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 group II, claims 11-19, in the reply filed on May 5, 2026 is acknowledged. The traversal is on the ground(s) that “the Office has failed to demonstrate how the structure recited in claim 11 can be formed by any process other than the process recited in claim 1 and/or how the process can be used to make another, materially different product. Thus, the Examiner has failed to meet the burden required to establish grounds for the restriction requirement”. This is not found persuasive because inventions of group I and II are distinct as the product as claimed can be made by another and materially different process has been demonstrated and indicated in the restriction requirement mailed on September 25, 2025; serious search burden of both distinct, yet dependent, inventions was established due to the different search strategies and different search queries that would be required; and the prior art applicable to one invention would not likely be applicable to another invention.
The requirement is still deemed proper and is therefore made FINAL.
Applicant’s election of species II(b), claims 11-19, in the reply filed on May 5, 2026 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)).
Claims 1-10 have been withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected invention, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on May 5, 2026.
Claim 16 has been withdrawn from further consideration pursuant to 37 CFR 1.142(b) as being drawn to a nonelected species. There is no support in the elected embodiment of Figs. 20a and 20b for the claim limitations of “a lower surface of the second trench is flush with the upper surface of the second substrate”, as recited in claim 16, and this feature is found on unelected embodiment of Figs. 19a and 19b.
Priority
Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55.
Information Disclosure Statement
The information disclosure statement filed August 3, 2023 fails to comply with 37 CFR 1.98(a)(2), which requires a legible copy of each cited foreign patent document; each non-patent literature publication or that portion which caused it to be listed; and all other information or that portion which caused it to be listed. It has been placed in the application file, but the information referred to therein has not been considered.
The information disclosure statement (IDS) submitted on May 21, 2026 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 under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the “barrier layer covering the contact material layer and side walls of the second trench” (claim 15); and “the second trench located in the second substrate is wider than the second trench located in the isolation structure” (claim 18) must be shown or the feature(s) canceled from the claim(s). No new matter should be entered.
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. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. 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.
Specification
The disclosure is objected to because of the following informalities: “side walls” should read “sidewalls” (first occurrence: [0067]).
Appropriate correction is required.
The specification has not been checked to the extent necessary to determine the presence of all possible minor errors. Applicant’s cooperation is requested in correcting any errors of which applicant may become aware in the specification.
Claim Objections
Claims 11-15 and 17-19 are objected to because of the following informalities:
i) Each element or step of the claim should be separated by a line indentation (claims 11 and 12). See MPEP § 608.01(m) and 37 CRF 1.75(i).
ii) Inconsistent terminologies: “the isolation trenches” and “the isolation structures” should read “the plurality of isolation trenches” and “the plurality of isolation structures”, respectively (claim 12).
iii) “side walls” should read “sidewalls” (claim 15
Appropriate correction is required.
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.
Claims 12-15 and 17-19 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 “drain/source regions are arranged on two sides of each of the isolation trenches”, as recited in claim 12, is unclear as to whether said limitation is in one-to-one or multiple-to-one relationship between source/drain region and side applicant refers.
The claimed limitation of “upper surfaces of the drain/source regions”, as recited in claim 12, is unclear as to whether said limitation is in one-to-one or multiple-to-one relationship between upper surface and source/drain region applicant refers.
Claim 12 recites the limitation “the isolation trench” in line 6. There is insufficient antecedent basis for this limitation in the claim. Also, it is unclear as to whether said limitation is the same as of different from “a plurality of isolation trenches”, as recited in claim 12, lines 1-2.
The claimed limitation of “two sides of the isolation trench”, as recited in claim 12, line 6, is unclear as to whether said limitation is the same as or different from “two sides of each of the isolation trenches”, as recited in claim 12, line 3.
The claimed limitation of “a surface of the second substrate”, as recited in claim 12, line 6, is unclear as to whether said limitation is the same as or different from “an upper surface of the second substrate”, as recited in claim 12, line 2.
The claimed limitation of “two adjacent isolation structures”, as recited in claim 12, line 6, is unclear as to whether said limitation is the same as or different from “a plurality of isolation structures”, as recited in claim 12, line 4.
The claimed limitation of “a second trench passing through the isolation structure is arranged on each of the drain/source regions”, as recited in claim 12, is unclear as to which element is arranged on each of the drain/source regions applicant refers.
Claims 12, 13 and 18 recite the limitation “the isolation structure” in lines 7-8, 3 and 2, respectively. There is insufficient antecedent basis for this limitation in the claim. Also, it is unclear as to whether said limitation is the same as of different from “a plurality of isolation structures”, as recited in claim 12, line 4.
Claim 14 recites the limitation “the drain/source region” in line 2. There is insufficient antecedent basis for this limitation in the claim. Also, it is unclear as to whether said limitation is the same as of different from “drain/source regions”, as recited in claim 12.
The claimed limitation of “the second trench located in the second substrate is wider than the second trench located in the isolation structure”, as recited in claim 18, is unclear as to what of the second trench located in the second substrate is wider than what of the second trench located in the isolation structure applicant refers.
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)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claim(s) 11 is/are rejected under 35 U.S.C. 102(a)(2) as being anticipated by Kim et al. (2022/0130846).
Kim et al. show in Figs. 1, 28 and related text a semiconductor device 100h, comprising: a first substrate PERI3, an array structure layer CELL, an insulating material layer 210, a second substrate (bottom portion of) 202 and a peripheral circuit layer PERI2 sequentially stacked from bottom to top,
wherein a memory cell array is arranged in the array structure layer (Fig. 1; [0019]-[0020], [0034]), and a transistor 320 is arranged in the peripheral circuit layer.
Allowable Subject Matter
Claims 12-15 and 17-19 are allowed.
The following is a statement of reasons for the indication of allowable subject matter:
The prior art of record does not teach or suggest, singularly or in combination, at least the limitations of “each of the plurality of isolation structures covers an upper surface of each of the drain/source regions on two sides of each of the plurality of isolation trenches”, as recited in claim 12.
Claims 12-15 and 17-19 would be allowable if rewritten to overcome the rejection(s) under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), 2nd paragraph, set forth in this Office action and to include all of the limitations of the base claim and any intervening claims.
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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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, LYNNE GURLEY can be reached at (571)272-1670. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/MEIYA LI/Primary Examiner, Art Unit 2811
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