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 .
Election/Restrictions
Applicant’s election of species I in the reply filed on 12/23/25 is acknowledged. Because applicant did not distinctly and specifically point out the supposed errors in the restriction requirement, the election has been treated as an election without traverse (MPEP § 818.01(a)).
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) 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-AIA ), 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.
Claim 8 is rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), 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-AIA 35 U.S.C. 112, the applicant), regards as the invention.
In claim 8-line 2, the use of the word “substantially” in the phrase “substantially equal to a thickness of the gate material layer” renders the claim indefinite because it is unclear to one of ordinary skill in the art the standard provided by the word substantially since the specification does not precisely define what is meant by the term.
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 (i.e., changing from AIA to pre-AIA ) 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 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.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claim(s) 1-3 and 5-10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Chung et al., US 2013/0115745 in view of Lin, U.S. Patent 8,377,813.
Chung et al. shows the invention substantially as claimed including a method of manufacturing a semiconductor device, the method comprising:
Forming a plurality of first trenches 130T in a substrate, the plurality of first trenches is spaced apart from each other in a first horizontal direction and each of the plurality of first trenches extends in a second horizontal direction orthogonal to the first horizontal direction;
Forming a plurality of first filling layers 152 that fills the plurality of first trenches, each of the plurality of first filling layers has protrusions extending to protrude from the substrate (see fig. 8B);
Forming spacers 154S on sidewalls of the protrusions of the plurality of first filling layers, the spacers expose portions of the substrate between adjacent first filling layers of the plurality of first filling layers (see fig. 10B);
Forming a plurality of second trenches 120T around the plurality of first trenches by etching the portions of the substrate exposed by the spacers (see fig. 11B);
Forming a plurality of second filling layers filling the plurality of second trenches and having top surfaces positioned at a same level as a top surface of the substrate; and removing all the plurality of first filling layers and the spacers (see figs. 12B-13B and paragraphs 0040-0110).
Chung et al. does not expressly disclose forming a gate material layer conformally covering inner walls of the plurality of first trenches; forming a pair of gate structures in each of the plurality of first trenches by separating the gate material layer (see fig. 3F) and forming a third filling layer 312 between the pair of gate structures and in each of the plurality of first trenches. Lin discloses forming a gate material layer 306 conformally covering inner walls of the plurality of first trenches; forming a pair of gate structures in each of the plurality of first trenches by separating the gate material layer (see fig. 3F) and forming a third filling layer 312 between the pair of gate structures and in each of the plurality of first trenches (see figs. 3a-3g and column 3-line 43 to column 4-line 37. In view of this disclosure, it would have been obvious to one of ordinary skill in the art at the time the invention was filed to modify the primary reference of Chung et al. so as to form the gate using the method as shown by Lin because in such a way an effective memory cell of high integration can be fabricated.
Concerning dependent claim 2, note that in Chung et al. the forming of the plurality of first filling layers comprises: filling the plurality of first trenches with a first filling layer material; and removing an upper portion of the substrate by a first thickness to expose sidewalls of the protrusion (see figs. 7B-8B).
With respect to dependent claim 3, note that in Chung et al. the forming of the spacers comprises: forming a spacer material 154 conformally covering the substrate and the protrusion; and partially etching the spacer material to expose portions of the substrate between adjacent first filling layers of the plurality of first filling layers (see fig. 10B).
As to dependent claim 5, note that in Chung et al. each of the plurality of first filling layers is a sacrificial film since it is later removed; and the second filling layer can comprise a conductive material such as conductive material 130.
With respect to dependent claim 6, note that in Chung et al. a portion of each of the plurality of second filling layers comprises a shield structure extending in the second horizontal direction and comprising a conductive material 130, for example (see fig. 8B).
As to dependent claim 7, note that in Chung et al. a width of each of the plurality of first trenches in the first horizontal direction is greater than a width of each of the plurality of second trenches in the first horizontal direction; and a vertical level of a bottom surface of each of the plurality of first trenches is positioned higher than a vertical level of a bottom surface of each of the plurality of second trenches (see, for example, figs. 12a-13b and their descriptions).
Regarding dependent claim 8 and the particular dimensions of the gate structure, where the only difference between the prior art and the claims was a recitation of relative dimensions of the claimed device and a device having the claimed relative dimensions would not perform differently than the prior art device, the claimed device was not patentably distinct from the prior art device.
Concerning dependent claim 9, note that in Chung et al. in the substrate, a plurality of active regions surrounded by the plurality of second filling layers have long axes in the first horizontal direction; and the direction of the long axes of the active regions is orthogonal to a direction in which the pair of gate structures extend.
As to dependent claim 10, note that in the secondary reference of Lin each of the pair of gate structures is a word line constituting a vertical channel transistor (see, for example, fig. 3G).
Allowable Subject Matter
Claim 4 is objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
Claims 16-20 are allowed.
The following is a statement of reasons for the indication of allowable subject matter: the prior art of record and applied, either singly or in combination, fails to anticipate or render obvious, the claimed invention having the followed limitations, in combination with the remaining claimed limitations: the third filling layer being an epitaxial growth layer, as required by dependent claim 4 and forming an epitaxial growth layer between the pair of gate structures in each of the plurality of first trenches, as required by independent claim 16.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to RICHARD A BOOTH whose telephone number is (571)272-1668. The examiner can normally be reached Monday to Friday, 8:30 to 5:00.
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 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.
/RICHARD A BOOTH/ Primary Examiner, Art Unit 2812
March 1, 2026