DETAILED ACTION
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 with traverse of species II, claims 1-7, in the reply filed on November 26, 2025 is acknowledged. The traversal is on the ground(s) that “there would not be a serious burden to examine these species together”. This is not found persuasive because examining several distinct and separated inventions imposes serious burden on the examiner due to the uniqueness of each invention.
The requirement is still deemed proper and is therefore made FINAL.
Claims 8-20 have been withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected species, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on November 25, 2025.
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The information disclosure statement (IDS) submitted on July 28, 2023 is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner.
Drawings
The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they do not include the following reference sign(s) mentioned in the description: “165” ([0088]) and “411” ([0124]). Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they include the following reference character(s) not mentioned in the description: “292”. Corrected drawing sheets in compliance with 37 CFR 1.121(d), or amendment to the specification to add the reference character(s) in the description in compliance with 37 CFR 1.121(b) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance.
Claim Rejections - 35 USC § 112
The following is a quotation of the first paragraph of 35 U.S.C. 112(a):
(a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it 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 or joint inventor of carrying out the invention.
The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112:
The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it 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.
Claim 6 is rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the enablement requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to enable one skilled in the art to which it pertains, or with which it is most nearly connected, to make and/or use the invention. There is no support in the specification for the claim limitation of "the first thickness of the first portion is equal to the second thickness of the lower portion of the cell gate insulating layer", as recited in claim 6 because the disclosure does not enable an artisan to have the first thickness of the first portion to be equal to the second thickness of the lower portion of the cell gate insulating layer when “a first thickness of the first portion of the upper portion of the cell gate insulating layer is greater than the second thickness of the lower portion of the cell gate insulating layer”, as recited in claim 1.
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.
Claims 1-7 are 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.
The claimed limitation of "a cell gate structure … extended in a first direction", as recited in claim 1, is unclear as to which dimension of a cell gate structure extended in a first direction applicant refers.
The claimed limitation of "a bit line structure crossing the cell gate structure", as recited in claim 1, is unclear as to which dimension of a bit line structure crossing the cell gate structure applicant refers.
The claimed limitation of "the first thickness is different from that of a third thickness of the second portion", as recited in claim 1, is unclear as to what the term “that” applicant refers.
The claimed limitation of "the first thickness of the first portion is equal to the second thickness of the lower portion of the cell gate insulating layer", as recited in claim 6, is unclear as to how the first thickness of the first portion can be equal to the second thickness of the lower portion of the cell gate insulating layer when “a first thickness of the first portion of the upper portion of the cell gate insulating layer is greater than the second thickness of the lower portion of the cell gate insulating layer”, as recited in claim 1.
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claim(s) 1, 2 and 4-7, as best understood, is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Im et al. (2020/0203352).
As for claim 1, Im et al. show in Figs. 1, 7B and related text a semiconductor memory device, comprising:
a substrate 100 including an active region ACT;
a cell gate structure GL in the substrate and extended in a first direction D2 (Fig. 1), the cell gate structure including a cell gate trench 120, a cell gate insulating layer 210/(lower portion of) 250 along an inner wall of the cell gate trench, a cell gate electrode 220 on the cell gate insulating layer, a cell gate conductive layer 230/240 on the cell gate electrode and a cell gate capping pattern (upper portion of) 250 filling the cell gate trench;
a bit line structure BL crossing the cell gate structure (Fig. 1); and
an information storage CA connected to the active region, wherein:
the cell gate insulating layer includes an insertion portion (lower portion of) 250/(portion adjacent to the lower portion of 250 of) 210 between the cell gate conductive layer and the cell gate capping pattern, a lower portion in contact with the cell gate conductive layer, and an upper portion in contact with the cell gate capping pattern, and a first thickness (arbitrarily chosen) of a first portion of the upper portion of the cell gate insulating layer is greater than a second thickness (arbitrarily chosen) of the lower portion of the cell gate insulating layer (Fig. 7B).
As for claim 2, Im et al. show the insertion portion of the cell gate insulating layer separates the cell gate conductive layer from the cell gate capping pattern (Fig. 2B).
As for claim 4, Im et al. show the upper portion of the cell gate insulating layer includes the first portion and a second portion between the first portion and the lower portion of the cell gate insulating layer, and the first thickness is different from that of a third thickness (arbitrarily chosen) of the second portion (Fig. 7A).
As for claim 5, Im et al. show the first thickness of the first portion is smaller than the third thickness of the second portion (Fig. 7A).
As for claim 6, Im et al. show the first thickness of the first portion is equal to the second thickness of the lower portion of the cell gate insulating layer (Fig. 7A).
As for claim 7, Im et al. show the cell gate insulating layer surrounds the cell gate conductive layer (Fig. 7A).
Claim Rejections - 35 USC § 103
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.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
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) 3, as best understood, is/are rejected under 35 U.S.C. 103 as being unpatentable over Im et al. (2020/0203352) in view of Yamazaki (2016/0079375).
Im et al. disclosed substantially the entire claimed invention, as applied to claim 1 above, except upper portion of the cell gate insulating layer includes a step shape in view of a cross-sectional area.
Yamazaki teaches in Fig. 6 and related text the upper portion of the cell gate insulating layer 41 includes a step shape in view of a cross-sectional area.
Im et al. and Yamazaki are analogous art because they are directed to a trench gate and one of ordinary skill in the art would have had a reasonable expectation of success to modify Im et al. with the specified feature(s) of Yamazaki because they are from the same field of endeavor.
It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention to include the upper portion of the cell gate insulating layer including a step shape in view of a cross-sectional area, as taught by Yamazaki, in Im et al.'s device, in order to reduce leakage current of the device. Furthermore, a change in shape is generally recognized as being within the level of ordinary skill in the art. In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to MEIYA LI whose telephone number is (571)270-1572. The examiner can normally be reached Monday-Friday 7AM-3PM.
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/MEIYA LI/Primary Examiner, Art Unit 2811