NGK INSULATORS, LTD.

Patent Trials and Appeals Board

Mar 25, 2022

2022000625 (P.T.A.B. Mar. 25, 2022)

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 DOCKET NO. CONFIRMATION NO. 15/991,317 05/29/2018 Makoto IWAI 4379.P0004US 7053 23474 7590 03/25/2022 FLYNN THIEL, P.C. 2026 RAMBLING ROAD KALAMAZOO, MI 49008-1631 EXAMINER MAI, ANH D ART UNIT PAPER NUMBER 2829 NOTIFICATION DATE DELIVERY MODE 03/25/2022 ELECTRONIC 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. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es): DOCKET@FLYNNTHIEL.COM PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte MAKOTO IWAI and TAKASHI YOSHINO Appeal 2022-000625 Application 15/991,317 Technology Center 2800 BEFORE JASON V. MORGAN, JEREMY J. CURCURI, and AMBER L. HAGY, Administrative Patent Judges. CURCURI, Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE Pursuant to 35 U.S.C. § 134(a), Appellant1 appeals from the Examiner’s decision to reject claims 1-10. We have jurisdiction under 35 U.S.C. § 6(b). We REVERSE. 1 We use the word Appellant to refer to “applicant” as defined in 37 C.F.R. § 1.42(a). Appellant identifies the real party in interest as NGK Insulators, Ltd. Appeal Br. 1. Appeal 2022-000625 Application 15/991,317 2 CLAIMED SUBJECT MATTER The claims are directed to “[a] group 13 element nitride thick layer having a defect density formed on a[n] underlying layer having high and low carrier concentration regions with different defect densities.” Spec., Title (amended Apr. 13, 2020). Claim 1, reproduced below, is illustrative of the claimed subject matter: 1. A group 13 nitride crystal substrate comprising an underlying layer and a thick layer: said underlying layer comprising a crystal of a nitride of a group 13 element and having a first main face and a second main face; said thick film comprising a crystal of a nitride of a group 13 element and provided over said first main face of said underlying layer; wherein said underlying layer comprises a low carrier concentration region and a high carrier concentration region both extending between said first main face and said second main face; wherein said low carrier concentration region has a carrier concentration of 1×1016/cm3 or higher and 1017/cm3 or lower; wherein said low carrier concentration region has a defect density of 2×106/cm2 or higher and 107/cm2 or lower; wherein said high carrier concentration region has a carrier concentration of 1019/cm3 or higher and 5×1019/cm3 or lower; wherein said high carrier concentration region has a defect density of 108/cm2 or higher and 5×108/cm2 or lower; wherein said thick film has a carrier concentration of 1018/cm3 or higher and 1019/cm3 or lower; and Appeal 2022-000625 Application 15/991,317 3 wherein said thick film has a defect density of 107/cm2 or lower. REJECTIONS Claims 1-10 are rejected under 35 U.S.C. § 112(a) as failing to comply with the enablement requirement. Final Act. 2-4. OPINION The Enablement Rejection of Claims 1-10 The Examiner finds claims 1-10 fail to comply with the enablement requirement. Final Act. 2-4. In particular, the Examiner determines “[t]he claimed substrate and the functional device can not be reproduced based on the disclosure.” Final Act. 4; see also Final Act. 4-5 (responding to previously presented arguments). Appellant presents the following principal arguments: “[T]he positions taken by the Examiner are directly contradicted by the conditions used to grow the inventive group 13 nitride crystal substrate presented in the specification.” Appeal Br. 3. “As described in paragraph [0051], when the underlying layer 13 is produced by a flux method, the . . . conditions (1A) to (4A) are employed.” Appeal Br. 3; see also Appeal Br. 3-4 (discussing conditions 1A to 4A). “As described in paragraph [0050], the result is that the horizontal growth of the crystal is suppressed to leave the vertical growth, and the growth rate is made lower.” Appeal Br. 4. Furthermore, as shown in Fig. 3(b), nucleation is suppressed, and the crystal is grown slowly and upwardly from nuclei 20 (see arrow C in Fig. 3(b) []). As described in paragraph [0052], the . . . growth conditions (1A) to (4A) promote upward Appeal 2022-000625 Application 15/991,317 4 and vertical crystal growth in a shape of a pillar (see arrow C in Fig. 3(b)) from the respective nuclei 20 in the initial stage. Appeal Br. 4; see also Appeal Br. 5 (discussing conditions 1A to 4A). According to this process, the distance of the nuclei 20 is relatively large. Thus, spaces are left between the adjacent fast- and upwardly-growing high carrier concentration regions. The spaces are filled with the crystal generated from the remaining melt containing lower carrier concentrations, since substantial amounts of them are already consumed in growing the vertically growing pillar-shaped high carrier concentration regions. The low carrier concentration regions 5 are thereby formed between the adjacent high carrier concentration regions 4 (see Fig. 4(a) []). Appeal Br. 5; see also Appeal Br. 5-7 (discussing producing the thick layer under different conditions than the conditions while producing the underlying layer), Appeal Br. 7 (discussing the example described in paragraphs 70 to 75 of the Specification), Appeal Br. 8-9 (“[T]he preferential vertical crystal growth at the nuclei creating high-carrier concentration pillars depletes carriers from the slow-moving melt resulting in the melt that remains having a lower carrier concentration. The remaining melt fills the spaces between the high-carrier concentration pillars, and thereby, forms the low-carrier concentration regions of the underlying layer.”). In response, the Examiner explains: According to the specification, the formation of nuclei 20 is inhibited by the high temperature of the melt in the crucible. Then the liquid phase material, melt, being applied on the surface of the seed layer 12 only grow one, single, kind of “carrier concentration region”, again, according to the disclosure “a high carrier concentration region, with a large number of crystal defects” is formed. Appeal 2022-000625 Application 15/991,317 5 Ans. 4; see also Ans. 4 (“This means the melt is formed on the surface of the seed layer 12, without nuclei 20.”), Ans. 5 (“Note that throughout the disclosure, only one growth condition, for the underlying layer, is disclosed.”). Further in response, the Examiner explains: Assuming the nuclei 20 are formed, which is contrary to the specification, the melt material of the liquid phase, flux method, is applied to the surface of the seed layer 12. This melt material should have a carrier concentration. A melt material having same carrier concentration is placed on a nuclei 20 and in the spaces should inherently grow the underlying layer with the same carrier concentration and the same defects, since the growth conditions as disclosed, do not favor one region over the other region, while the same melt material with the same carrier concentration is used. Ans. 5. We review the appealed rejections for error based upon the issues identified by Appellant, and in light of the arguments and evidence produced thereon. Ex parte Frye, 94 USPQ2d 1072, 1075 (BPAI 2010) (precedential). Appellant’s arguments persuade us that the Examiner erred in rejecting the claims. As explained by Appellant, paragraphs 50-52 of the Specification describe the method for growing the underlying layer such that “[t]he nucleation is restrained and the crystal is grown upwardly from nuclei 20 (arrows C) as shown in Fig. 3(b).” Spec. ¶ 50; see also id. ¶¶ 51 (“Specifically, the underlying layer is preferably grown according to the following method.”), 52 (“For example, the following conditions are applicable.”). Appeal 2022-000625 Application 15/991,317 6 Thus, Appellant has provided a credible explanation as to why one having ordinary skill in the art would understand how to make and use the invention. The Examiner’s response does not persuade us that Appellant is incorrect. First, to support the Examiner’s determination that the claim is not enabled, the Examiner interprets “inhibited” in the Specification to mean that no nuclei are formed. Ans. 4. We disagree. We determine that “inhibited” as used in Appellant’s Specification means restrained such that formation of nuclei is restrained but not entirely prevented. See id. ¶¶ 50 (“The nucleation is restrained and the crystal is grown upwardly from nuclei 20 (arrows C) as shown in Fig. 3(b).”), 51 (“[T]he underlying layer is preferably grown according to the following method . . . the supersaturation degree is increased to inhibit the formation of nuclei 20.”). In the alternative, the Examiner determines that assuming nuclei are formed, “the growth conditions as disclosed, do not favor one region over the other region.” Ans. 5. We disagree. In summary, Appellant has provided an explanation as to why the claimed subject matter is enabled, and cites to the Specification for support. See Appeal Br. 4-9 (citing Spec. ¶¶ 50-52, Fig. 3(b)). We determine, on its face, that Appellant’s Specification supports Appellant’s explanation. The Examiner’s explanation does not persuade us that Appellant’s explanation is incorrect. Nor does the Examiner provide any evidence to rebut Appellant’s position. Accordingly, we find Appellant’s Specification reasonably describes to those skilled in the art how to make and use the invention as recited in the claims. Appeal 2022-000625 Application 15/991,317 7 We, therefore, do not sustain the Examiner’s enablement rejection of claims 1-10. CONCLUSION The Examiner’s decision to reject claims 1-10 is reversed. DECISION SUMMARY In summary: Claims Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 1-10 112(a) Enablement 1-10 REVERSED