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 .
DETAILED ACTION
Status of Claims
1. Applicant's submittal of claims 1-15 in the “Claims” filed on 12/19/2023 is acknowledged and entered by the Examiner.
This office action consider claims 1-15 pending for prosecution.
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.
Notes: when present, semicolon separated fields within the parenthesis (; ;) represent, for example, as (100; Fig 3A; [0063]) = (element 100; Figure No. 3A; Paragraph No. [0063]). For brevity, the texts “Element”, “Figure No.” and “Paragraph No.” shall be excluded, though; additional clarification notes may be added within each field. The number of fields may be fewer or more than three indicated above. These conventions are used throughout this document.
2. Claims 1-11 and 13-15 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Hwang et al. (US 20120061744 A1; hereinafter Hwang).
Regarding claim 1, Hwang teaches a memory device (see the entire document, specifically Fig. 1; [0003+], and as cited below), comprising: (70; Fig. 5; [0164])
a first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]) including conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]) stacked along a first direction, the first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]) having a stepped structure defined by end portions ({112, 212, 312, 412}; Fig. 7E; [0048-0056]) of the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]);
contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) respectively connected to the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]), the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) extending along the first direction, the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) extending to the inside of the first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]); and
dummy layers ({130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) located between the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145], where various occurrences of dummy layers 130, 230, and 330 are between contacts 580).
Regarding claim 2, Hwang teaches all of the features of claim 1.
Hwang further teaches wherein the dummy layers ({130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) are located on the stepped structure of the first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]).
Regarding claim 3, Hwang teaches all of the features of claim 1.
Hwang further comprising first spacers ({125, 225, 325,}; Fig. 7E; [0047, 0052-0055], where 125, 225, 325 comprise of dielectric layers) alternately stacked with the dummy layers ({130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns).
Regarding claim 4, Hwang teaches all of the features of claim 3.
Hwang further teaches wherein the dummy layers ({130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) and the first spacers ({125, 225, 325,}; Fig. 7E; [0047, 0052-0055], where 125, 225, 325 comprise of dielectric layers) extend along the end portions of the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]), respectively.
Regarding claim 5, Hwang teaches all of the features of claim 3.
Hwang further teaches wherein the dummy layers ({130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) and the first spacers ({125, 225, 325,}; Fig. 7E; [0047, 0052-0055], where 125, 225, 325 comprise of dielectric layers) constitute a second stack structure (see Fig. 7E; layers 125/130, 225/230, 325/330) overlapping the stepped structure of the first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]).
Regarding claim 6, Hwang teaches all of the features of claim 1.
Hwang further teaches wherein at least one dummy layer (either of {130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) among the dummy layers ({130, 230, 330}; Fig. 7E; [0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) has a stepped shape corresponding to the stepped structure (see Fig. 7E; layers 130, 230, 330).
Regarding claim 7, Hwang teaches all of the features of claim 1.
Hwang further teaches wherein the first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]) further includes interlayer insulating layers ({105, 205, 305, 405}; Fig. 7E; [0045-0046, 0049, 0053, 0056]) stacked between the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]).
Regarding claim 8, Hwang teaches all of the features of claim 1.
Hwang further teaches wherein the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) are spaced apart from the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]), respectively.
Regarding claim 9, Hwang teaches all of the features of claim 1.
Hwang further comprising second spacers (occurrences of {105, 205, 305, 405}; Fig. 7E; [0045-0046, 0049, 0053, 0056]) between the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) and the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]).
Regarding claim 10, Hwang teaches all of the features of claim 1.
Hwang further comprising connection structures ({560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) respectively in contact with top surfaces of the end portions ({112, 212, 312, 412}; Fig. 7E; [0048-0056]) of the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]), wherein the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) are in contact with the connection structures ({560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]), respectively.
Regarding claim 11, Hwang teaches all of the features of claim 10.
Hwang further teaches wherein the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) are connected to the conductive layers ({110, 210, 310, 410}; Fig. 7E; [0046, 0049, 0053, 0056]) through the connection structures ({560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]).
Regarding claim 13, Hwang teaches all of the features of claim 1.
Hwang further teaches wherein the dummy layers ({130, 230, 330}; Fig. 7E; [0046, 0049-0054, 0059, 0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) include a conductive material.
Regarding claim 14, Hwang teaches all of the features of claim 1.
Hwang further comprising third spacers (occurrences of {205, 305, 405}; Fig. 7E; [0045-0046, 0049, 0053, 0056]) located between the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) and the dummy layers ({130, 230, 330}; Fig. 7E; [0046, 0049-0054, 0059, 0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns).
Regarding claim 15, Hwang teaches all of the features of claim 1.
Hwang further teaches wherein the contact plugs ({580: 575a, 560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) and the dummy layers ({130, 230, 330}; Fig. 7E; [0046, 0049-0054, 0059, 0060]; where 130, 230 and 330 that are not connected to any one of the fourth vertical active patterns 430 correspond to dummy patterns) are electrically isolated from each other.
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 of this title, 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.
Notes: when present, semicolon separated fields within the parenthesis (; ;) represent, for example, as (30A; Fig 2B; [0128]) = (element 30A; Figure No. 2B; Paragraph No. [0128]). For brevity, the texts “Element”, “Figure No.” and “Paragraph No.” shall be excluded, though; additional clarification notes may be added within each field. The number of fields may be fewer or more than three indicated above. These conventions are used throughout this document.
3. Claim 12 is rejected under 35 U.S.C.103 as being unpatentable over Hwang et al. (US 20120061744 A1; hereinafter Hwang), in view of the following statement.
Regarding claim 12, Hwang teaches all of the features of claim 10.
Hwang further teaches wherein each of the connection structures ({560a}; Fig. 7E; [0115-0122, 0131-0134, 0145]) includes (see below for “a concave surface recessed from a side surface of”) the first stack structure ({115, 215, 315, 415, 470}; Fig. 7E; [0063, 0144]).
As noted above, Hwang does not expressly disclose “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure”.
However, the Applicant has not presented persuasive evidence that the claimed “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure” is for a particular purpose that is critical to the overall claimed invention (i.e. the invention would not work without wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure). Also, the Applicant has not shown that “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure” produces a result that was new or unexpected enough to patentably distinguish the claimed invention over the cited prior art. Therefore, no rationale is given that the invention will not function without “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure”. Thus, the claimed “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure” is not critical to the invention.
Examiner would like to note that MPEP §2144.04.IV(B) guideline, where change of shape is a Legal Precedent as Source of Supporting Rationale. See In re Dailey, 357 F.2d 669, 149 USPQ 47 (CCPA 1966) (The court held that the configuration of the claimed disposable plastic nursing container was a matter of choice which a person of ordinary skill in the art would have found obvious absent persuasive evidence that the particular configuration of the claimed container was significant.).
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In view of the above, as there is no persuasive evidence that the particular configuration of “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure” is significant. Thus, the claimed limitation of “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure” is a matter of choice which a person of ordinary skill in the art would have found obvious as per MPEP §2144.04.IV(B) guideline. Therefore, the claimed limitation of “wherein each of the connection structures includes a concave surface recessed from a side surface of the first stack structure” is not patentable over Hwang.
Conclusion
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/OMAR F MOJADDEDI/Examiner, Art Unit 2898