Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 1 of 282
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`WO 2006/063308
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 2 of 282
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`C'
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`10/27
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 3 of 282
`
`(
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 4 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 4 of 282
`
`WO 2006/063308
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`C
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`C
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`
`12/27
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`SUBSTITUTE SHEET (RULE26)
`
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 5 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 5 of 282
`
`WO 2006/063308
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`.
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`Cc
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`~
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`13/27
`
`CURRENT COLLECTOR
`
`CURRENT COLLECTOR
`
`LIPON
`ANODE
`CURRENT COLLECTOR
`ANODE
`LIPON
`LICo
`CURRENT COLLECTOR
`SUBSTRATE
`
`FIG. 9A
`
`603
`602
`——901
`_—902
`_-903
`—902
`901
`602
`——603
`601
`
`CURRENT COLLECTOR
`
`603
`
`903
`CURRENT COLLECTOR
`ANODE
`902
`LIPON
`607
`
`LiCoO,
`_- 602
`CURRENT COLLECTOR
`--903
`ANODE
`—902
`
`LiPON
`901
`LiGoO,
`602
`
`CURRENT COLLECTOR
`—603
`
`SUBSTRATE
`601
`
`
`FIG. 9B
`
`SUBSTITUTE SHEET (RULE 26)
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 6 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 6 of 282
`
`stoichiometric LiCoO, (PDF#16-0427); 003: 26=18.95°
`101: 26e37.43°
`ves.194!
`008: 26=38.34°
`012: 26=39.10°
`
`—_—ir-111 (PDF #08.0598)
` 26=40.65°
`
`LI-Co-oxide on Ir/<100>S!
`
`SLNLILSANsS
`(9231NY)LSSHS
`
`
`DIFFRACTION ANGLE 26
`
`FIG. 10D
`
`FIG. 10C
`
`Le/bl
`
`FIG. 10B
`
`FIG. 10A
`
`oD
`
`80€£90/9007OA
`
`T8LPF0/S007SN/LOd
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 7 of 282
`
`WO 2006/063308
`
`c
`
`PCT/USlOOS/044781
`
`15127
`
`- - - - - - - - - - - - _ , . . . 1 1 0 3
`=======================::=-1102
`1101
`FIG. llA
`
`~-----------~---1104
`-1103
`======================:=::::~ 1102
`1101
`FIG. llB
`
`- - - - - - - - - - - - . . . . . - 1 1 0 1
`_....1106
`- - - - - - - - - - - -........ 1105
`- - - - - - - - - - - - - - - - - -........ 1104
`- - - - - - - - - - - - - 1 1 0 3
`- - - - - - - - - - - - - - -= - - 1 1 0 2
`1101
`FIG. llC
`
`- - - - - - - - - - - - _ . . . . 1 1 0 1
`-------------_,...1106
`- - - - - - - - - - - -........... 1105
`- - - - - - - - - - - - - - _ , . . . 1 1 0 4
`- - - - - - - - - - - - - 1 1 0 3
`
`FIG. llD
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`SUBSTITUTE SHEET (RULE 26)
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`
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 8 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 8 of 282
`
`WO 2006/063308
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`C
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`C
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`PCT/US2005/044781
`
`16/27
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`2THETA
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`SUBSTITUTE SHEET (RULE 26)
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 9 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 9 of 282
`
`WO 2006/063308
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`C
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`8000
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 10 of 282
`
`WO 2006/063308
`
`PCT/USlOOS/044781
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`18127
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`SUBSTITUTE SHEET (RULE 26)
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 11 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 11 of 282
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`WO 2006/063308
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`PCT/0S2005/044781
`
`19/27
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 12 of 282
`
`WO 2006/063308
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`20127
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 13 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 13 of 282
`oo
`~-
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`2THETA
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 14 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 14 of 282
`
`WO2006/063308 a“
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 15 of 282
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 16 of 282
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 17 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 17 of 282
`
`WO 2006/063308
`
`PCT/0S2005/044781
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`
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 18 of 282
`
`65mm
`
`- -_j
`65m m
`
`3.09
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`3.01
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`3.00
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`2.86
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`2.70
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 19 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 19 of 282
`
`VOLTAGE(V)
`
`
`
`i GBmA(20mAlem*)140-Crate
`
`000.0E+0
`
`100.0E-6
`
`200.0E-6
`
`300.0E-6
`
`400.0E-8
`
`500.0E-6
`
`600.0E-6
`
`DISCHARGE CAPACITY (Ah)
`
`FIG. 17
`
`80E£90/9007OM
`
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`
`T8SLPb0/SO0OZTSM/LDd
`
`_33mA(10mAlem?)70-C rate
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`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 20 of 282
`
`This Page is Inserted by IFW Indexing and Scanning
`Operations and is not part of the Official Record.
`
`BEST AVAILABLE IMAGES
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`Defective images within this document are accurate representations of the original
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`Defects in the images include but are not limited to the items checked:
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`

`Case 5:20-cv-09341-EJD Document:138-11- Filed-03/18/22 Page 21 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 21 of 282
`© .
`
`RD
`
`woermoorramns [wines
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`- C]
`* if the difference in column 1 és less than zero, enter “0° ia column 2
`(CLAIMS AS'AMENDED- PARTtl
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`SMALLENTITY OR SMALL ENTITY
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`FIAST PRESE!
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`101954182.
`PATENTAPPLICATION FEE DETERMINATION RECO
`ma
`Effective December8, 2004 -
` SMALLENTITY "OTHER THAN
`CLAIMS AS FILED - PART!
`(Column 2
`TYPE CJ OR. SMALLENTI TY:
`____
`(Column).
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`
`
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`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 22 of 282
`
`

`

`
`
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 23 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 23 of 282
`UNITED STATES PATENT AND TRADEMARK OFFICE
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`ddress: COMMISSIONER FOR PATENTS
`P.O. Box1450
`
`Alenaausinls22313-1450
`
`L Xr/
`
`10/954, 182
`
`10/01/2004
`
`Hongmei Zhang
`
`09140-0016-01000
`
`9873
`
`FINNEGAN, HENDERSON, FARABOW,GARRETT & DUNNER
`LLP
`901 NEW YORK AVENUE, NW
`WASHINGTON, DC 20001-4413
`
`ESTRADA, MICHELLE
`
`2823
`
`DATE MAILED:10/31/2006
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO-90C (Rev. 10/03)
`
`

`

`.. ;
`
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 24 of 282
`Application No.
`Applicant(s)
`
`Office Action Summary
`
`10/954,182
`
`Examiner
`
`ZHANG ET AL
`
`Art Unit
`
`2823
`Michelle Estrada
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE~ MONTH(S) OR THIRTY (30) DAYS,
`WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
`- Extensions of lime may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed
`after SIX (6) MONTHS from the mailing date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`Status
`
`1)1:8] Responsive to communication(s) filed on 09 August 2006.
`2a)D This action is FINAL.
`2b)l:8] This action is non-final.
`3)0 Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Ex parte Quayle, 1935 C.D. 11, 453 0.G. 213.
`
`Disposition of Claims
`
`4)1:8] Claim(s) 41-43.45-62,85 and 87-89 is/are pending in the application.
`4a) Of the above claim(s) __ is/are withdrawn from consideration.
`5)1:8] Claim(s) 61.62 and 85 is/are allowed.
`6)1:8] Claim(s) 41-43.45-60 and 87-89 is/are rejected.
`7)0 Claim(s) __ is/are objected to.
`8)0 Claim(s) __ are subject to restriction and/or election requirement.
`
`Application Papers
`
`9)0 The specification is objected to by the Examiner.
`10)0 The drawing(s) filed on __ is/are: a)O accepted or b)D objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`11 )0 The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PT0-152.
`
`Priority under 35 U.S.C. § 119
`
`12)0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a)O All b)D Some* c)O None of:
`1.0 Certified copies of the priority documents have been received.
`2.0 . Certified copies of the priority documents have been received in Application No. __ .
`3.0 Copies of the certified copies of the priority documents have been received in this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`1) 0 Notice of References Cited (PT0-892)
`2) 0 Notice of Draftsperson's Patent Drawing Review (PT0-948)
`3) l:8J Information Disclosure Statement(s) (PTO/SB/08)
`Paper No(s)/Mail Date 819106.
`
`4) D Interview Summary (PT0-413)
`Paper No(s)/Mail Date. __ .
`5) D Notice of Informal Patent Application
`6) 0 Other: __ .
`
`U.S. Patent and Trademark Office
`PTOL-326 (Rev. 08-06)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20061030
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 25 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page2
`
`DETAILED ACTION
`
`Claim Rejections - 35 USC§ 103
`
`The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all
`
`obviousness rejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is not identically disclosed or described as set
`forth in section 102 of this title, if the differences between the subject matter sought to be patented and
`the prior art are such that the subject matter as a whole would have been obvious at the time the
`invention was made to a person having ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the invention was made.
`
`Claims 45, 47, 49, 51, 52, 59 and 60 are rejected under 35 U.S.C. 103(a) as
`
`being unpatentable over Smolanoff et al. (6, 117,279) in view of D'Couto et al.
`
`(6,673,716).
`
`Re claims 59 and 60, Smolanoff et al. disclose providing a process gas between
`
`the target (16) and a substrate (15); providing pulsed DC power to the target (Col. 5,
`
`lines 50-55); providing a magnetic field to the target (Col. 6, lines 1-7); and wherein a
`
`material is deposited on the substrate (Col. 5,- lines 22-26); and an oxide film is formed
`
`by reactive sputtering (Col. 6, lines 15+). Using an specific type of filter (narrow band-
`
`rejection) is a matter of design choice depending on the quality of product needed, and
`
`it is obvious that the filter is going to work at certain frequencies.
`
`Smolanoff et al. do not disclose wherein the material sputtered is in the metallic
`
`mode or in the poison mode.
`
`D'Couto et al. disclose that a material can be sputter neither in the poison mode
`
`or metallic mode (Col. 1, line 65-Col. 2, line 20).
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 26 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page3
`
`It would have been within the scope of one of ordinary skill in the art to combine
`
`the teachings of Smolanoff et al. and D'Couto et al. to enable the sputtering mode step
`
`of Smolanoff et al. to be performed according to the teachings of D'Couto et al. because
`
`one of ordinary skill in the art would have been motivated to look to alternative suitable
`
`methods of performing the disclosed sputtering step of Smolanoff et al. and art
`
`recognized suitability for an intended purpose has been recognized to be motivation to
`
`combine. See MPEP 2144.07.
`
`Re claim 45, Smolanoff et al. disclose wherein the magnetic field is provided by a
`
`moving magnetron (Col. 5, lines 39-49).
`
`Re claim 47, Smolanoff et al. disclose wherein the process gas includes a
`
`mixture of oxygen and argon (Col. 7, lines 22-27).
`
`Re claim 49, Smolanoff et al. disclose wherein the process gas further includes
`
`nitrogen (Col. 7, lines 25-26).
`
`Re claim 51, Smolanoff et al. disclose further including uniformly sweeping the
`
`·target with a magnetic field (Col. 6, lines 1-6).
`
`Re claim 52, Smolan off et al. disclose wherein sweeping the target with a
`
`magnetic field includes sweeping a magnet in one direction across the target where the
`
`magnet extends beyond the target in the opposite direction (Col. 6, lines 1-6).
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 27 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page4
`
`Claims 41, 42, 46, 48 and 50 are rejected under 35 U.S.C. 103(a) as being
`
`unpatentable over Smolanoff in view of D'Couto et al. as applied to claims 45, 47, 49,
`
`51, 52, 59 and 60 above, and further in view of Chen et al. (2004/0077161 ).
`
`Re claim 41, Smolanoff et al. disclose wherein the process gas includes oxygen.
`
`Re claim 42, Smolanoff et al. disclose wherein the process gas includes N2 or
`
`The combination of Smolanoff et al. and D'Couto et al. does not disclose wherein
`
`the target is a metallic target.
`
`Re claims 41 and 42, Chen et al. disclose forming a coating layer in a substrate;
`
`applying a magnetic field to a target; wherein the target is a metallic target.
`
`It would have been within the scope of one of ordinary skill in the art to combine
`
`the teachings of Smolanoff et al., D'Couto et al. and Chen et al. to enable the target
`
`material of Smolanoff et al. to be the same according to the teachings of Chen et al.
`
`because one of ordinary skill in the art wquld have been motivated to look to alternative
`
`suitable target rriaterials of the disclosed target of Smolanoff et al. and art recognized
`
`suitability for an intended purpose has been recognized to be mo.tivation to combine.
`
`See MPEP 2144.07.
`
`Re claim 46, Chen et al. disclose further including holding the temperature of the
`
`substrate substantially constant (Page 3, Paragraph [0046)).
`
`Re claim 48, Chen et al. disclose wherein the oxygen flow is adjusted by the
`
`mass flow controllers; thereby it will adjust the index refraction of the film.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 28 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: ~823
`
`Pages
`
`Re claim 50, Chen et al. disclose wherein providing pulsed DC power to a target
`
`includes providing pulsed DC power to a target, which has an area larger than that of
`
`the substrate (See fig. 3).
`
`Claims 43, 53-58 and 87-89 are rejected under 35 U.S.C. 103(a) as being
`
`unpatentable over Smolanoff et al. in view of D'Couto et al. as applied to claims 45, 47,
`
`49, 51, 52, 59 and 60 above, and further in view of Milonopoulou et al. (2003/0175142).
`
`Re claim 43, The combination of Smolanoff et al. and D'Couto et al. does not
`
`disclose wherein the target is a ceramic target.
`
`Milonopoulou et al. disclose forming a coating layer on a substrate; providing a
`
`target (12), which is ceramic (Abstract).
`
`It would have been within the scope of one of ordinary skill in the art to combine
`
`the teachings of Smolanoff et al., D'Couto et al. and Chen et al. to enable the target
`
`material of Smolanoff et al. to be the same according to the teachings bf Milonopoulou
`
`et al. because one of ordinary skill in the art would have been motivated to look to
`
`alternative suitable target materials of the disclosed target of Smolanoff et al. and art
`
`recognized suitability for an intended purpose has been recognized to be motivation to
`
`combine. See MPEP 2144.07.
`
`Using an specific type of filter (narrow band-rejection) is a matter of design
`
`choice depending on the quality of product needed, and it is obvious that the filter is
`
`going to work ·at certain frequencies.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 29 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page·6
`
`Re claim 53, Milonopoulou et al. disclose wherein the target is an alloyed target
`
`(Abstract).
`
`Re claim 54, Milonopoulou et al. disclose wherein the alloyed target includes one
`
`or more rare earth ions.
`
`Re claim 55, Milonopoulou et al. disclose wherein the alloyed target includes Si
`
`and Al.
`
`Re claim 56, Milonopoulou et al. disclose wherein the alloyed target includes one
`
`or more elements taken from a set consisting of Si, Al, Er and Yb.
`
`Re claim 57, Milonopoulou et al. disclose wherein the alloyed target is a tiled
`
`target.
`
`Re claim 58, Milonopoulou et al. disclose wherein each tiled target is formed by
`
`prealloy atomization and hot isostatic pressing of a powder (Page 2, Paragraph [0020]).
`
`Re claim 87-89, using an specific type of filter is a matter of design choice
`
`depending on the quality of product needed, and it is obvious that the filter is going to
`
`work at certain frequencies. Furthermore, the limitation "the filter is a narrow-band
`
`rejection filter rejects power at an RF frequency including an RF bias to the substrate at
`
`the RF frequency" is a structural. limitation in a method claim, so no matter what filter is·
`
`used, as long as the same result is achieved, as explained above.
`
`Re claims 88 and 89, one of ordinary skill in the art would have been led to the
`
`recited bandwidth and frequency through routine experimentation to achieve a desired
`
`band rejection in the process. In addition, the serection of bandwidth and frequency, its
`
`obvious because it is a matter of determining optimum process conditions by routine
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 30 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page 7
`
`experimentation with a limited number of species of result effective variables. These
`
`claims are prima facie obvious without showing that the claimed ranges achieve
`
`unexpected results relative to the prior art range.
`
`In re Woodruff, 16 USPQ2d 1935,
`
`1937 (Fed. Cir. 1990). See also In re Huang, 40 USPQ2d 1685, 1688 (Fed. Cir.
`
`1996)(claimed ranges or a result effective variable, which do not overlap the prior art
`
`ranges, are unpatentable unless they produce a new and unexpected result which is
`
`different in kind and not merely in degree from the results of the prior art). See also In
`
`re Boesch, 205 USPQ 215 (CCPA) (discovery of optimum value of result effective
`
`variable in known process is ordinarily withir:i skill or art) and In re Aller, 105 USPQ 233
`
`(CCPA 1995) (selection of optimum ranges within prior art general conditions is
`
`obvious).
`
`Note that the specification contains no disclosure of either the critical nature of
`
`the claimed bandwidth and frequency or any unexpected results arising therefrom.
`
`Where patentability is said to be based upon particular chosen bandwidth and .
`
`frequency or upon another variable recited in a claim, the Applicant must show that the
`
`chosen bandwidth and frequency are critical. In re Woodruf, 919 F .2d 1575, 1578, 16
`
`USPQ2d 1934, 1936 (Fed. Cir. 1990).
`
`Allowable Subject Matter
`
`Claims 61, 62 and 85 are allowed.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 31 of 282
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page 8
`
`Conclusion
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Michelle Estrada whose telephone number is 571-272-
`
`1858. The examiner can normally be reached on Monday through Friday.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
`
`supervisor, Matthew Smith can be reached on 571-272-1907. The fax phone number
`
`for the organization where this application or proceeding is assigned is 571-273-8300.
`
`Any inquiry of a general nature or relating to the status of this application or
`
`proceeding should be directed to the receptionist whose telephone number is 571-272-
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`2800.
`
`Information regarding the status of an application may be obtained from the
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`Patent Application
`
`Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpubiished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
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`you have questions on access to the Private PAIR system, contact the Electronic
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`Business Center (EBC) at 866-217-9197 (toll-free).
`
`ME
`October 30, 2006
`
`

`

`,#
`
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 32 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 32 of 282
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`
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`Complete ifKnown Sexte>
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`IDS Form PTO/SBA08: Substitute for form 1448A/PTO
`[GV
`Application Number
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`FilingDato~~October1.2008}
`INFORMATION DISCLOSURE
`ZHANGHonomel
`{ASO8Toms
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`STATEMENTBY APPLICANT badunt03SZ
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`--
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`(Uso 02 many shoots os necessary)
`ESTRADA Michalo WE
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`seatotatomeyDocketNombar[6140.06.01apa
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` U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Examiner
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`[—[usaneses ___‘[owoan
`[—[ussrios0 __[2ovnoer
`[—Tosa7ess9____[unsnee
`[—[ussas526 ___[ovrsnoss
`[Tussa7a795|20sn99s
`[Jusssiz.i67Jowa0n996
`T[us5569,
`US 5,569,520
`10/29/1996
`[[us5397
`U5 5397660
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`_L_fussir21s2 loser
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`TTTus5665.26|ovens
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`PTTos5:702929 arson
`PTYus600s.26
`8gS
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`[—[Tos616820001|ovoaroai
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`[Jus62367931 |osrzr001
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`g Pa
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`[TT20010031122a1|1ore001
`[[Tus20ceroor4s06-ai—[oaora002 _[Taxachine |
`PL[us20ozrorisasea1|owzr02
`[Toss200370035506ar[0220203
`[Tus20030178657ai[osrs003_[cheneral.
`TV[fs200352661|vorzn00[HeartsSiS
`Tos200si0003557ar[oxowno0e[rainerassidSSCS
`{)
`‘
`f)
`{
`swiwe FIV(MIWLPAMhhl|Comes—|(0/2010|
`
`
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`
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`EXAMINER:Initial if reference ¢onsidered, whetheror notcitation is in conformance with MPEP 609. Drawling through
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 33 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 33 of 282
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`IDS Form PTOVSB/08: Substitute for form 1449A/PTO
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`application Number
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`Complete if Known
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`Filing Date
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`First Named Inventor
`ZHANG,Hongmei
`STATEMENT BY APPLICANT=Pidnt__[ers
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`(Us 0 many sheets a necessary
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`|Sheetft| Attomey Docket Number|9140.0016-01
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`
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`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
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`fl
`CAN—_[osmoosoressscat[ownsa00s[Panetal
`
`[_[-Jos2o0sroosaaoe.ai[onrisao0s[zhangerat__—_+|
`TJs20060057283ai_[osriea00s—[zhangeta
`
`17_[_Jus200sioosra0ea1[on/iea006[znangeret
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`
`Wo|[us2cosroonse2a1|owosa006[Narasimhanetal,
`TUN,[us20060134522a1|osrz006[zhangerat_—___——
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`A
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`
`AA]|pes73a738ci_07261989[DegussaAG
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`pj|depiosz69ar{04/18/2001|BPS Alzenau GmbH
`Abstract
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`[| |prs.avosse
`come [ude|
`Nissin High Voltage
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`[|frranaton—_____Jonaanos|uvactapanad
`Abstract
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`NON PATENT LITERATURE DOCUMENTS
`
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`Examiner|Cite Include nameofthe author (in CAPITAL LETTERS),title ofthe article (when appropriate),title of the item (book,
`Initials*
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`magazine, journal, serial, symposium, catalog, etc.), date, page(s), vohime-issue number(s), publisher, city and/or
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`Applicant ofCited Document
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`Where Relevant Passages or
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`Trarstation®
`
`LNG ASM Handbook, FormerlyNinth Edition, Metals Handbook, Volume 15, Casting, Davisetal.
`LHF
`(Eds.), ASM International, pp. 372-373, 376-383, and 410-411 (1988).
`COCORULLO,G.et al., “Amorphous silicon waveguides and light modulators for integrated
`photonicsrealized 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 ofaluminum-doped zinc oxide
`V/
`Y.
`films,” Thin Solid Films 426(1-2):111-116 (2003).
`
`We) TOMASZEWSKI,H.etal., “Yttria-stabilized zirconiathin films grownbyreactiver-f.HY / magnetron sputtering,” Thin SolidFilms 287:104-109 (1996). .
`
`
`
`4
`4
`1 af)
`QD,
`
`[simsLAVILIVURIComitoes|OSDDy
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 34 of 282
`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 34 of 282
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`IDS Form PTOISB/O8: Substitute for form 14494/PTO
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`Complete if Known
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`"October1,2008S
`INFORMATION DISCLOSURE
`October 1, 2004
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`(}
`Yj
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`STATEMENT BY APPLICANTSHENG,Honest
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`ESTRADA, Michelle
`9140.0016-01
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`NON PATENT LITERATURE DOCUMENTS
`Response to Final Office Action filed April 14, 2006, in U.S. Appl. No. 10/291,179 (Atty.
`
`
`
`Docket No. 9140.0001-00).
`Office Action mailed April 27, 2006, in U.S. Appl. No. 10/291,179 (Atty. Docket No.
`9140.0001-00).
`Response to Office Action filed July 27, 2006, in U.S. Appl. No. 10/291,179 (Atty. Docket No.
`9140.0001-00).
`Notice of Allowance mailed August 6, 2002, for US Patent No, 6,506,289 (Atty. Docket No.
`09140.0002-01).
`‘
`||
`Response to Office Action filed-February28, 2006 in U.S. Application No. 09/903,081 (Atty.
` Docket No. 09140-0014-00).=>.
`SfP| FinalOffice Actionmailed May8, 2006in U.S. Application No. 09/903,081 (Atty. DocketNo.
`
`
`
`09140-0014-00).
`~
`
`
`
`Final Office Action mailed June 9, 2006in U.S.Appl,No. 11/100,856 (Atty. Docket No.
`09140.0015-01).
`S
`Office Action mailed March 22, 2006, in U.S.Appl. No. 10/101,863 (Atty. DocketNo.
`
`09140.0016-00).
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Response to Office Action filed on May 15, 2006, in U.S. Application No. 10/101,341 (Atty.
`Docket No. 09140-0017-00).
`Office Action issued on August 2, 2006, in U.S. Application No. 10/101,341 (Atty. Docket No.
`09140-0017-00).
`Office Action issued on March 23, 2006, in U.S. Application No. 10/650,461 (Atty. Docket
`No. 09140-0025-00).
`Response to Office Action filed on July 24, 2006, in U.S. Application No. 10/650,461 (Atty.
`Docket No. 09140-0025-00).
`Response to Office Action filed March 2, 2006 in U.S. Application No. 10/789,953 (Atty.
`Docket No. 09140.0030-00).
`Final Office Action issued on May 19, 2006 in U.S. Application No. 10/789,953 (Atty. Docket
`No. 09140.0030-00).
`Office Action from Singapore Patent Office in Appl. No. 200505388-9, dated March 20, 2006
`(Atty. Docket No. 9140.0030-00256).
`Office Action mailed April 19, 2006 in U.S. Application No. 10/851,542 (Atty. Docket No.
`09140.0033-00).
`Response to Office Actionfiled July 26, 2006 in U.S. Application No. 10/851,542 (Atty.
`Docket No. 09140.0033-00).
`
`
`
`
`
`
`
`
`
`
`AA, 09140.0052-00)—>
`
`Lie)| Specification as filed September 2, 2005, for U.S. Appl. No. 11/218,652 (Atty. Docket No.
`a
`
`
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`EXAMINER:Initial if referencé considered, whetheror not citation is In conformance with MPEP 609. Draw line through
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`..
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`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 35 of 282
`Case 5:20-cv-09341-EJD
`Document
`138-1
`iled 03/18/22 Page 35 of 282
`
`ft
`‘
`,
`‘
`-”
`
`|
`
`
`
`
`
`=
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-01
`
`IN THE UNITED STATES PATENT AND TRADEMARKOFFICE
`Yr—wa”
`In re Application of:
`
`))
`
`ZHANG,Hongmeietal.
`
`Application No.: 10/954,182
`
`Filed: October 1,2004
`
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA,Michelle
`)
`
`)) Confirmation No.: 9873
`
`For:
`
`BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`)
`)
`
`MAIL STOP AMENDMENT
`Commissionerfor Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`AMENDMENT AND RESPONSE TO OFFICE ACTION
`
`In reply to the Office Action mailed October 31, 2006, please amend the above-identified
`
`application as follows:
`
`Amendmentsto the Claimsare reflected in the listing of claims that begins on page 2 of
`
`this paper.
`
`Remarks/Arguments follow the amendmentsections on page 6 of this paper.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-11 Filed 03/18/22 Page 36 of 282
`
`AMENDMENTS TO THE CLAIMS:
`
`This listing of claims will replace all prior versions and listings of claims in the
`
`application:
`
`Claims 1-40 (Canceled).
`
`Claim 41 (Currently amended): The method of claims 59, 00, fil_or 85, wherein the
`
`target is a metallic target and the process gas includes oxygen.
`
`Claim 42 (Currently amended): The method of claims 43, 59, 00, fil_or 85, wherein the
`
`target is a metallic target and the process gas includes one or more of a set consisting of N2, NH3,
`
`CO, NO, C02, halide containing gasses.
`
`Claim 43 (Currently amended): A methea ef a~J3esitiag a film ea a sl:lhst:Fate,
`
`eemJ3risiag:
`
`J3F0Yiaiag a J:JF06eSS gas aetweeH a taFget ana a sl:lhstf'ate;
`
`pFeviaiag palsea DC pe·.veF te the taFget thi=eagh a aar-Faw bane Fejeetiea filteF;
`
`fJF0Viaiag a magaetie fiela te the taFget; ana
`
`·.vheFeia a material is aepesitea ea the sl:lhst:Fate, The method of claims 61 or 85
`
`wherein the target is a ceramic target.
`
`Claim 45 (Currently amended): The method of claims 43, 59, 00, fil_or 85, wherein the
`
`magnetic field is provided by a moving magnetron.
`
`Claim 46 (Currently amended) The method of claims 43, 59, 00, fil_or 85, further
`
`including holding the temperature of the substrate substantially constant.
`
`Claim 47 (Currently amended): The method of claims 43, 59, 00, §1or85, wherein the
`
`process gas includes a mixture of Oxygen and Argon.
`
`Claim 48 (Currently amended): The method of claims 43,