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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and TrademarkOffice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`17/688,440
`
`03/07/2022
`
`Hideyuki OKITA
`
`070469-1163
`
`7152
`
`McDermott Will and Emery LLP
`The McDermott Building
`500 North Capitol Street, N.W.
`Washington, DC 20001
`
`NADAY,ORI
`
`2811
`
`PAPER NUMBER
`
`NOTIFICATION DATE
`
`DELIVERY MODE
`
`03/31/2023
`
`ELECTRONIC
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`Thetime period for reply, if any, is set in the attached communication.
`
`Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
`following e-mail address(es):
`
`mweipdocket@mwe.com
`
`PTOL-90A (Rev. 04/07)
`
`

`

`Office Action Summary
`
`Application No.
`17/688,440
`Examiner
`ORI NADAV
`
`Applicant(s)
`OKITAet al.
`Art Unit
`2811
`
`AIA (FITF) Status
`Yes
`
`-- 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). In no event, however, may a reply betimely filed after SIX (6) MONTHSfrom 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) MONTHSfrom 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).
`Any reply 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).
`
`Status
`
`
`
`1) Responsive to communication(s) filed on 3/20/23.
`C} A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/werefiled on
`
`2a)() This action is FINAL. 2b)¥)This action is non-final.
`3)02 An election was madeby the applicant in responseto a restriction requirement set forth during the interview
`on
`; the restriction requirement and election have been incorporated into this action.
`4)\0) Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Exparte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`Disposition of Claims*
`1-13 is/are pending in the application.
`)
`Claim(s)
`5a) Of the above claim(s) 8-13 is/are withdrawn from consideration.
`[) Claim(s)__ is/are allowed.
`Claim(s) 1-7 is/are rejected.
`S)
`) © Claim(s)____is/are objected to.
`C] Claim(s
`are subjectto restriction and/or election requirement
`)
`S)
`“If any claims have been determined allowable, you maybeeligible to benefit from the Patent Prosecution Highway program at a
`participating intellectual property office for the corresponding application. For more information, please see
`http:/Awww.uspto.gov/patents/init_events/pph/index.jsp or send an inquiry to PPHfeedback@uspto.gov.
`
`) )
`
`Application Papers
`10)() The specification is objected to by the Examiner.
`11)M The drawing(s)filed on 3/7/22 is/are: a)M 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)[¥] Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`Certified copies:
`c)() None ofthe:
`b)( Some**
`a) All
`1.4] Certified copies of the priority documents have been received.
`2.1.) Certified copies of the priority documents have beenreceived in Application No.
`3.2.) 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)
`
`Notice of References Cited (PTO-892)
`
`Information Disclosure Statement(s) (PTO/SB/08a and/or PTO/SB/08b)
`2)
`Paper No(s)/Mail Date 3/7/22.
`U.S. Patent and Trademark Office
`
`3)
`
`(LJ Interview Summary (PTO-413)
`Paper No(s)/Mail Date
`4) (J Other:
`
`PTOL-326 (Rev. 11-13)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20230327
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 2
`
`3The present application, filed on or after March 16, 2013, is being examined
`
`under the first inventor to file provisions of the AIA
`
`DETAILED ACTION
`
`Claim Rejections - 35 USC § 112
`
`The following is a quotation of the first paragraph of 35 U.S.C. 112(a):
`
`(a) INGENERAL.—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 terms as to enable any person skilled in the art to whichit pertains, or with whichit
`is most nearly connected, to make and use the same, and shall set forth the best mode
`contemplated by the inventor or joint inventor of carrying out the invention.
`
`The following is a quotation of the first paragraph of pre-AlA 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 terms as to
`enable any person skilled in the art to which it pertains, or with whichit 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 1-7 are rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AlA), first
`
`paragraph, asfailing to comply with the written description requirement. The claim(s)
`
`contains subject matter which wasnot described in the specification in such a way as to
`
`reasonably conveyto one skilled in the relevant art that the inventor or a joint inventor,
`
`or for applications subject to pre-AlA 35 U.S.C. 112, the inventor(s), at the time the
`
`application wasfiled, had possession of the claimed invention.
`
`There is no support in the elected embodiment of figures 7-10 and 13 for the
`
`claimed limitation of “sidewalls of the first barrier layer and the gate layer are
`
`continuously connected’, as recited in claim 1, because sidewalls of the first barrier
`
`layer 4 and the gate layer 5 are separated by diffusion layer 12 and thus not
`
`continuously connected.
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 3
`
`The following is a quotation of 35 U.S.C. 112(b):
`(ob) CONCLUSION.—The specification shall conclude with one or more claims particularly
`pointing out and distinctly claiming the subject matter which the inventor or a joint inventor
`regards as the invention.
`
`The following is a quotation of 35 U.S.C. 112 (pre-AlA), second paragraph:
`The specification shall conclude with one or more claims particularly pointing out and distinctly
`claiming the subject matter which the applicant regards as his invention.
`
`Claims 1-7 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AlA),
`
`second paragraph, as being indefinite for failing to particularly point out and distinctly
`
`claim the subject matter which the inventor or a joint inventor (or for applications subject
`
`to pre-AlA 35 U.S.C. 112, the applicant), regards as the invention.
`
`The claimed limitation of “a first barrier layer which is a nitride semiconductor
`
`disposed on and in contact with a selected part of an upper surface of the channel layer
`
`and having a second band gaplarger than the first band gap of the channel layer;
`
`a gate layer whichis a nitride semiconductor containing a p-type impurity, the
`
`gate layer being disposed on and in contactwith the first barrier layer;
`
`a second barrier layer which is a nitride semiconductor disposed in contact with
`
`both the channel layer and the first barrier layer, in an area where the gate layer is not
`
`disposed, the second barrier layer having a third band gap whichis larger than the first
`
`band gap of the channel layer, and having a thickness and a band gap that are
`
`independently set with respectto the first barrier layer, the second barrier layer being a
`
`different layer distinguished from the first barrier layer’, as recited in claim 1, is unclear
`
`for the following reasons. The disclosure recites on paragraph [0055] thatthe first
`
`barrier layer is formed of AlGaN. The disclosure further recites on paragraph [0076]
`
`that the first barrier layer can be formed of various materials. The claimed device does
`
`not supportafirst barrier layer being formed of AlGaN. Therefore, the claimed
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 4
`
`limitations are unclear since the disclosure does not explicitly recite the material of the
`
`first barrier layer so that an artisan can build a structure comprising the various claimed
`
`band gaps.
`
`Claim Rejections - 35 USC § 103
`
`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.
`
`The following is a quotation of 35 U.S.C. 103 which forms the basis for all
`
`obviousnessrejections setforth 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 ofthistitle, if the differences
`between the claimed invention andthe prior art are such that the claimed invention as a whole
`would have been obvious before the effectivefiling 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 whichthe invention was made.
`
`Claims 1 and 3-6, as best understood, are rejected under 35 U.S.C. 103 as being
`
`unpatentable over Kikkawa (2014/0091316) in view of Applicant Admitted Prior Art
`
`(AAPR).
`
`Regarding claim 1, Kikkawa teaches in figure 7 and related text semiconductor device,
`
`comprising:
`
`a substrate 110;
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 5
`
`a channel layer 125 which is constituted of a single layer of a nitride
`
`semiconductor disposed over the substrate 110 and havingafirst band gap;
`
`a first barrier layer 126 whichis a nitride semiconductor disposed on and in
`
`contact with a selected part of an upper surface of the channel layer 125 and having a
`
`second band gap (of Alo.15Gao.gsN) larger than thefirst band gap (of GaN) of the
`
`channel layer 3;
`
`a gate layer (127 and/or 131) whichis a nitride semiconductor containing a p-
`
`type impurity, the gate layer being disposed on and in contact (electrical contact) with
`
`the first barrier layer 126;
`
`a second barrier layer 123 whichis a nitride semiconductor disposed in contact
`
`(at least electrical contact) with both the channel layer and the first barrier layer, in an
`
`area wherethe gate layer is not disposed,
`
`the secondbarrier layer 123 having a third band gap (of Alo.15Gao.ssN) which is
`
`larger than the first band gap (of GaN) of the channel layer 125, and having a thickness
`
`and a band gapthat are independently set with respectto the first barrier layer, the
`
`second barrier layer being a different layer distinguished from the first barrier layer;
`
`a gate electrode (131 or the top part of element 31) which is disposed on the
`
`gate layer; and
`
`a source electrode 132 and a drain electrode 133 which are spaced apart from
`
`the gate layer (127 and/or 131) and disposed on the second barrier layer 123,
`
`sidewalls of the first barrier layer 126 and the gate layer (127 and/or 131) are
`
`continuously connected,
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 6
`
`a lower surface (lowest surface) of the second barrier layer 123 is located lower
`
`than a lower surface (part of the surface of a sidewall ofthe first barrier layer 126) of the
`
`first barrier layer 126.
`
`Kikkawa does notteach that a cross sectional shape along a source-to-drain direction of
`
`the gate layer is a forward tapered shape having a top smaller than a bottom, and
`
`wherein the channel layer is continuous from a portion below the source electrode to a
`
`portion below the drain electrode.
`
`AAPAteaches in figure 3 and related text that a cross sectional shape along a source-
`
`to-drain direction of the gate layer is a forward tapered shape having a top smaller than
`
`a bottom, and wherein the channel layer is continuous from a portion below the source
`
`electrode to a portion below the drain electrode.
`
`Kikkawa and AAPAare analogous art because they are directed to semiconductor
`
`devices and one ofordinaryskill in the art would have had a reasonable expectation of
`
`success to modify Kikkawa because they are from the same field of endeavor.
`
`It would have been obvious to a person of ordinary skill in the art, before the effective
`
`filling date of the claimed invention, to use a cross sectional shape along a source-to-
`
`drain direction of the gate layer is a forward tapered shape having a top smaller than a
`
`bottom, and wherein the channel layer is continuous from a portion below the source
`
`electrode to a portion below the drain electrode, as taught by AAPA, in Kikkawa’s
`
`device in order to improve the device characteristics.
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 7
`
`Regarding claim 3, Kikkawa teaches in figure 7 and related text that a thickness of the
`
`second barrier layer 123 is larger than a thicknessofthe first barrier layer 126.
`
`Regarding claim 4, Kikkawa teaches in figure 7 and related text that an upper surface of
`
`the second barrier layer 123 is located higher than an upper surface of the first barrier
`
`layer 126.
`
`Regarding claim 5, Kikkawa teaches in figure 7 and related text that a band gapof the
`
`second barrier layer is larger than a band gapofthe first barrier layer.
`
`Regarding claim 6, Kikkawa teaches in figure 7 and related text that the second barrier
`
`layer contains an n-type impurity.
`
`Claim 2, as best understood, is rejected under 35 U.S.C. 103 as being
`
`unpatentable over Kikkawa (2014/0091316) and Applicant Admitted Prior Art (AAPR),
`
`as applied to claim 1 above, and further in view of Huang etal. (5,116,774) and Gambin
`
`et al. (8,710,511).
`
`Regarding claim 2, Kikkawa and AAPAteach substantially the entire claimed structure,
`
`as applied to claim 1 above, except having a concentration of the p-type impurity
`
`containedin thefirst barrier layer is more than or equal to 1E18 cm-%, anda
`
`concentration of the p-type impurity contained in the second barrier layer is less than
`
`1E18 cm-*.
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 8
`
`Huang et al. teach that a concentration of the impurities contained in the barrier layer is
`
`more than or equal to 1E18 cm-*.
`
`Gambin etal. teach in figure 2 and related text that the concentration of the impurities
`
`contained in the barrier layer is graded.
`
`Huang et al., Gambin et al., Kikkawa and AAPA are analogous art because they are
`
`directed to semiconductor devices and one ofordinary skill in the art would have had a
`
`reasonable expectation of success to modify Kikkawa because they are from the same
`
`field of endeavor.
`
`It would have been obvious to a person of ordinary skill in the art, before the effective
`
`filling date of the claimed invention, to form the first and second barrier layers having
`
`graded concentration more than or equal to 1E18 cm-°, as taught by Huang etal. and
`
`Gambin etal., in prior art’s device, in order to improve the device characteristics.
`
`In the combined device, the concentration of the p-type impurity contained in the first
`
`barrier layer is more than or equal to 1E18 cm-*, and a concentration of the p-type
`
`impurity contained in the secondbarrier layer is less than 1E18 cm-? (since the
`
`concentration is graded).
`
`Claim 7, as best understood, is rejected under 35 U.S.C. 103 as being
`
`unpatentable over Kikkawa (2014/0091316) and Applicant Admitted Prior Art (AAPR),
`
`as applied to claim 1 above, and further in view of Sonkusale et al. (2009/0137088) and
`
`Yokogawaetal. (2003/0141518).
`
`Regarding claim 7, Kikkawa and AAPAteach substantially the entire claimed structure,
`
`as applied to claim 1 above, including the channel layer 125 includes a lower layer of a
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 9
`
`first channel layer (lower portion) and an upper layer of a second channel layer (upper
`
`portion), and the second channel layer 125 is disposed only in an area wherethe first
`
`barrier layer 126 is disposed in a plan view.
`
`Kikkawa and AAPAdo notteach that band gapof the second channel layer is different
`
`from a band gapof the first channel layer.
`
`Sonkusale et al. teach in figure 13 and related text that the band gap of the second
`
`channel layer 502 different from a band gapof the first channel layer 504.
`
`Yokogawaetal. teach in figure 19 and related text that the band gap of the second
`
`channel layer Rch2 different from a band gapofthe first channel layer Rch1.
`
`Sonkusale et al., Yokogawaet al., Kikkawa and AAPAare analogous art because they
`
`are directed to semiconductor devices and one ofordinaryskill in the art would have
`
`had a reasonable expectation of success to modify Kikkawa becausethey are from the
`
`same field of endeavor.
`
`It would have been obvious to a person of ordinary skill in the art, before the effective
`
`filling date of the claimed invention, to form the band gap of the second channel layer
`
`different from a band gapofthe first channel layer, as taught by Sonkusaleet al. and
`
`Yokogawaetal., in prior art’s device, in order to improve the device characteristics.
`
`

`

`Application/Control Number: 17/688,440
`Art Unit: 2811
`
`Page 10
`
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`
`examiner should be directed to ORI NADAV whosetelephone numberis 571-272-1660.
`
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`
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`
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`
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`
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`O.N.
`3/27/2023
`
`/ORI NADAV/
`PRIMARY EXAMINER
`TECHNOLOGY CENTER 2800
`
`