DETAILED ACTION
This Action is responsive to the Restriction/Election Response filed on 04/21/2026.
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 .
In the event the determination of the status of the application as subject to 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.
Election/Restrictions
Applicant’s election without traverse of Species 2, reading on e.g., FIG. 10B, in the reply filed on 04/21/2026 is acknowledged and entered into the record.
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.
Claims 15-20 are rejected under 35 U.S.C. 112(b), as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor regards as the invention.
Claim 15 recites the limitation, at lines 2-4: “wherein the spacer material layers are formed are or are subsequently replaced with electrically conductive layers” (emphasis added). It is unclear the intended scope of the claimed limitation.
Claims 16-20 are rejected under 35 U.S.C. 112(b), as being indefinite for failing to particularly point out and distinctly claim the subject matter due to the claims’ dependency to Claim 15.
Under the principles of compact prosecution, the Examiner will interpret the claimed limitation as wherein the spacer material layers are subsequently replaced with electrically conductive layers.
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.
Claims 1-6 and 14-17 are rejected under 35 U.S.C. 103 as being unpatentable over Tanaka (US 2022/0005824), in view of Liu (CN 110349964 A).
Regarding claim 1, Tanaka (see, e.g., FIG. 47A) discloses a three-dimensional memory device, comprising:
an alternating stack 132, 232, 146, 246 of insulating layers 132, 232 and electrically conductive layers 146, 246 (Para 0100, Para 0129, Para 0179);
memory openings 49 vertically extending through the alternating stack 132, 232, 146, 246 (Para 0150);
memory opening fill structures 58 located in the memory openings 49, wherein each of the memory opening fill structures 58 comprises a respective vertical semiconductor channel 60 and a vertical stack of memory elements 50 (Para 0150, Para 0151; see also FIG. 16D); and
an array of layer contact via structures 86 (Para 0190),
wherein:
each of the layer contact via structures 86 contacts a respective one of the electrically conductive layers 146, 246 and vertically extends through a respective subset of layers e.g., subset of 132, 232, 146, 246 within the alternating stack 132, 232, 146, 246 that overlies the respective one of the electrically conductive layers 146, 246 (Para 0190); and
a shallower first subset of the layer contact via structures 86, e.g., subset on right side of contact region 200 a deeper second subset of the layer contact via structures 86, e.g., subset on left side of contact region 200 (Para 0151, Para 0159),
Although Tanaka shows substantial features of the claimed invention, Tanaka fails to expressly teach a first subset of the layer contact via structures has a higher density per unit area than a second subset of the layer contact via structures.
Liu (see, e.g., FIG. 1), on the other hand, teaches a first subset e.g., conductive material filled in 33 (in third region 43) of the layer contact via structures e.g., conductive material filled in 33, 32 has a higher density per unit area than a second subset e.g., conductive material filled in 32 (in second region 42) of the layer contact via structures 33, 32 for the purpose of providing a transition region that can transition the stress between the first region and the second region thereby preventing the etching from shifting causing abnormal connection between the etched holes or between the etched holes and other regions (pg. 3, para 6 – para 7; pg. 4, para 12; pg. 5, para 2 – para 3, para 5, para 12, para 13).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the shallower first subset of the layer contact via structures and the deeper second subset of the layer contact via structures of Tanaka to have the shallower first subset of the layer contact via structures having a higher density per unit area than the deeper second subset of the layer contact via structures as described by Liu for the purpose of providing a transition region that can transition the stress between the first region and the second region thereby preventing the etching from shifting causing abnormal connection between the etched holes or between the etched holes and other regions (pg. 4, para 12; pg. 5, para 5, para 13).
Regarding claim 2, the combination of Tanaka (see, e.g., FIG. 47A) / Liu (see, e.g., FIG. 1) teaches the three-dimensional memory device of Claim 1, wherein: a first region e.g., region on right side of 200 (as taught by Tanaka) comprises a first two-dimensional array of the first subset of the layer contact via structures 86, e.g., on right side of 200 (as taught by Tanaka) has a first average height e.g., average height of 86 (on right side of 200) (as taught by Tanaka) and a first periodic pitch e.g., periodic pitch of conductive material filled in 33 (in third region 43) (as taught by Liu) along a first horizontal periodicity direction e.g., x-direction (Para 0190); a second region e.g., region on left side of 200 (as taught by Tanaka) comprises a second two-dimensional array of the second subset of the layer contact via structures 86, e.g., on left side of 200 (as taught by Tanaka) having a second average height e.g., average height of 86 (on left side of 200) (as taught by Tanaka) and a second periodic pitch e.g., periodic pitch of conductive material filled in 32 (in second region 42) (as taught by Liu) along the first horizontal periodicity direction e.g., x-direction (Para 0190); the second average height e.g., average height of 86 (on left side of 200) (as taught by Tanaka) is greater than the first average height e.g., average height of 86 (on right side of 200) (as taught by Tanaka); and the second periodic pitch e.g., periodic pitch of conductive material filled in 32 (in second region 42) (as taught by Liu) is greater than the first periodic pitch e.g., periodic pitch of conductive material filled in 33 (in third region 43) (as taught by Liu).
Regarding claim 3, Tanaka/Liu fail to specify that the three-dimensional memory device of Claim 2, wherein: a ratio of the second average height to the first average height is in a range from 1.5 to 3; and a ratio of the second periodic pitch to the first periodic pitch is in a range from 1.2 to 2. Tanaka (see, e.g., FIG. 47A), on the other hand, does teach a difference in the second average height e.g., average height of 86 (on left side of 200) and the first average height e.g., average height of 86 (on right side of 200). However, differences in the ratio of the second average height to the first average height will not support the patentability of subject matter encompassed by the prior art unless there is evidence indicating such ratio difference is critical. “Where the general conditions of a claim are disclosed in the prior art, it is not inventive to discover the workable ranges by routine experimentation”. In re Aller, 220 F.2d 454,456,105 USPQ 233, 235 (CCPA 1955).
Since the applicant has not established the criticality (see next paragraph) of the ratio of the second average height to the first average height being in a range from 1.5 to 3, it would have been obvious to one of ordinary skill in the art to use or modify the ratio of the second average height to the first average height in device in Tanaka through routine experimentation.
CRITICALITY
The specification contains no disclosure of either the critical nature of the claimed ratio of the second average height to the first average height being in a range from 1.5 to 3 or any unexpected results arising therefrom. Where patentability is said to be based upon particular chosen dimensions or upon another variable recited in a claim, the applicant must show that the chosen dimensions are critical. In re Woodruff, 919 F.2d 1575, 1578, 16 USPQ2d 1934, 1936 (Fed. Cir. 1990).
Tanaka/Liu fail to specify that the ratio of the second periodic pitch to the first periodic pitch is in a range from 1.2 to 2. Liu (see, e.g., FIG. 1), on the other hand, does teach the second periodic pitch e.g., periodic pitch of conductive material filled in 32 (in second region 42) and the first periodic pitch e.g., periodic pitch of conductive material filled in 33 (in third region 43). However, differences in the ratio of the second periodic pitch to the first periodic pitch will not support the patentability of subject matter encompassed by the prior art unless there is evidence indicating such ratio difference is critical. “Where the general conditions of a claim are disclosed in the prior art, it is not inventive to discover the workable ranges by routine experimentation”. In re Aller, 220 F.2d 454,456,105 USPQ 233, 235 (CCPA 1955).
Since the applicant has not established the criticality (see next paragraph) of the ratio of the second periodic pitch to the first periodic pitch being in a range from 1.2 to 2, it would have been obvious to one of ordinary skill in the art to use or modify the ratio of the second periodic pitch to the first periodic pitch in Liu’s device through routine experimentation.
CRITICALITY
The specification contains no disclosure of either the critical nature of the claimed ratio of the second periodic pitch to the first periodic pitch being in a range from 1.2 to 2 or any unexpected results arising therefrom. Where patentability is said to be based upon particular chosen dimensions or upon another variable recited in a claim, the applicant must show that the chosen dimensions are critical. In re Woodruff, 919 F.2d 1575, 1578, 16 USPQ2d 1934, 1936 (Fed. Cir. 1990).
Regarding claim 4, Tanaka (see, e.g., FIG. 47A) teaches that the three-dimensional memory device of Claim 2, further comprising a pair of lateral isolation trench fill structures 176 (within backside trenches 79) (see both FIG. 20B, FIG. 47B) laterally extending along a first horizontal direction e.g., x-direction (see also FIG. 20B), laterally spaced apart from each other along a second horizontal direction e.g., z-direction (see also FIG. 20B) that is perpendicular to the first horizontal direction e.g., x-direction (see also FIG. 20B), and comprising a respective insulating sidewall e.g., sidewall of 176 that laterally extends along the first horizontal direction e.g., x-direction (see also FIG. 20B) and contacting a respective set of sidewalls e.g., sidewalls of 132, 232, 146, 246 of the alternating stack 132, 232, 146, 246, wherein one of the first horizontal direction e.g., x-direction (see also FIG. 20B) and the second horizontal direction is the first horizontal periodicity direction e.g., x-direction (see also FIG. 20B) (Para 0184).
Regarding claim 5, Tanaka (see, e.g., FIG. 47A) teaches that the three-dimensional memory device of Claim 4, wherein the first horizontal periodicity direction e.g., x-direction (see also FIG. 20B) is the first horizontal direction e.g., x-direction (see also FIG. 20B).
Regarding claim 6, the first horizontal periodicity direction option selected in Claim 4, from which Claim 6 depends, was the first horizontal direction. Therefore, the claim limitation directed to the first horizontal periodicity direction is the second horizontal direction in Claim 6 does not apply to the selection of the first horizontal direction of Claim 4.
Regarding claim 14, Tanaka (see, e.g., FIG. 47A) teaches that three-dimensional memory device of Claim 1, wherein each of the layer contact via structures 86 is laterally surrounded by a respective tubular insulating spacer 84 that vertically extends between the respective one of the electrically conductive layers 146, 246 to a horizontal plane located at or above a topmost surface of the alternating stack 132, 232, 146, 246 (Para 0187).
Regarding claim 15, Tanaka (see, e.g., FIG. 47A) discloses a three-dimensional memory device, comprising:
forming an alternating stack 132, 232, 142, 242 of insulating layers 132, 232 and spacer material layer 142, 242, wherein the spacer material layers are formed are or are subsequently replaced with electrically conductive layers 146, 246 (Para 0098, Para 0100, Para 0129-Para 0131, Para 0179);
forming memory openings 49 through the alternating stack 132, 232, 146, 246 (Para 0150);
forming memory opening fill structures 58 located in the memory openings 49, wherein each of the memory opening fill structures 58 comprises a respective vertical semiconductor channel 60 and a vertical stack of memory elements 50 (Para 0150, Para 0151; see also FIG. 16D); and
forming an array of layer contact via structures 86 (Para 0190),
wherein:
each of the layer contact via structures 86 contacts a respective one of the electrically conductive layers 146, 246 and vertically extends through a respective subset of layers e.g., subset of 132, 232, 146, 246 within the alternating stack 132, 232, 146, 246 that overlies the respective one of the electrically conductive layers 146, 246 (Para 0190); and
a shallower first subset of the layer contact via structures 86, e.g., subset on right side of contact region 200 a deeper second subset of the layer contact via structures 86, e.g., subset on left side of contact region 200 (Para 0151, Para 0159),
Although Tanaka shows substantial features of the claimed invention, Tanaka fails to expressly teach a first subset of the layer contact via structures has a higher density per unit area than a second subset of the layer contact via structures.
Liu (see, e.g., FIG. 1), on the other hand, teaches a first subset e.g., conductive material filled in 33 (in third region 43) of the layer contact via structures e.g., conductive material filled in 33, 32 has a higher density per unit area than a second subset e.g., conductive material filled in 32 (in second region 42) of the layer contact via structures 33, 32 for the purpose of providing a transition region that can transition the stress between the first region and the second region thereby preventing the etching from shifting causing abnormal connection between the etched holes or between the etched holes and other regions (pg. 3, para 6 – para 7; pg. 4, para 12; pg. 5, para 2 – para 3, para 5, para 12, para 13).
Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the shallower first subset of the layer contact via structures and the deeper second subset of the layer contact via structures of Tanaka to have the shallower first subset of the layer contact via structures having a higher density per unit area than the deeper second subset of the layer contact via structures as described by Liu for the purpose of providing a transition region that can transition the stress between the first region and the second region thereby preventing the etching from shifting causing abnormal connection between the etched holes or between the etched holes and other regions (pg. 4, para 12; pg. 5, para 5, para 13).
Regarding claim 16, the combination of Tanaka (see, e.g., FIG. 47A) / Liu (see, e.g., FIG. 1) teaches the three-dimensional memory device of Claim 15, wherein: a first region e.g., region on right side of 200 (as taught by Tanaka) comprises a first two-dimensional array of the first subset of the layer contact via structures 86, e.g., on right side of 200 (as taught by Tanaka) has a first average height e.g., average height of 86 (on right side of 200) (as taught by Tanaka) and a first periodic pitch e.g., periodic pitch of conductive material filled in 33 (in third region 43) (as taught by Liu) along a first horizontal periodicity direction e.g., x-direction (Para 0190); a second region e.g., region on left side of 200 (as taught by Tanaka) comprises a second two-dimensional array of the second subset of the layer contact via structures 86, e.g., on left side of 200 (as taught by Tanaka) having a second average height e.g., average height of 86 (on left side of 200) (as taught by Tanaka) and a second periodic pitch e.g., periodic pitch of conductive material filled in 32 (in second region 42) (as taught by Liu) along the first horizontal periodicity direction e.g., x-direction (Para 0190); the second average height e.g., average height of 86 (on left side of 200) (as taught by Tanaka) is greater than the first average height e.g., average height of 86 (on right side of 200) (as taught by Tanaka); and the second periodic pitch e.g., periodic pitch of conductive material filled in 32 (in second region 42) (as taught by Liu) is greater than the first periodic pitch e.g., periodic pitch of conductive material filled in 33 (in third region 43) (as taught by Liu).
Regarding claim 17, Tanaka (see, e.g., FIG. 47A) teaches that the three-dimensional memory device of Claim 16, further comprising forming a pair of lateral isolation trench fill structures 79 (see both FIG. 20B, FIG. 47B) laterally extending along a first horizontal direction e.g., x-direction (see also FIG. 20B) through the alternating stack 132, 232, 146, 246, wherein the pair of lateral isolation trenches 79 is laterally spaced apart from each other along a second horizontal direction e.g., z-direction (see also FIG. 20B) that is perpendicular to the first horizontal direction e.g., x-direction (see also FIG. 20B); and forming a pair of lateral isolation trench fill structures 176 in the pair of lateral isolation trenches 79, wherein each of the pair of lateral isolation trench fill structures comprises a respective insulating sidewall e.g., sidewall of 176 that laterally extends along the first horizontal direction e.g., x-direction (see also FIG. 20B) and contacting a respective set of sidewalls e.g., sidewalls of 132, 232, 146, 246 of the alternating stack 132, 232, 146, 246, wherein one of the first horizontal direction e.g., x-direction (see also FIG. 20B) and the second horizontal direction is the first horizontal periodicity direction e.g., x-direction (see also FIG. 20B) (Para 0184).
Allowable Subject Matter
Claims 7-13 and 18-20 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.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to ANTONIO CRITE whose telephone number is (571) 270-5267. The examiner can normally be reached Monday - Friday, 10:00 am - 6:30 pm.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Kretelia Graham can be reached at (571) 272-5055. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/ANTONIO B CRITE/Primary Examiner, Art Unit 2817
Prosecution Insights