Prosecution Insights
Last updated: May 29, 2026
Application No. 18/032,651

Ferroelectric Device and Semiconductor Device

Non-Final OA §103
Filed
Apr 19, 2023
Priority
Oct 20, 2020 — JP 2020-176335 +1 more
Examiner
SABUR, ALIA
Art Unit
2812
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Semiconductor Energy Laboratory Co. Ltd.
OA Round
2 (Non-Final)
74%
Grant Probability
Favorable
2-3
OA Rounds
0m
Est. Remaining
82%
With Interview

Examiner Intelligence

Grants 74% — above average
74%
Career Allowance Rate
431 granted / 581 resolved
+6.2% vs TC avg
Moderate +7% lift
Without
With
+7.3%
Interview Lift
resolved cases with interview
Typical timeline
2y 3m
Avg Prosecution
25 currently pending
Career history
621
Total Applications
across all art units

Statute-Specific Performance

§101
1.2%
-38.8% vs TC avg
§103
89.0%
+49.0% vs TC avg
§102
2.1%
-37.9% vs TC avg
§112
5.2%
-34.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 581 resolved cases

Office Action

§103
DETAILED ACTION Claim Rejections - 35 USC § 103 The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action. Claims 1, 2, and 4 are rejected under 35 U.S.C. 103 as being unpatentable over Sun (U.S. PGPub 2015/0206893) in view of Choi (U.S. PGPub 2008/0164503) and Jeon (U.S. PGPub 2021/0202508). Regarding claim 1, Sun teaches a ferroelectric device (Fig. 2I) comprising a first conductor over a first insulator, a ferroelectric layer over the first conductor, a second conductor over the ferroelectric layer (first insulator 232, [0038]; first conductor 238, ferroelectric layer 240, second conductor 242, [0041]); a second insulator over the second conductor; and a third insulator surrounding the first conductor, the ferroelectric layer, the second conductor, and the second insulator, wherein the ferroelectric layer is in contact with a top surface of the first conductor, wherein the second insulator is capable of capturing or fixing hydrogen, and wherein the third insulator is capable of inhibiting hydrogen (second insulator 250a, third insulator 250b, [0044]; 250a is a hydrogen encapsulation layer; 250b is a silicon nitride layer, Applicant’s Spec at [0112] states silicon nitride is capable of inhibiting hydrogen). Sun does not explicitly teach wherein the ferroelectric layer is in contact with a top surface of the first insulator and a side surface of the first conductor. Choi teaches a ferroelectric device comprising a ferroelectric layer which contacts the top and side surface of the lower electrode and extends onto the insulating layer adjacent to the device (Fig. 1, lower electrode 182, ferroelectric layer 184/186, insulating layer 170/160, [0031]-[0035) and a protective insulator surrounding the first conductor, ferroelectric layer, and a second conductor layer ([0036]). Therefore it would have been obvious to a person having ordinary skill in the art before the time of the effective filing date to combine the teachings of Choi with Sun such that the ferroelectric layer is in contact with a top surface of the first insulator and a side surface of the first conductor for the purpose of increasing the capacitance (Choi, [0037]). Sun and Choi do not explicitly teach wherein the ferroelectric layer comprises hafnium and zirconium and an orthorhombic crystal structure. Sun and Choi teach wherein the ferroelectric layer comprises PZT (Sun, [0041]; Choi, [0035]). Jeon teaches a ferroelectric device, comprising a first conductor, a ferroelectric layer over the first conductor, and a second conductor over the ferroelectric layer (Fig. 2, 11/13/15, [0073]), wherein the ferroelectric layer comprises hafnium and zirconium and has an orthorhombic crystal structure ([0075]). Therefore it would have been obvious to a person having ordinary skill in the art before the time of the effective filing date to combine the teachings of Jeon with Sun and Choi such that the ferroelectric layer comprises hafnium and zirconium and an orthorhombic crystal structure for the purpose of replacing PZT to improve device miniaturization and CMOS compatibility, and to provide a lead-free ferroelectric (Jeon, [0004]-[0005]). Regarding claim 2, the combination of Sun, Choi, and Jeon teaches wherein the second insulator comprises oxygen and aluminum, and wherein the third insulator comprises nitrogen and silicon (Sun, [0044]). Regarding claim 4, the combination of Sun, Choi, and Jeon teaches wherein the first insulator comprises nitrogen and silicon (Sun, [0038]). Claim 3 is rejected under 35 U.S.C. 103 as being unpatentable over Sun (U.S. PGPub 2015/0206893) in view of Choi (U.S. PGPub 2008/0164503), Jeon (U.S. PGPub 2021/0202508), and Martin (U.S. PGPub 2004/0099893). Regarding claim 3, Sun, Choi, and Jeon do not explicitly teach wherein the second insulator has an amorphous structure. Martin teaches wherein a hydrogen barrier layer comprising aluminum oxide is amorphous ([0014], [0053]-[0054]). Therefore it would have been obvious to a person having ordinary skill in the art before the time of the effective filing date to combine the teachings of Martin with Sun, Choi, and Jeon such that the second insulator has an amorphous structure for the purpose of providing improved hydrogen barrier properties (Martin, [0014]). Claim 6 is rejected under 35 U.S.C. 103 as being unpatentable over Sun (U.S. PGPub 2015/0206893) in view of Choi (U.S. PGPub 2008/0164503), Jeon (U.S. PGPub 2021/0202508), and Summerfelt (U.S. Pat. 6548343). Regarding claim 6, Sun, Choi, and Jeon do not explicitly teach wherein a hydrogen concentration in the ferroelectric layer is lower than or equal to 5×1020 atoms/cm3 in secondary ion mass spectrometry. Summerfelt teaches forming a ferroelectric capacitor and a hydrogen barrier layer over the capacitor, wherein the hydrogen barrier layer comprises an aluminum oxide layer and a silicon nitride layer (Fig. 1, 118, 120, col. 13, l. 8-14) followed by a heat treatment (Fig. 2, 218, 222; thermal step, Abstract; col. 14, l. 60-67). Applicant’s Specification teaches wherein a heat treatment is performed on second and third insulators comprising aluminum oxide and silicon nitride, which provides the decreased hydrogen concentration in the ferroelectric layer ([0108], [0114]-[0116]; [0672]). Where the claimed and prior art products are identical or substantially identical in structure or composition, or are produced by identical or substantially identical processes, a prima facie case of either anticipation or obviousness has been established. See MPEP 2112.01. Therefore it would have been obvious to a person having ordinary skill in the art before the time of the effective filing date to combine the teachings of Summerfelt with Sun, Choi, and Jeon such that a hydrogen concentration in the ferroelectric layer is lower than or equal to 5×1020 atoms/cm3 in secondary ion mass spectrometry due to incorporating a heat treatment to remove damage in the capacitor stack (Summerfelt, col. 20, l. 44-49). Claims 7-8 are rejected under 35 U.S.C. 103 as being unpatentable over Sun (U.S. PGPub 2015/0206893) in view of Choi (U.S. PGPub 2008/0164503), Jeon (U.S. PGPub 2021/0202508), and Sharma (U.S. PGPub 2020/0373312). Regarding claims 7-8, Sun, Choi, and Jeon teach a transistor below the first insulator, the ferroelectric device according to claim 1, wherein the transistor is below the first insulator, wherein one of a source and drain of the transistor is electrically connected to the first conductor (Sun, Fig. 2I, 214, [0032]; Choi, Fig. 1, 132, [0031]-[0032]). Sun, Choi, and Jeon do not explicitly teach wherein the transistor comprises an oxide semiconductor layer in a channel formation region. Sharma teaches a ferroelectric capacitor, a transistor below the ferroelectric capacitor, wherein the transistor comprises an oxide semiconductor layer in a channel formation region, and wherein one of a source and drain of the transistor is electrically connected to the first conductor (Fig. 1, 190, 140, 180, [0027], [0023]-[0024]). Therefore it would have been obvious to a person having ordinary skill in the art before the time of the effective filing date to combine the teachings of Sharma with Sun, Choi, and Jeon such that the transistor comprises an oxide semiconductor layer in a channel formation region for the purpose of improving scaling (Sharma, [0015]). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to ALIA SABUR whose telephone number is (571)270-7219. The examiner can normally be reached M-F 9:30-5:30. Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Christine S. Kim can be reached at 571-272-8458. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /ALIA SABUR/Primary Examiner, Art Unit 2812
Read full office action

Prosecution Timeline

Show 1 earlier event
Jul 09, 2025
Non-Final Rejection mailed — §103
Oct 06, 2025
Response Filed
Dec 19, 2025
Final Rejection mailed — §103
Mar 02, 2026
Response after Non-Final Action
Mar 23, 2026
Applicant Interview (Telephonic)
Mar 24, 2026
Examiner Interview Summary
Apr 13, 2026
Request for Continued Examination
Apr 16, 2026
Response after Non-Final Action

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Prosecution Projections

2-3
Expected OA Rounds
74%
Grant Probability
82%
With Interview (+7.3%)
2y 3m (~0m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 581 resolved cases by this examiner. Grant probability derived from career allowance rate.

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