Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 1 of 48
`
`Exhibit D
`
`

`

`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 2 of 48
`Case 5120'CV'05576'EJD D°°umllllllllllll||||ll'llfllllfilllfllllllllllllllllllfllllllllfll‘llll||||||||
`
`USOO73 81657B2
`
`United States Patent
`
`US 7,381,657 B2
`(10) Patent No.:
`(12)
`
`Zhang et a].
`(45) Date of Patent:
`Jun. 3, 2008
`
`(54) BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`(75)
`
`Inventors; Hongmei Zhanga San Jose, CA (US);
`Mukundan Narasimhan, San Jose, CA
`(US); Ravi B. Mullapudi, San Jose,
`CA (US), Richard E. Demaray,
`P0110121 Valley, CA (US)
`
`(73) Assignee: SpringWorks, LLC, Minnetonka, MN
`(US)
`
`3,616,403 A
`3,850,604 A
`4,082,569 A
`
`4,111,523 A
`4,437,966 A
`4,587,225 A
`4,619,680 A
`RE32,449 E
`4,710,940 A
`
`.............. 204/192
`10/1971 Collins et a1.
`11/1974 Klein ............................ 65/32
`4/1978 Evans, Jr.
`
`....... 350/9614
`9/1978 KaminOW et a1.
`3/1984 Hope et a1.
`................. 204/298
`5/1986 Tsukuma et a1.
`10/1986 Nourshargh et a1.
`6/1987 Claussen
`12/1987 S1pes, Jr.
`
`......... 65/312
`
`(Continued)
`
`( * ) Notice:
`
`Subject to any disclaimer, the term of this
`pJatSerg ilsselxgngedoc: adjusted under 35
`.
`.
`.
`y
`ays.
`
`DE
`
`FOREIGN PATENT DOCUMENTS
`37 38 738 C1
`1/1989
`
`(21) Appl. No.: 10/954,182
`
`(22)
`
`Filed:
`
`Oct. 1, 2004
`
`(65)
`
`Prior Publication Data
`US 2005/0048802 A1
`Mar. 3, 2005
`
`Related US. Application Data
`.
`.
`.
`.
`(63) Continuation of application No. 10/ 101,863, filed on
`Mar. 16’ 2002‘
`
`(Continued)
`
`OTHER PUBLICATIONS
`Li, Ning et a1., “Enhancement of aluminum oxide physical vapor
`deposition with a secondary plasma”, Nov. 28, 2001, Scien Direct,
`_
`>x<
`W 1 11'
`
`(Continued)
`
`Primary ExamineriMichelle Estrada
`(74) Attorney, Agent, or FirmiFinnegan, Henderson,
`Farabow, Garrett & Dunner, LLP
`
`(57)
`
`ABSTRACT
`
`A biased pulse DC reactor for sputtering of oxide films is
`resented The biased ulse DC reactor cou les ulsed DC
`p
`.
`'
`p
`p
`p
`.
`at a particular frequency to the target through a filter which
`filters out the effects of a bias power applied to the substrate,
`protecting the pulsed DC power supply. Films deposited
`utilizing the reactor have controllable material properties
`such as the index of refraction. Optical components such as
`waveguide amplifiers and multiplexers can be fabricated
`using processes performed on a reactor according to the
`present inention.
`
`(51)
`
`Int- Cl-
`H01L 21/31
`H01L 21/469
`
`58
`
`(
`
`)
`
`(2006.01)
`2006.01
`(
`)
`(52) US. Cl.
`...................... 438/769; 438/770; 438/771;
`257/E21.09l; 257/E21.l69; 257/E21.2; 257/E21.462;
`257/1323 132
`438/769
`h
`S
`_
`'fi
`ld f Cl
`F'
`1e 4;)8/7735871712'313 7:21.357/1323132 E21 091’
`’
`’
`’257/i321 169 E21 2’ E21 462’
`fil
`1
`’
`’ h h ’
`’
`f
`.
`1.
`e or comp ete searc
`istory.
`ee app 1cation
`References Cited
`U.S. PATENT DOCUMENTS
`
`S
`
`(56)
`
`3,309,302 A
`
`3/1967 Hell
`
`21 Claims, 27 Drawing Sheets
`
` PDC POWER
`
`

`

`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 3 of 48
`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 3 of 48
`
`US 7,381,657 B2
`
`Page 2
`
`US. PATENT DOCUMENTS
`
`4,785,459 A
`4,915,810 A
`4,978,437 A
`5,085,904 A
`5,107,538 A
`5,119,460 A
`5,173,271 A
`5,174,876 A
`5,196,041 A
`5,200,029 A
`5,206,925 A
`5,225,288 A
`5,237,439 A
`5,252,194 A
`5,287,427 A
`5,296,089 A
`5303319 A
`5,306,569 A
`5,309,302 A
`5,338,625 A
`5,355,089 A
`5,381,262 A
`5,427,669 A
`5,435,826 A
`5,457,569 A
`5,472,795 A
`5,475,528 A
`5,478,456 A
`5,483,613 A
`5,499,207 A
`5,512,147 A
`5,538,796 A
`5,555,127 A
`5,561,004 A
`5,563,979 A
`5,565,071 A
`5,569,520 A
`5,591,520 A
`5,597,660 A
`5,603,816 A
`5,607,560 A
`5,607,789 A
`5,612,152 A
`5,613,995 A
`5,645,626 A
`5,654,054 A
`5,654,984 A
`5,686,360 A
`5689522 A
`5,693,956 A
`5,702,829 A
`5,718,813 A
`5,719,976 A
`5,731,661 A
`5,738,731 A
`5,755,938 A
`5,757,126 A
`5,762,768 A
`5,771,562 A
`5,792,550 A
`5,811,177 A
`5,830,330 A
`5,831,262 A
`5,841,931 A
`5,847,865 A
`5,849,163 A
`5,853,830 A
`5,855,744 A
`5,870,273 A
`5,882,946 A
`5,900,057 A
`
`11/1988 Baer
`4/1990 Kestigian 6t al~ ~~~~~~ 204/29804
`12/1990 Wirz .......................... 204/192
`2/1992 Deak etal.
`4/1992 Benton eta1~
`6/1992 Bruce etal.
`12/1992 Chen eta1~
`.............. 427/526
`12/1992 Buchal et a1.
`
`~65/30~1
`3/1993 Tumminellietal~
`.......
`156/657
`4/1993 Bruce et a1.
`
`
`4/1993 Nakazawa 6t al~ ~
`385/142
`428/475.5
`7/1993 Beeson et a1.
`..
`
`.. 359/74
`8/1993 Misono et a1.
`..
`
`~
`10/1993 Demaray etal.
`204/298
`............... 385/124
`2/1994 Atkins et a1.
`3/1994 Chen etal.
`4/1994 Ford eta1~ ~~~~~~~~~~~~~~~~~~ 385/131
`4/1994 Hiraki
`5/1994 Vollmann
`8/1994 Bates et a1.
`10/1994 Treger
`............... 359/341
`1/1995 Arima et a1.
`6/1995 Drummond ~~~~~~~~~~~~~~ 2041/2982
`7/1995 Sakakibara et a1.
`10/1995 Liou eta1~
`12/1995 Atita
`12/1995 LaBorde ..................... 359/341
`12/1995 Humpal eta1~
`1/1996 Bruce et a1.
`................ 385/129
`3/1996 Miki etal.
`4/1996 Bates et a1.
`7/1996 Schaffer
`9/1996 Abdelkader et a1.
`10/1996 Bates et a1.
`10/1996 Bruce 6t 81
`10/1996 Demaray et a1.
`10/1996 Bates
`1/1997 Migliorini et a1.
`1/1997 Bates eta1~
`........... 204/298
`2/1997 Demaray et a1.
`3/1997 Hirabayashi et a1.
`.. 204/192.15
`3/ 1997 Treger et al~
`3/1997 Bates
`3/1997 Bhandarkar et a1.
`7/1997 Edlund et a1.
`~~~~~~~~~~~~ 428/366
`8/1997 Tropsha etal.
`8/1997 Hershbarger et a1.
`11/1997 Haweya 111 et 81
`11/1997 Beach
`...................... 257/40
`12/1997 Shi et a1.
`12/1997 Paidassi et a1.
`2/1998 Drummond .............. 204/192.2
`2/1998 Henry et a1.
`.................. 385/50
`3/1998 SO etal.
`4/1998 Shindo
`5/1998 Fukui eta1~ ~~~~~~~~~~~ 204/29823
`5/1998 Harvey, III et al~
`6/1998 Goy et al~
`6/1998 Harvey, HIetal.
`8/1998 Phillips et a1.
`.............. 428/336
`9/1998 Shi etal~
`11/1998 Lantsman .............. 204/192.12
`11/1998 Greywall et a1.
`11/1998 Foresi et a1.
`................ 385/131
`12/1998 Gopinath etal.
`~~~~~~~~~~~ 359/343
`12/1998 Ichikawa et a1.
`...... 204/192.23
`12/1998 McCaulley et a1.
`1/1999 Halsey et a1.
`............... 204/192
`2/1999 Sogabe et a1.
`3/1999 Otani
`5/1999 Buchal et a1.
`
`........ 359/341
`
`........... 204/192
`
`.......... 65/384
`
`5,909,346 A
`5,930,046 A
`5,930,584 A
`5,942,089 A
`5,948,215 A
`5,952,778 A
`5,961,682 A
`5,966,491 A
`5,977,582 A
`6,000,603 A
`6,001,224 A
`6,004,660 A
`6,024,844 A
`6,045,626 A
`6,046,081 A
`6,051,114 A
`6,051,296 A
`6,052,397 A
`6,057,557 A
`6,058,233 A
`6,071,323 A
`6,077,642 A
`6,080,643 A
`6,088,492 A
`6,093,944 A
`6,106,933 A
`6,117,279 A
`6,133,670 A
`6,146,225 A
`6,154,582 A
`6,157,765 A
`6,162,709 A
`6,165,566 A
`6,168,884 B1
`6,176,986 B1
`6,197,167 B1
`6,198,217 B1
`6,204,111 B1
`6,210,544 B1
`6,214,660 B1
`6,232,242 B1
`6,236,793 B1
`6,242,129 B1
`6,242,132 B1
`6,248,291 B1
`6,248,640 B1
`6,261,917 B1
`6,280,585 B1
`6,280,875 B1
`6,281,142 B1
`6,287,986 B1
`6,288,835 B1
`6,290,821 B1
`6,290,822 B1
`6,300,215 B1
`6,302,939 B1
`6,306,265 B1
`6,344,419 B1
`6,350,353 B2
`6,356,694 B1
`6,358,810 B1
`6,361,662 B1
`6,365,300 B1
`6,365,319 B1
`6,376,027 B1
`6,391,166 B1
`6,409,965 B1
`6,413,382 B1
`6,413,645 131
`6,416,598 131
`6,423,776 B1
`6,433,380 B2
`6,444,750 B1
`
`204/192.12
`
`..... 204/192.12
`
`................. 438/513
`
`...... 204/29g13
`
`6/1999 Malhotra et a1.
`7/1999 Solberg et a1.
`7/1999 Sun et a1.
`.......... 204/192.13
`8/1999 Sproul et a1.
`9/1999 Lantsman .............. 204/19212
`9/1999 Haskal et a1.
`10/1999 Lee et a1.
`..................... 65/384
`10/1999 DiGiovanni
`............. 257/310
`11/1999 Fleming et a1.
`12/1999 Koskenmaki et 31.
`12/1999 Drummond ............ 204/192.12
`12/1999 Topolski et 31.
`2/2000 Drummond et a1.
`4/2000 Yano et 31.
`4/2000 Kuo
`................ 204/192.3
`4/2000 Yao et a1.
`4/2000 McCaulley et 31.
`4/2000 Jeon et a1.
`5/2000 Ichikawa ..................... 257/59
`5/2000 Dragone
`6/2000 Kawaguchi
`6/2000 Ogata et 31.
`6/2000 Noguchi et a1.
`7/2000 Kaneko et 31.
`7/2000 VanDover ................... 257/310
`8/2000 Nagai et 31.
`9/2000 Smolanoff et a1.
`10/2000 Rodgers et a1.
`11/2000 Sheats et 31.
`11/2000 Bazylenko et a1.
`12/2000 Bruce et 31.
`12/2000 Raux et a1.
`12/2000 Tropsha
`1/2001 Neudecker et a1.
`1/2001 Watanabe et 31.
`3/2001 Tanaka
`3/2001 Suzuki et a1.
`3/2001 Uemoto et 31.
`4/2001 Sasaki
`4/2001 Uemoto et 31.
`5/2001 Hata et a1.
`5/2001 Lawrence et 31.
`6/2001 Johnson
`6/2001 Neudecker et a1.
`6/2001 Nakagama et a1.
`6/2001 Nam
`7/2001 Quek et 31.
`8/2001 Obinata et a1.
`8/2001 Kwak et 31.
`.............. 438/771
`8/2001 Basceri et a1.
`9/2001 Mihara ....................... 438/763
`9/2001 Nilsson et 31.
`9/2001 McLeod
`9/2001 Fleming et 31.
`10/2001 Shin
`10/2001 Rabin et a1.
`10/2001 Fu et a1.
`.............. 438/758
`2/2002 Forster et a1.
`2/2002 Gopalraja et a1.
`....... 204/192.3
`3/2002 Weber
`............ 438/396
`3/2002 Dornfest et a1.
`3/2002 Chiba et 31.
`............. 204/1922
`4/2002 061 et a1.
`4/2002 Heath et 31.
`4/2002 Lee et 31.
`5/2002 Wang
`6/2002 Nagata et a1.
`7/2002 Wang et 31.
`7/2002 Graft et 31,
`7/2002 siieai
`7/2002 Akkapeddi et a1.
`8/2002 Shin
`9/2002 Touhsaent
`
`........... 419/46
`
`........ 204/298.19
`
`........ 204/19222
`
`................ 419/26
`........... 204/19212
`
`

`

`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 4 of 48
`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 4 of 48
`
`US 7,381,657 B2
`
`Page 3
`
`6,452,717
`6,488,822
`6,506,289
`6,511,615
`6,533,907
`6,537,428
`6,563,998
`6,576,546
`6,602,338
`6,605,228
`6,615,614
`6,632,563
`6,673,716
`6,683,244
`6,683,749
`6,750,156
`6,760,520
`6,768,855
`6,818,356
`6,827,826
`6,846,765
`6,884,327
`7,262,131
`2001/0027159
`2001/0031122
`2001/0034106
`2001/0041460
`2002/0001746
`2002/0014406
`2002/0033330
`2002/0076133
`2002/0106297
`2002/0115252
`2002/0134671
`2002/0140103
`2002/0170821
`2002/0191916
`2003/0019326
`2003/0022487
`2003/0035906
`2003/0042131
`2003/0044118
`2003/0063883
`2003/0077914
`2003/0079838
`2003/0097858
`2003/0127319
`2003/0134054
`2003/0141186
`2003/0143853
`2003/0173207
`2003/0173208
`2003/0174391
`2003/0175142
`2003/0178637
`2003/0185266
`2004/0043557
`2004/0077161
`2004/0105644
`2004/0259305
`2005/0000794
`2005/0006768
`2005/0175287
`2005/0183946
`2006/0054496
`2006/0057283
`2006/0057304
`2006/0071592
`2006/0134522
`
`B1
`B1
`B2
`B1
`B2
`B1
`B1
`B2
`B2
`B1
`B1
`B1
`B1
`B2
`B2
`B2
`B1
`B1
`B1
`B2
`B2
`B2
`B2
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`A1
`
`*
`
`*
`
`9/2002
`12/2002
`1/2003
`1/2003
`3/2003
`3/2003
`5/2003
`6/2003
`8/2003
`8/2003
`9/2003
`10/2003
`1/2004
`1/2004
`1/2004
`6/2004
`7/2004
`7/2004
`11/2004
`12/2004
`1/2005
`4/2005
`8/2007
`10/2001
`10/2001
`* 10/2001
`11/2001
`1/2002
`2/2002
`3/2002
`6/2002
`8/2002
`8/2002
`9/2002
`10/2002
`11/2002
`12/2002
`1/2003
`1/2003
`2/2003
`3/2003
`3/2003
`4/2003
`4/2003
`5/2003
`5/2003
`7/2003
`7/2003
`7/2003
`7/2003
`9/2003
`9/2003
`9/2003
`9/2003
`9/2003
`10/2003
`3/2004
`4/2004
`6/2004
`12/2004
`1/2005
`1/2005
`8/2005
`8/2005
`3/2006
`3/2006
`3/2006
`4/2006
`6/2006
`
`*
`
`*
`
`............ 438/656
`
`Endo
`Moslehi ................. 204/ 192.12
`Demaray et al.
`Dawes et al.
`.............. 264/1.21
`Demaray et al.
`Xiong et al.
`........... 204/192.13
`Farah et al.
`................ 385/131
`Gilbert et al.
`Chen et al.
`.............. 252/301.4
`Kawaguchi et a1.
`.......... 216/24
`Makikawa et a1.
`........... 65/386
`Krasnov et al.
`D’Couto et a1.
`Fujimori et a1.
`Daby et al.
`Le et al.
`Medin et al.
`Bakke et al.
`Bates
`Demaray et al.
`Imamura et al.
`Pan et al.
`Narasimhan et al.
`Kaneyoshi
`Lackritz et al.
`Moise et al.
`................ 438/396
`Wiggins
`Jenson
`Takashima
`Demaray et al.
`Li et al.
`................... 419/12
`Ueno et al.
`Haukka et a1.
`Demaray et al.
`Kloster et al.
`Sandlin et al.
`Frish et a1.
`Han et a1. ..................... 45/245
`Yoon et al.
`................. 438/642
`Memarian et al.
`Johnson ................. 204/192.12
`Zhou et al.
`........... 385/129
`Demaray et al.
`Le et al.
`..................... 438/763
`Brcka .................... 156/345.48
`Strohhofer et a1.
`Demaray et al.
`Demaray et al.
`Wang et al.
`........... 204/298.07
`Celii et al.
`Zhang et al.
`Pan et al.
`Pan et al.
`Milonopoulou et a1.
`Chen et al.
`Henrichs
`Haukka et a1.
`Chen et al.
`................. 438/622
`Dawes
`Demaray et al.
`Demaray et al.
`Narasimhan et al.
`Pan et al.
`Pan et al.
`Zhang et al.
`Zhang et al.
`Zhang et al.
`Narasimhan et al.
`
`...... 419/49
`
`Zhang et al.
`
`2007/0053139 A1
`
`3/2007 Zhang et al.
`
`FOREIGN PATENT DOCUMENTS
`
`EP
`EP
`EP
`EP
`EP
`EP
`EP
`EP
`JP
`JP
`JP
`JP
`JP
`JP
`KR
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`
`0 510 883 A2
`0 652 308 A2
`0 639 655 A1
`0 820 088
`0 867 985 A1
`1068899 A1
`1 092 689 A1
`1 189 080 A2
`2-054764 A2
`5-230642 A
`6-010127
`6-100333
`7-224379 A
`7-233469
`2002-26187
`WO 96/23085
`WO 97/35044
`WO 99/61674 A1
`WO 00/21898 A1
`WO 00/22742
`WO 00/36665
`WO 01/82297 A1
`WO 02/12932
`WO 2004/021532 A1
`WO 2004/077519 A2
`WO 2004/106581 A2
`WO 2004/106582 A2
`WO 2006/063308 A2
`WO 2007/027535 A2
`
`10/1992
`10/1994
`2/1995
`1/1998
`9/1998
`1/2001
`4/2001
`3/2002
`2/1990
`9/1993
`1/1994
`12/1994
`8/1995
`9/1995
`4/2002
`8/1996
`9/1997
`12/1999
`4/2000
`4/2000
`6/2000
`11/2001
`2/2002
`3/2004
`9/2004
`12/2004
`12/2004
`6/2006
`3/2007
`
`OTHER PUBLICATIONS
`
`Barbier, Denis, “Performances and potentioal applications of
`erbium doped planar waveguide amplifiers and lasers,” GeeO, pp.
`58-63.
`Belkind et a1., “Using pulsed direct current power for reactive
`sputtering of A1203,” J. Vac. Sci. Technol. A 17(4), pp. 1934-1940
`(Jul. 1999).
`Byer et a1., “Nonlinear Optics and Solid-state Lasers,” IEEE Jour—
`nal on Selected Topics in Quantum Electronics, vol. 6, No. 6, pp.
`921-929 (Nov. 2000).
`Fujii et al, “1.54 mm photoluminescence of Er3+ doped into SiO2
`films containing Si nanocrystals: Evidence for energy transfer from
`Si nanocrystals for Er3+”, Appl. Phys. Lett., 71 (9), pp. 1198-1200
`(Sep. 1997).
`Kelly et a1., “Reactive pulsed magnetron sputtering process for
`alumina films,” J. Vac. Sci. Technol. A 18(6), pp. 2890-2896 (Nov.
`2000).
`Kelly et a1., “Control of the structure and properties of aluminum
`oxide coatings deposited by pulsed magnetron sputtering,” J. Vac.
`Sci. Technol. A 17(3), pp. 945-953 (May 1999).
`Pan et a1., “Planar Er3+-doped aluminosilicate waveguide amplifier
`with more than 10 dB gain across C-band,” Optical Society of
`America, 3 pages (2000).
`Roberts et a1., “The Photoluminescence of Erbium-doped Silicon
`Monoxide,” Department of Electronics and Computer Science, 7
`pages (Jun. 1996).
`Schiller et al. “PVD Coating of Plastic Webs and Sheets with High
`Rates on Large Areas,” European Materials Research Society 1999
`Spring Meeting, Strasbourg, France (Jun. 1-4, 1999).
`Shaw et al. “Use of Vapor Deposited Acrlate Coatings to Improve
`the Barrier Properties of MetallizedFilm,” Society of Vacuum
`Coaters 505/856-7168, 37th Annual Technical Conference Proceed-
`ings, pp. 240-244 (1994).
`Shin et al. “Dielectric and Electrical Properties of Sputter Grown
`(Ba,Sr)TiO3 Thin Films,”J. Appl. Phys, vol. 86, No. 1, pp. 506-513,
`(Jul. 1, 1999).
`Shmulovich et a1., “Recent progress in Erbium-doped waveguide
`amplifiers,” Bell Laboratories, 3 pages (1999).
`
`

`

`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 5 of 48
`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 5 of 48
`
`US 7,381,657 B2
`
`Page 4
`
`Ting et a1., “Study of planarized sputter-deposited SiO2,” J. Vac.
`Sci. Technol., 15(3) pp. 1105-1112 (May/Jun. 1978).
`Van Dover, R.B. “Amorphous Lanthanide-Doped TiOX Dielectric
`Films,” Appl. Phys. Lett., vol. 74, No. 20, pp. 3041-3043 (May 17,
`1999).
`Westlinder et al. “Simulation and Dielectric Characterization of
`Reactive dc Magnetron Cosputtered (Ta205)1_X Thin Films,” J. Vac.
`Sci. Technol. B, vol. 20, No. 3, pp. 855-861 (May/Jun. 2002).
`Yoshikawa, K. et a1., “Spray formed aluminium alloys for sputtering
`targets,” Power Metallurgy, vol. 43, No. 3, pp. 198-199 (2000).
`Zhang, Hongmei et al. “High Dielectric Strength, High k TiO2 Films
`by Pulsed DC, Reactive Sputter Deposition,” (2002).
`Crowder, et a1., “Low-Temperature Single-Crystal Si TFT’s Fabri-
`cated on Si Films Processed via Sequential Lateral Solidification,”
`IEEE, vol. 19, No. 8 (Aug. 1998), pp. 306-308.
`Greene et al., “Morphological and electrical properties of rf sput-
`tered Y203-doped Zr02 thin films,” J. Vac. Sci. Tecnol., vol. 13, No.
`1 (Jan/Feb. 1976), pp. 72-75.
`Hwang, Man-Soo et a1., “The effect of pulsed magnetron sputtering
`on the properties of indium thin oxide thin films,” Elsevier Science
`B.V., p. 29-33, (2003).
`Im, et al. “Controlled Super-lateral Growth of Si Films for
`Microstructural Manipulation and Optimization,” Materials Science
`Program (1998), pp. 603-617.
`Im, et a1., “Crystalline Si Films for Integrated Active-Matrix
`LiquidCrystal Displays,” MrS Bulletin (Mar. 1996), pp. 39-48.
`Im, et a1., “Single-crystal Si films for thin-film transistor devices,”
`American Institute of Physics (1997), pp. 3434-3436.
`Tukamoto, H. et al., “Electronic Conductivity of LiCoO8 and Its
`Enhancement by Magnesium Doping,” J. Electrochem. Soc., vol.
`44, No. 9, pp. 3164-3168 (Sep. 1997).
`Response to Office Action filed on Mar. 14, 2005 in US. Appl. No.
`10/291,179.
`Office Action issued on Jun. 15, 2005 in US. Appl. No. 10/291,179.
`Office Action issued on Mar. 17,2005 in U.S.App1.No. 09/903,081.
`Response to Office Action filed on Jun. 17, 2005 in US. Appl.
`09/903,081.
`Office Action issued on Jul. 8, 2005 in US. Appl. No. 09/903,081.
`Office Action dated Jan. 13, 2005, received in US. Appl. No.
`10/ 101,863.
`Response to office Action filed on Jun. 10, 2005 in US. Appl. No.
`10/ 101,863.
`Office Action issued on Mar. 14,2005 in U.S.App1.No. 10/789,953.
`Office Action issued Mar. 24, 2005 in US. Appl. No. 10/851,542.
`Dorey, R.A., “Low temperature micromoulding of functional
`ceramic devices,” Grant summary for GIUS84156/01 for the UK
`Engineering and Physical Sciences Research Council, 2 pages
`(2004).
`Howson, R.P., “The reactive sputtering of oxides and nitrides,” Pure
`& Appl. Chem. 66(6):1311-1318 (1994).
`Office Action issued Sep. 21, 2005 in US. Appl. No. 11/100,856.
`Office Action issued on Aug. 4, 2005, in US. Appl. 10/101,863.
`Office Action issued on Aug. 8,2005 in U.S.App1.No. 10/101,341.
`Office Action issued on Oct. 3, 2005 in US. Appl. No. 10/650,461.
`Office Action issued on Mar. 24,2005 in U.S.App1.No. 10/851,542.
`Response to Office Action filed Jul. 25, 2005 in US. Appl. No.
`10/85 1,542.
`Office Action issued on Oct. 19,2005 in U.S.App1.No. 10/851,542.
`ASM Handbook, Formerly Ninth Edition, Metals Handbook, vol.
`15, Casting, Davis et al. (Eds.), ASM International, pp. 372-373,
`376-383, and 410-411 (1988).
`Cocorullo, G. et al., “Amorphous silicon waveguides and light
`modulators for integrated photonics realized by low-temperature
`plasma-enhanced chemical-vapor deposition,” Optics Lett. 21
`(24):2002-2004 (1996).
`Kelly, P.J. et al., “A novel technique for the deposition of aluminum-
`doped zinc oxide films,” Thin Solid Films 426(1-2)111-116 (2003).
`Tomaszewski, H. et a1., “Yttria-stabilized zirconia thin films grown
`by reactive r.f. magnetron sputtering,” Thin Solid Films 2872104-
`109 (1996).
`Response to Final Office Action filed Apr. 14, 2006, in US. Appl.
`No. 10/291,179.
`Office Action mailed Apr. 27, 2006, in US. Appl. No. 10/291,179.
`
`\Io.
`
`\Io.
`
`
`
`Response to Office Action filed Jul. 27, 2006, in US. Appl. \Io.
`10/291,179.
`Notice of Allowance mailed Aug. 6, 2002, in US Patent 6,506,289.
`Response to Office Action filed Feb. 28, 2006 in US. Appl. \Io.
`09/903,081.
`Final Office Action mailed May 8, 2006 in US. Appl.
`09/903,081.
`Final Office Action mailed Jun. 9, 2006 in US. Appl.
`11/100,856.
`Office Action mailed Mar. 22, 2006, in US. Appl. No. 10/101,863.
`Response to Office Action filed Jun. 12, 2006, in US. Appl. \Io.
`10/101,863.
`Response to Office Action filed on May 15, 2006, in US. Appl. \Io.
`10/101,341.
`Office Action issued on Aug. 2, 2006, in US. Appl. No. 10/101,341.
`Office Action issued on Mar. 23, 2006,
`in US. Appl.
`\Io.
`10/650,461.
`Response to Office Action filed on Jul. 24, 2006, in US. Appl. \Io.
`10/650,461.
`Response to Office Action filed Mar. 2, 2006 in US. Appl. \Io.
`10/789,953.
`Final Office Action issued on May 19, 2006 in US. Appl. \Io.
`10/789,953.
`Office Action from Singapore Patent Office
`200505388-9, dated Mar. 20, 2006.
`Office Action mailed Apr. 19, 2006 in US. Appl. No. 10/851,542.
`Response to Office Action filed Jul. 26, 2006 in US. Appl. \Io.
`10/851,542.
`Specification as filed Sep. 2, 2005, for US. Appl. No. 11/218,652.
`Agrawal, GP, in: Fiber-Optic Communication Systems, 2nd Edi-
`tion, John Wiley & Sons, New York, pp. 362-399 and 415 (1997).
`Masuda, H. & Kawai, S., “Wide-band and gain-flattened hybrid
`fiber amplifier consisting of an EDFA and a multiwavelength
`pumped raman amplifier,” IEEE Photonics Technology Lett.
`11(6):647-649 (1999).
`Snoeks, E. et a1., “Cooperative upconversion in erbium-implanted
`soda-lime silicate glass optical waveguides,” J. Opt. Soc. Am. B
`12(8):1468-1474 (1995).
`Final Office Action dated Oct. 12, 2006,
`10,291,179.
`Response to Final Office Action mailed Nov. 3, 2006, in US. Appl.
`No. 10,291,179.
`Office Action dated Dec. 1, 2006, in US. Appl. No. 10,291,179.
`Amendment dated Oct. 19, 2006, in US. Appl. No. 09/903,081.
`Notice of Allowance issued on Oct. 21, 2004, in US. Appl. No.
`10/101,492.
`Response to Ofiice Action filed Sep. 11, 2006 in US. Appl. No.
`11/100,856.
`Office Action mailed Dec. 1, 2006, in US. Appl. No. 11/100,856.
`Office Action mailed Sep. 6, 2006, in US. Appl. No. 10/101,863.
`Final Office Action mailed Oct. 19, 2006,
`in US. Appl. No.
`10/650,461.
`Voluntary Amendment
`92123625.
`Response to Final Office Action filed Aug. 3, 2006, in US. Appl.
`No. 10/789,953.
`Notice of Allowance mailed Oct. 23, 2006,
`10/789,953.
`Office Action dated Oct. 12, 2006, for US. Appl. No. 11/228,805.
`Office Action dated Sep. 22, 2006 from Korean Patent Office in
`Appl. No. 10-2005-7016055.
`Response to Office Action mailed Nov. 8, 2006, to the Korean Patent
`Office in Appl. No. 10-2005-7016055.
`Response to Office Action from Singapore Patent Office in Appl.
`No. 200505388-9, dated Aug. 11, 2006.
`Final Office Action dated Oct. 26, 2006,
`10/851,542.
`Preliminary Amendment filed Jul. 21, 2006,
`11/297,057.
`Supplemental Preliminary Amendment, Substitute Specification,
`and replacement drawing filed Dec. 6, 2006,
`in US. Appl. No.
`11/297,057.
`
`in Appl.
`
`\Io.
`
`in US. Appl. No.
`
`filed Jul. 26, 2006 in TW Appl. No.
`
`in US. Appl. No.
`
`in US. Appl. No.
`
`in US. Appl. No.
`
`

`

`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 6 of 48
`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 6 of 48
`
`US 7,381,657 B2
`
`Page 5
`
`filed Aug. 15, 2006.in TW Appl. No.
`
`in US. Appl.
`
`\Io.
`
`in US. Appl. V0.
`
`in TW Appl. V0.
`
`
`
`Voluntary Amendment
`94143175.
`PCT International Search Report and Written Opinion for Appl. No.
`PCT/US05/44781 dated Oct. 3, 2006.
`Belkind, A. et al., “Pulsed-DC Reactive Sputtering of Dielectrics:
`Pulsing Parameter Effects,” 43rd Annual Technical Conference
`Proceedings-Denver: 86-90 (Apr. 15-20, 2000).
`Scholl, R., “Power Supplies for Pulsed Plasma Technologies: State-
`Of-The-Art And Outlook,” Advances Energy Industries, Inc., pp.
`1-8 (1999).
`Scholl, R., “Power Systems for Reactive Sputtering of Insulating
`Films,” Advances Energy Industries, Inc., pp. 1-8 (Aug. 2001).
`Response to Office Action and Terminal Disclaimer dated Mar. 1,
`2007, in U.S.App1.No. 10/291,179.
`Office Action dated Dec. 18, 2006, in US. Appl. No. 09/903,081.
`Response to Office Action dated Mar. 1, 2007, in US. Appl. No.
`11/100,856.
`Response to Office Action dated Feb. 6, 2007, in US. Appl. No.
`10/ 101,863.
`Supplemental Preliminary Amendment dated Feb. 6, 2007, in US.
`Appl. No. 11/228,834.
`Supplemental Preliminary Amendment dated Feb. 6, 2007, in US.
`App1.No. 11/191,643.
`Notice of Allowance dated Feb. 21, 2007,
`10/789,953.
`Response to Office Action dated Dec. 21, 2006, in US. Appl. \Io.
`11/228,805.
`Response to Ofiice Action dated Jan. 26, 2007, in US. Appl. V0.
`10/85 1,542.
`Notice of Allowance dated Feb. 22, 2007,
`10/85 1,542.
`Continuation application and Preliminary Amendment dated Dec.
`13, 2006.
`Response to Office Action dated Mar. 19, 2007, in US. Appl. \Io.
`09/903,081.
`Response to Ofiice Action dated Feb. 20, 2007, in US. Appl. \Io.
`10/650,461.
`Office Action dated Mar. 6, 2007, in US. Appl. No. 10/650,461.
`Notice of Allowance dated Mar. 26, 2007,
`in US. Appl.
`\Io.
`11/228,805.
`Supplemental Notice of Allowance dated Mar. 15, 2007, in US.
`App1.No. 10/851,542.
`Voluntary Amendment dated Mar. 8, 2007,
`931 145 18.
`Application filed Mar. 22, 2007.
`Office Action dated May 21, 2007, in US. Appl. No. 10/291,179.
`Final Office Action dated Apr.
`13, 2007,
`in US. Appl.
`\Io.
`09/903,081.
`Amendment/RCE filed Aug. 9, 2007, in US. Appl. No. 09/903,081.
`Office Action dated Sep. 5, 2007, in US. Appl. No. 09/903,081.
`Final Office Action dated Sep. 7, 2007,
`in US. Appl. V0.
`11/ 100,856.
`Final Ofiice Action dated May 2, 2007,
`10/ 101,863.
`Response to Final Office Action filed Oct. 2, 2007, in US. Appl. V0.
`10/ 101,863.
`Response to Office Action filed Jul. 9, 2007,
`10/650,461.
`Final Office Action dated Oct.
`10/650,461.
`Corrected Notice ofAllowance dated Jun. 7, 2007, in US. Appl. \Io.
`11/228,805.
`Supplemental Notice of Allowance dated Jul. 5, 2007, in US. Appl.
`No. 11/228,805.
`Second Supplemental Preliminary Amendment filed May 31, 2007,
`in US. Appl. No. 11/297,057.
`US. Appl. No. 10/954,182, Biased pulse DC reactive sputtering of
`oxide films.
`Affinito et al., “PML/oxide/PML Barrier Layer Performance Dif-
`ferences Arising from Use of UV or Electron Beam Polymerization
`of the PML Layers,” Thin Solid Films vol. 308-309, pp. 19-25
`(1997).
`
`in US. Appl. V0.
`
`in US. Appl. \Io.
`
`10, 2007,
`
`in US. Appl.
`
`\Io.
`
`Affinito et al., “Polymer-Oxide Transparent Barrier Layers,” Society
`of Vacuum Coaters, 39th Ann. Technical Conference Proceedings,
`May 5-10, 1996, Philadelphia, PA, pp. 392-397 (1996).
`Alder, T. et al., “High-Efficiency Fiber-to-Chip Coupling Using
`Low-Loss Tapered Single-Mode Fiber,” IEEE Photonics Technol—
`ogy Letters, 12(8):1016-1018, (2000).
`Almeida, Vilson R. et al., “Nanotaper for compact mode conver-
`sion,” Optics Letters, 28(15):1302-1304, (2003).
`Asghari et al., “ASOCiA Manufacturing Integrated Optics Tech-
`nology,” Part of the SPIE Conference on Integrated Optics Devices
`III, vol. 3620, pp. 252-262 (Jan. 1999).
`Barbier et a1, “Amplifying Four-Wavelength Combiner, Based on
`Erbium/Etterbium-Doped Waveguide Amplifiers and Integrated
`Splitters”, IEEE Photonics Technology Lettters, vol. 9, pp. 315-317
`(1997).
`Beach R.J.,. “Theory and optimization of lens ducts,” Applied
`Optics, 35:12:2005-15 (1996).
`Bestwick, T., “ASOC silicon integrated optics technology,” Part of
`the SPIE Conferences on Photonics Packaging and Integration,
`SPIE vol. 3631, pp. 182-190 (Jan. 1999).
`Borsella et al., “Structural incorporation of silver insoda-lime glass
`by the ion-exchange process: a photoluminescence spectroscopy
`study”, Applied Physics A 71, pp. 125-132 (2000).
`Campbell et al., “Titanium dioxide (TiOZ)-based gate insulators,”
`IBM]. Res. Develop. 43(3), 383-391, (May 1999).
`Chang, C.Y. (edited by), “ULSI Technology,” The McGraw-Hill
`Companies, Inc., New York, 1996, Chapter 4, pp. 169-170, 226-231
`(1996).
`Supported Bifunctional
`of
`“Development
`a1.
`et
`Chen
`Electrocatalysts for Unitized Regenerative Fuel Cells,” Journal of
`the Electrochemical Society, 149(8), A1092-99, (2002).
`Choi et al., “Er-Al-codoped silicate planar light waveguide-type
`amplifier fabricated by radio-frequency sputtering,” Optics Letters,
`vol. 25, No. 4, pp. 263-265 (Feb. 15, 2000).
`Cooksey et al., “Predicting Permeability & Transmission Rate for
`Multilayer Materials,” Foodtechnology, vol. 53, No. 9, pp. 60-63
`(Sep. 1999).
`Delavaux et al., “Integrated optics erbium ytterbium amplifier
`system in 10 Gb/s fiber transmission experiment”, 22nd European
`Conference on Optical CommunicationiECOC’96, Oslo, 4 pages
`(1996).
`Distiributed Energy Resources: Fuel Cells, Projects, http://www.
`eere.energy.gov/der/fuelicells/projects.html (2003).
`DuPont Teijin Films, Mylar 200 SBL 300, Product Information
`(2000).
`Electrometals Technologies Limited, Financial Report for the year
`2002, Corporate Directory, Chairman’s Review, Review of Opera-
`tions (2002).
`E-Tek website: FAQ, Inside E-Tek, E-Tek News, Products; http://
`www.etek-inc.com/ (2003).
`Flytzanis et a1, “nonlinear Optics in Composite Materials,” E. Wolf,
`Progress in Optics XXIX (c) Elsevier Scince Publishers B.V., pp.
`323-425 (1991).
`Frazao et al., “EDFA Gain Flattening Using Long-Period Fibre
`Gratings Based on the Electric Arc Technique,” (date unknown).
`Garcia, C. “Size Dependence of Lifetime and Absorption Cross
`Section of Si Nanocrystals Embedded in SiOZ,” Appl. Phys. Lett.,
`vol. 82, No. 10, pp. 1595-1597 (Mar. 10, 2003).
`Goossens et al., “Sensitization of TiO2 with p-type semiconductor
`polymers,” Delft Interfaculty Research Center, Delft University of
`Technology Laboratory of Inorganic Chemistry, The Netherlands
`
`(1998).
`
`
`
`Han, Hak-Seung et a1. “Optical Gain at 1.54 m in Erbium-Doped
`Silicon Nanocluster Sensitized Waveguide,” Appl. Phys. Lett., vol.
`79, No. 27, pp. 4568-4570 (Dec. 31, 2001).
`Hayakawa et a1, “Field enhancement effect of small Ag particles on
`the fluorescence from Eu3+-doped SiO2 glass”, Appl. Phys. Lett.,
`vol. 74, No. 11, pp. 1513-1515 (Mar. 15, 1999).
`Hayakawa et al., “Enhanced fluorescence from Eu3+ owing to
`surface plasma oscillation of silver particles in glass”, Journal of
`Non—Crystalline Solids, vol. 259, pp. 16-22 (1999).
`Hayfield, P.C.S., “Development of a New Material-Monolithic
`Ti407 Ebonix Ceramic,” Royal Society Chemistry, (2002).
`
`

`

`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 7 of 48
`Case 5:20-cv-05676-EJD Document 13-4 Filed 09/01/20 Page 7 of 48
`
`US 7,381,657 B2
`
`Page 6
`
`Hehlen et al. “Spectroscopic Properties of Er3+ -and Yb3+-doped
`Soda-Lime Silicate and Aluminosilicate Glasses,” Physical Review
`B, vol. 56, No. 15, pp. 9302-9318 (Oct. 15, 1997).
`Hehlen et al. “Uniform Upconversion in High-Concentration Er3+-
`doped Soda Lime Silicate and Aluminosilicate Glasses,” Optics
`Letters, vol. 22, No. 11, pp. 772-774 (Jun. 1, 1997).
`Horst et a1., “Compact, Tunable Optical Devices in Silicon-
`Oxynitride Wave Guide Technology,” IBM Research Division, 3
`pages (1999).
`Hubner,
`J. and Guldberg-Kjaer, S., “Planar Er-and Yb-Doped
`Amplifiers and Lasers,” COM Technical University of Denmark,
`10.sup.th European Conf. On Integrated Optics, Session WeB2, pp.
`71-74 (2001).
`Itoh, M. et a1., “Large reduction of singlemode-fibre coupling loss
`in 1.5% delta planar lightwave circuits using spot-size converters,”
`Electronics Letters, 38(2):72-74 (2002).
`Jackson et al. “An Accurate Compact EDFA Model,” Dept. of
`Electrical and Computer Engineering, University of BC (date
`unknown).
`Janssen et al. “Photoinduced electron transfer from conjugated
`polymers onto nanocrystalline TiOZ,” Eindhoven University of
`Technology, The Netherlands (date unknown).
`Johnson, J.E. et a1., “Monolithically Integrated Semiconductor
`Optical Amplifier and Electroabsorption Modulator with Dual-
`Waveguide Spot-Size Converter Input,” IEEE Journal of Selected
`Topics in Quantum Electronics, vol. 6(1) pp. 19-25 (2000).
`Jonsson L.B. et al. “Frequency response in pulsed DC reactive
`sputtering processes,” Thin Solid Films, vol. 365, pp. 43-48 (2000).
`Kato et a1., “Recent progress on PLC hybrid integration,” Part of the
`SPIE Conference on Optoelectric Integrated Circuits III, SPIE. vol.
`3631, pp. 28-36 (Jan. 1999).
`Kato, Kuniharu et a1., “PLC Hybrid Integration Technology and Its
`Application to Photonic Components,” IEEE Journal of Selected
`Topics in Quantum Electronics, vol. 6(1), pp. 4-13 (2000).
`Kik, P.G. et al.
`“Gain Limiting Processes
`in Er-doped Si
`Nanocrystal Waveguides in SiOZ,” J. Appl. Phys., vol. 91, No. 1, pp.
`534-536 (Jan. 1, 2002).
`Kim et al. “Frequency-dependent pulsed direct current magnetron
`sputtering of titanium oxide films,” J. Vac. Sci. Technol. A 19(2);
`429-434 (Mar. 2001).
`Kim et al. “Mixture Behaviour and Microwave Dielectric Properties
`in the Low-fired TiOZ-CuO System,” Jpn. J. Appl. Phys., 39,
`2696-2700, (2000).
`Ladouceur, F. et a1., “Effect of side wall roughness in buried channel
`waveguides,” IEEE Proc., vol. 141, pp. 242-248 (Aug. 1994).
`Ladouceur, F. et a1., “8.8 Evaluation of Results”, Silica—based
`Buried Channel Waveguides and Devices, Chapman & Hall, Lon-
`don, pp. 98-99 (1996).
`Lamb, William B., “Designing Nonfoil Containing Skins for VIP
`Applications,” DuPont VIA Symposium Presenation, (1999).
`Lamb, William et al. “Designing Non-Foil Containing Skins for
`Vacuum InsulationPanel (VIP) Applications,” Vuoto, vol. XXVIII,
`No. 1-27Gennaio-Giugno 1999, pp. 55-58 (1999).
`Lange et al, “High Gain Ultra-Short Length Phosphate glass
`Erbium-Doped Fiber Amplifier Material”, OSA Optical Fiber Com—
`munications (OFC), 3 pages (2002).
`Laporta et al, “Diode-pumped cw bulk Er: Yb: glass laser”, 1952
`Optics Letters, vol. 16, No. 24, 6 pages (Dec. 15, 1991).
`Laurent-Lund, C. et a1., “PECVD Grown Multiple Core Planar
`Waveguides with Extremely Low Interface Reflections and Losses,”
`IEEE Photonics Technology Letters, vol. 10, No. 10, pp. 1431-1433
`(Oct. 1998).
`Lee et al., “Effect of size and roughness on light transmission