrode 124 of the thin film transistor and the pixel electrode;
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`wherein the drain electrode and the pixel electrode are connected through a contact
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`hole 130 formed in the color filter layer; wherein a sidewall of the contact hole 130 is
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`tapered; wherein an underlying layer 118 beneath the color filter layer and in contact
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`with the color filter layer, includes a lowermost plane (overlapping the pixel region)
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`extending substantially parallel to the plane of the substrate and an uppermostplane
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`(overlapping the storage capacitor) extending substantially parallel to the plane of the
`
`substrate; wherein the lowermost plane and the uppermostplane are at a surface of the
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`underlying layer facing the color filter layer; wherein the lowermost plane overlaps with
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`the sidewall of contact hole 130 in a plan view; wherein the uppermostplane is at a
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`position farther from the substrate than a position of the lowermostplane from the
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`substrate, and is disposed at a side of the lowermost plane that is spaced apart from the
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
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`Page 5
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`sidewall of contact hole 130; and wherein a single step of the upper surfaceof the
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`underlying layer is formed so as to extend between the lowermostplane and the
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`uppermostplane.
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`Asto claims 3-5, Kim discloses all of the elements of the claimed invention
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`discussed above regarding claim 1. Kim further disclosesin figures 3 and 4 that the
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`underlying layer 118 is located above a gateline 116.
`
`Asto claim 6, Kim disclosesall of the elements of the claimed invention
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`discussed above regarding claim 5. Kim further disclosesin figures 3 and 4 that the
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`uppermost plane overlaps with the gate line in a plan view and the lowermost plane
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`does not overlap with the gate line in a plan view.
`
`Asto claim 7, Kim disclosesall of the elements of the claimed invention
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`discussed above regarding claim 1. Kim further discloses that the underlying layer 118
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`is an inorganic insulating film including silicon nitride or silicon oxide. See paragraph
`
`[0066].
`
`Asto claim 8, Kim disclosesall of the elements of the claimed invention
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`discussed above regarding claim 1. Kim further discloses in figures 3 and 4 the single
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`step is formed by a difference in the numberof layers that are formed underthe color
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`filter layer.
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`Asto claim 11, Kim disclosesall of the elements of the claimed invention
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`discussed above regarding claim 10. Kim further disclosesin figures 3 and 4 that the
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`underlying layer 118 is located above a gateline 116.
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
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`Page 6
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`Asto claim 12, Kim disclosesall of the elements of the claimed invention
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`discussed above regarding claim 10. Kim further disclosesin figures 3 and 4 that the
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`underlying layer 118 is located above a gate line 116, wherein the uppermost plane
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`overlaps with the gate line in a plan view and the lowermost plane does notoverlap with
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`the gate line in a plan view.
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`Asto claim 14, Kim discloses all of the elements of the claimed invention
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`discussed above regarding claim 10. Kim further discloses in figures 3 and 4: a color
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`filter layer 132 which includes a red color filter 132a and a green colorfilter 132b;
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`wherein a part of the red colorfilter 136a is superposed on a part of the green color filter
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`136b; wherein the underlying layer 118 includes a second plane overlapping the green
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`pixel region andafirst plane overlapping the storage capacitor in the green pixel region;
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`wherein the first and second planeof the underlying layer are at the surface facing the
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`green color filter 132b; wherein the first plane overlaps with an end portion of the green
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`color filter 132b; wherein the second plane is disposedat a side ofthe first plane that is
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`spaced apart from the end portion; and wherein a step is formed so as to extend
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`betweenthefirst plane and the secondplane.
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`Asto claim 15, Kim discloses in figures 3 and 4: a liquid crystal display device
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`comprising a plurality of pixels, each including a thin film transistor T and a pixel
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`electrode 134 formed above a substrate 110, and a color filter layer 132 formed
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`between the drain electrode 124 of the thin film transistor and the pixel electrode 134;
`
`wherein the drain electrode and the pixel electrode are connected through a contact
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`hole 130 formed in the color filter layer 132; wherein a sidewall of the contact hole 130
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
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`Page 7
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`is tapered; wherein an underlying layer 118 beneath the colorfilter layer and in contact
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`with the color filter layer, includes a first plane (overlapping the pixel region) extending
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`substantially parallel to the plane of the substrate and a secondplane (overlapping the
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`storage capacitor) extending substantially parallel to the plane of the substrate; wherein
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`the first plane and the second plane are at a surface of the underlying layer facing the
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`color filter layer; wherein the first plane overlaps with the sidewall of contact hole 130 in
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`a plan view; wherein the secondplane is at a position farther from the substrate than a
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`position of the first plane from the substrate, and is disposedat a side ofthe first plane
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`that is spaced apart from the sidewall of contact hole 130; and whereinafirst step of the
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`upper surface of the underlying layer is formed so as to extend betweenthefirst plane
`
`and the second plane.
`
`Asto claim 16, Kim disclosesall of the elements of the claimed invention
`
`discussed above regarding claim 15. Kim further disclosesin figures 3 and 4: a color
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`filter layer 132 which includes a red color filter 132a and a green colorfilter 132b;
`
`wherein a part of the red colorfilter 136a is superposed on a part of the green color filter
`
`136b; wherein the underlying layer 118 includes a fourth plane overlapping the green
`
`pixel region and a third plane overlapping the storage capacitor in the green pixel
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`region; wherein the third and fourth plane of the underlying layer are at the surface
`
`facing the green color filter 132b; wherein the third plane overlaps with an end portion of
`
`the green color filter 132b; wherein the fourth plane is disposed at a side of the third
`
`plane that is spaced apart from the end portion; and wherein a secondstep is formed so
`
`as to extend betweenthe third plane and the fourth plane.
`
`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
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`Page 8
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`Asto claim 17, Kim in view of Rheedisclosesall of the elements of the claimed
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`invention discussed above regarding claim 16. Kim further discloses in figures 3 and 4,
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`a gate line 116 located under the third plane.
`
`Asto claim 18, Kim discloses all of the elements of the claimed invention
`
`discussed above regarding claim 15. Kim further disclosesin figures 3 and 4 that the
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`underlying layer 118 is located above a gate line 116, wherein the second plane
`
`overlaps with the gate line in a plan view andthe first plane does not overlap with the
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`gate line in a plan view.
`
`Asto claim 19, Kim discloses all of the elements of the claimed invention
`
`discussed above regarding claim 15. Kim further disclosesin figures 3 and 4 that the
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`first step betweenthefirst plane and the second plane surrounds contact hole 131.
`
`Claim Rejections - 35 USC § 103
`
`The following is a quotation of pre-AIA 35 U.S.C. 103(a) which forms the basis
`
`for all obviousnessrejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is not identically disclosed or described
`as set forth in section 102, if the differences between the subject matter sought to be patented
`and the prior art are such that the subject matter as a whole would have been obviousat the
`time the invention was made to a person having ordinary skill in the art to which said subject
`matter pertains. Patentability shall not be negatived by the manner in which the invention was
`made.
`
`Claims 9, 13 and 20 are rejected under pre-AlA 35 U.S.C. 103(a) as being
`
`unpatentable over Kim et al. (US 2004/0125277) as applied to claims 1, 10 and 15.
`
`Asto claims 9 and 13, Kim disclosesall of the elements of the claimed
`
`invention discussed above regarding claims 1 and 10. Kim doesnot disclose that the
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`distance from a position at which the sidewall intersects with the lowermost plane to an
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`end of the lowermost plane abutting the single step is no greater than 1 um. However,it
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
`
`Page 9
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`would have been obvious to one ofordinary skill in the art at the time of invention to
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`modify Kim in this fashion in order to maximize the aperture ratio of the display by
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`minimizing the size of the thin film transistor.
`
`Asto claim 20, Kim disclosesall of the elements of the claimed invention
`
`discussed above regarding claim 15. Kim does not disclose that the distance from a
`
`position at which the sidewall intersects with the first plane to an end of the first plane
`
`abutting thefirst step is no greater than 1 um. However, it would have been obvious to
`
`one of ordinary skill in the art at the time of invention to modify Kim in this fashion in
`
`order to maximize the aperture ratio of the display by minimizing the size of the thin film
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`transistor.
`
`Response to Arguments
`
`Applicant’s arguments with respect to claims 1-20 have been considered but are
`
`mootin view of the new groundsofrejection.
`
`Claims 1-14 have been rejected under 35 U.S.C. 112 (pre-AlA), first paragraph,
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`as failing to comply with the written description requirement.
`
`Claims 1-20 have been rejected based on applying the previously cited prior art
`
`of Kim et al. (US 2004/0125277) as the primary reference.
`
`Conclusion
`
`Applicant's amendment necessitated the new ground(s) of rejection presentedin
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`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).
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`

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`Application/Control Number: 14/533,561
`Art Unit: 2871
`
`Page 10
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`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 eventafirst replyis filed within
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`TWO MONTHS ofthe mailing date of this final action and the advisory action is not
`
`mailed until after the end of the THREE-MONTHshortenedstatutory period, then the
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`shortenedstatutory period will expire on the date the advisory action is mailed, and any
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`extension fee pursuantto 37 CFR 1.136(a) will be calculated from the mailing date of
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`the advisory action.
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`In no event, however, will the statutory period for reply expire later
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`than SIX MONTHS from the date ofthis final action.
`
`Anyinquiry concerning this communication or earlier communications from the
`
`examiner should be directed to David Chung whose telephone numberis (571) 272-
`
`2288. The examiner can normally be reached Mondaythru Friday from 8:30 AM to 5:00
`
`PM.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor Ed Glick can be reachedat (571) 272-2490. The fax numberfor the
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`organization wherethis application or proceeding is assigned is 571-273-8300.
`
`Information regarding the status of an application may be obtained from the
`Patent Application Information Retrieval (PAIR) system. Status information for
`published applications may be obtained from either Private PAIR or Public PAIR.
`Status information for unpublished applications is available through Private PAIR only.
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`you have questions on accessto the Private PAIR system, contact the Electronic
`Business Center (EBC) at 866-217-9197(toll-free).
`If you would like assistance from a
`USPTO Customer Service Representative or access to the automatedinformation
`system, call 800-786-9199 (IN USA OR CANADA)or 571-272-1000.
`
`/David Y. Chung/
`Examiner, Art Unit 2871
`
`/Edward Glick/
`Supervisory Patent Examiner, Art Unit 2871
`
`