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 .
Withdrawn Allowable Subject Matter
The indicated allowability of previous dependent claim 8, now in amended claim 1, and dependent claims 4-7, 9-12, 15, 16 and 20 is withdrawn in view of the newly discovered reference to Kuramoto et al. (U.S. Pub. No.2002/0168844), which is an English equivalent to CN1374683A (cited in the IDS filed 4/9/2026). Rejections based on the newly cited reference follow.
Claim Objections
Claim 9 is objected to because of the following informalities: Claim 9 recites “a third mask layer comprising a third region”, and claim 1 from which it depends from does not recite a second mask layer and first and second regions. It is believed claim 9 should be corrected to depend from claim 7. Appropriate correction is required.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(d):
(d) REFERENCE IN DEPENDENT FORMS.—Subject to subsection (e), a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.
The following is a quotation of pre-AIA 35 U.S.C. 112, fourth paragraph:
Subject to the following paragraph [i.e., the fifth paragraph of pre-AIA 35 U.S.C. 112], a claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.
Claim 12 is rejected under 35 U.S.C. 112(d) or pre-AIA 35 U.S.C. 112, 4th paragraph, as being of improper dependent form for failing to further limit the subject matter of the claim upon which it depends, or for failing to include all the limitations of the claim upon which it depends. Claim 12 recites the limitation “a first epitaxial layer, filling up the first window, and a second epitaxial layer, located on the first epitaxial layer and the first mask layer” which is now recited in claim 1 from which it depends from. Thus, this limitation of claim 12 fails to further limit claim 1. Applicant may cancel the claim(s), amend the claim(s) to place the claim(s) in proper dependent form, rewrite the claim(s) in independent form, or present a sufficient showing that the dependent claim(s) complies with the statutory requirements.
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.
Claims 1-7, 9-11, 13-16 and 20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Kuramoto et al. (U.S. Pub. No. 2002/0168844) [hereinafter Kuramoto].
Regarding claim 1, Kuramoto discloses a semiconductor structure (Figs. 3D-3F and Figs. 9A-9E), comprising a base (base layer 2 or 62), a first mask layer (mask 8, 9, 10 or 63), located on the base, wherein the first mask layer has a first window (Fig. 9C-9E, opening 64) exposing the base, the first window (opening 64) comprises an opening end away from the base (base layer 2 or 62) and a bottom wall end closer to the base (Figs. 3D-3F or Figs. 9C-9E), wherein an orthographic projection of the opening end on a plane where the base is located falls within an orthographic projection of the bottom wall end (Figs. 3D-3F and Figs. 9C-9E), a first epitaxial layer filling up the first window (Figs. 3D-3F, layer 3 in opening; or Figs. 9D-9E, layer 65 in opening 64), and a second epitaxial layer (Figs. 3D-3F, layer 3 covering mask and opening; or Fig. 9E, layer 65 covering mask 63 and opening 64) located on the first epitaxial layer and the first mask layer (paragraphs [0168-0171] and [0227-0230]).
Regarding claim 2, Kuramoto discloses an area of a cross-section of the first window (opening 64) gradually decreasing in a direction from the base (base layer 2 or 62) to the opening end (Figs. 3F and 9C-9E).
Regarding claim 3, Kuramoto discloses a cross-section of the first window (opening 64) perpendicular to the plane where the base (62) is located is enclosed by a first side, a second side, a third side, and a fourth side connected sequentially, the first side corresponds to the opening end, the third side corresponds to the bottom wall end, and the second side and the fourth side correspond to sidewalls of the first window, the second side comprises a straight line or a curve and the fourth side comprises a straight line or a curve (Fig. 3F, opening; and Fig. 9C-9E, opening 64; paragraph [0226]).
Regarding claim 4, Kuramoto discloses the first mask layer (Fig. 3D, layer 8) comprising a first sub-mask layer (layer 8-1) close to the base (2) and a second sub-mask layer (layer 8-2) far from the base, wherein the first sub-mask layer has a first sub-window (opening), and the second sub-mask layer has a second sub-window (opening), the second sub-window and the first sub-window are interconnected and form at least part of the first window, an area of the orthographic projection of the second sub-window on the plane where the base is located is smaller than an area of the orthographic projection of the first sub-window on the plane where the base is located (Fig. 3D; paragraphs [0155-0157]).
Regarding claim 5, Kuramoto discloses a second mask layer (Fig. 3D, layer 8-1), wherein the second mask layer comprises a first region, and the first region is located on a part of the bottom wall end (Fig. 3D; paragraph [0053]).
Regarding claim 6, Kuramoto discloses an orthographic projection of the first region on the plane where the base (2) is located at least partially overlaps with an orthographic projection of the opening end on the plane where the base is located (Fig. 3D).
Regarding claim 7, Kuramoto discloses the second mask layer (Fig. 3D, layer 8-1) further comprising a second region, and the second region is located on the first mask layer (Fig. 3D, layer 8-2; and paragraph [0053]).
Regarding claim 9, Kuramoto discloses the first epitaxial layer comprising a first sub-epitaxial layer and a second sub-epitaxial layer (Figs. 7E-7F, layer 47), wherein the first sub-epitaxial layer is located on the bottom wall end and fills a partial depth of the first window (Fig. 7E, layer 47), the semiconductor structure further comprising a third mask layer comprising a third region (layer 43), wherein the third region is located on a part of the first sub-epitaxial layer, the second sub-epitaxial layer is located on the first sub-epitaxial layer and the third region (Fig. 7F, layer 47; paragraphs [0207-0211]).
Regarding claim 10, Kuramoto discloses an orthographic projection of the third region on the plane where the base is located at least partially overlaps with an orthographic projection of the opening end on the plane where the base is located (Figs. 7E-7F).
Regarding claim 11, Kuramoto discloses the third mask layer (Fig. 7F, layer 43) further comprising a fourth region, the fourth region is located on the first mask layer (Fig. 7F, layer 44), and the second epitaxial layer (layer 47) is located on the first epitaxial layer and the fourth region of the third mask layer (layer 43).
Regarding claim 13, Kuramoto discloses a plurality of first windows (opening in Figs. 3D-3F; and 9C-9E, openings 64), the semiconductor structure further comprises, a plurality of first epitaxial layers, respectively filling up the plurality of first windows (Figs. 3D-3F, layer 3; Figs. 9D-9E, layer 65 in openings 64; paragraphs [0227-0228]), a plurality of second epitaxial layers (layer 3 or layer 65) located on the plurality of first epitaxial layers and the first mask layer, wherein the plurality of second epitaxial layers are in a plane (Figs. 3D-3F, layer 3; and Fig. 9E, layer 65 on top of openings 64 and mask 63; paragraphs [0229-0230]).
Regarding claim 14, Kuramoto discloses a manufacturing method of the semiconductor structure according to claim 1, comprising providing the base (base layer 2 or base layer 62), forming the first mask layer (mask 10 or 63) on the base (2 or 62), wherein the first mask layer has the first window (Figs. 3D-3F; Fig. 9C-9E, opening 64) exposing the base, the first window (opening 64) comprises the opening end away from the base (62) and the bottom wall end close to the base (Fig. 9C-9E), the orthographic projection of the opening end on the plane where the base is located falls within an orthographic projection of the bottom wall end (Fig. 3F and Figs. 9C-9E), wherein the manufacturing method of the semiconductor structure further comprises an epitaxial growth process (paragraphs [0227-0229]), the epitaxial growth process is performed on the base (62) with the first mask layer (63) as a mask, to sequentially form a first epitaxial layer and a second epitaxial layer (65), wherein the first epitaxial layer is epitaxial grown from the bottom wall end to fill up the first window (Figs. 9D-9E, layer 65 in opening 64; paragraphs [0227-0228]), and the second epitaxial layer (Fig. 9E, layer 65 covering mask 63 and opening 64) is epitaxial grown on the first epitaxial layer and the first mask layer (paragraphs [0168-0171] and [0229-0230]).
Regarding claim 15, Kuramoto discloses forming the first mask layer (63) on the base (62), comprising forming a first mask material layer (63) on the base (62), wherein in a direction from the base to the first mask material layer, a content of aluminum element of the first mask material layer gradually increases, etching the first mask material layer to form the first window such that the first mask material layer becomes the first mask layer (paragraph [0226]).
Regarding claim 16, Kuramoto discloses before forming the first mask layer (Fig. 3D, layer 8-2), depositing a second mask layer (Fig. 3D, layer 8-1), wherein the second mask layer comprises a first region, and the first region is located on a part of the bottom wall end (Fig. 3D; paragraph [0053]).
Regarding claim 20, Kuramoto discloses forming the first mask layer (layer 8 or layer 63) on the base (layer 2 or layer 62), comprising forming a first sub-mask material layer and a second sub-mask material layer sequentially on the base (Fig. 3D, layers 8-1 and 8-2; paragraph [0053]), etching the second sub-mask material layer to form a second sub-window, wherein an etching rate of the second sub-mask material layer is lower than an etching rate of the first sub-mask material layer, laterally etching the first sub-mask material layer through the second sub-window to form a first sub-window, wherein the second sub-window and the first sub-window form at least a part of the first window (Fig. 3D and Fig. 9C, opening 64; paragraph [0226]).
Allowable Subject Matter
Claims 18 and 19 are 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. The following is a statement of reasons for the indication of allowable subject matter: Kuramoto fails to teach or reasonably suggest all the features recited in dependent claims 18 and 19.
Conclusion
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CATHERINE A. SIMONE
Examiner
Art Unit 1781
/Catherine A. Simone/Primary Examiner, Art Unit 1781
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