Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 1 of 360
`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 1 of 360
`
`EXHIBIT 8
`EXHIBIT 8
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 2 of 360
`-,
`
`0
`f-C\J -
`CL
`-
`.CO=
`Cl)~-~
`·.q- ==o
`:::>LO - r -
`8
`PATENT C\J~
`Customer Number 22,852 ~ ~ r-
`Attomey Docket No. 09140-0016-01000
`,...
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Prior Application Art Unit: 2823
`
`Prior Application Examiner: Michelle ESTRADA
`
`SIR: This is a request for filing a
`~Continuation· D Continuation-in-Part D Divisional Application under 37 C.F.R. § l.53(b)
`of pending prior Application No. 10/101,863 filed March 16, 2002 of ZHANG et al. for BIASED
`PULSE DC REACTIVE SPUTTERING OF OXIDE FILMS
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Enclosed is a complete copy of the prior application including the oath or
`Declaration and drawings, if any, as originally filed. I hereby verify that the
`attached papers are a true copy of prior Application No. 10/101,863 as originally
`filed on March 16, 2002, which is incorporated herein by reference.
`
`Enclosed is a substitute specification under 3 7 C.F .R. § 1.125. The undersigned
`hereby verifies that no new matter is added in this substitute specification.
`
`Enclosed is a Request for Non-Publication of Application and Certification Under
`35 U.S.C. § 122(b)(2)(B)(i).
`
`D
`
`D
`
`A Preliminary Amendment is enclosed.
`
`The filing fee is calculated on the basis of the claims existing in the prior
`application as amended in the Preliminary Amendment filed herewith.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 3 of 360
`Gase 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 3 of 360
`
`Page 2 of 3
`
`vOLOwwiiOld’SNIcoh
`
`‘| Basic Application Filing Fee
`
`$790
`
`$
`
`790.00
`.
`
`Numberof
`Claims
`
`Basic
`
`Extra
`Claims
`
`
`
`
`
`
`
`
`ieenenr mine|TY
`|_| Presentation of Multiple Dep. Claim(s)
`+$290
`
`
`
`Subtotal
`
`Reduction by 1/2 if smallentity
`
`TOTAL APPLICATIONFILING FEE
`
`1240
`
`PR
`
`$
`
`1240
`
`6.
`
`7.
`
`8.
`
`9
`
`(X]_
`
`X]
`
`C]
`
`Xx]
`
` Acheckin the amountof $1280 to coverthe filing fee of $1240 and Assignment
`recordation fee of $40 is enclosed.
`
`The Commissioneris hereby authorized to charge any additional fees which may
`be required including fees due under 37 C.F.R. § 1.16 and any other fees due
`under 37 C.F.R. § 1.17, or credit any overpayment during the pendencyof this
`application to Deposit Account No. 06-0916.
`-
`
`New acceptable drawingsare enclosed.
`
`The prior application is assigned of record to: Symmorphix,Inc.
`
`
`
`10. (J_Priority of Application No. [Text], filed on [Text] in [Country] is claimed under
`35 U.S.C. § 119. A certified copy
`
`11.
`
`L]
`
`(_] is on file in the prior application.
`[_] is enclosed or
`Small entity status is appropriate and applies to this application.
`
`2 & The powerofattorney in the prior application is to FINNEGAN, HENDERSON,
`FARABOW, GARRETT & DUNNER,L.L.P., Customer No. 22,852
`
`13.
`
`C]
`
`The powerappearsin the original declaration of the prior application.
`
`4. Since the powerdoesnot appear in the original declaration, a copy ofthe power in
`the prior application is enclosed.
`
`6. Please address all correspondence toFFNNEGAN, HENDERSON, FARABOW,
`GARRETT and DUNNER,L.L.P., Customer Number22,852.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 4 of 360
`
`Page 3 of3
`
`16.
`
`Also enclosed is Information Disclosure Statement under 37 CFR l.97(b) together ·
`with Form PTO 1449.
`
`PETITION FOR EXTENSION. If any extension of time is necessary for the filing of this
`application, including any extension in parent Application No. 10/101,863, filed March 16, 2002,
`for the purpose of maintaining copendency between the parent application and this application,
`and such extension has not otherwise been requested, such an extension is hereby requested, and
`the Commissioner is authorized to charge necessary fees for such an extension to our Deposit
`Account No. 06-0916. A duplicate copy of this paper is enclosed for use in charging the deposit
`account.
`
`Dated: September 30, 2004
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, L.L.P.
`
`By:44~
`
`aryf. E~s
`Reg. No. 41,008
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 5 of 360
`-,
`
`0
`f-C\J -
`CL
`-
`.CO=
`Cl)~-~
`·.q- ==o
`:::>LO - r -
`8
`PATENT C\J~
`Customer Number 22,852 ~ ~ r-
`Attomey Docket No. 09140-0016-01000
`,...
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Prior Application Art Unit: 2823
`
`Prior Application Examiner: Michelle ESTRADA
`
`SIR: This is a request for filing a
`~Continuation· D Continuation-in-Part D Divisional Application under 37 C.F.R. § l.53(b)
`of pending prior Application No. 10/101,863 filed March 16, 2002 of ZHANG et al. for BIASED
`PULSE DC REACTIVE SPUTTERING OF OXIDE FILMS
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Enclosed is a complete copy of the prior application including the oath or
`Declaration and drawings, if any, as originally filed. I hereby verify that the
`attached papers are a true copy of prior Application No. 10/101,863 as originally
`filed on March 16, 2002, which is incorporated herein by reference.
`
`Enclosed is a substitute specification under 3 7 C.F .R. § 1.125. The undersigned
`hereby verifies that no new matter is added in this substitute specification.
`
`Enclosed is a Request for Non-Publication of Application and Certification Under
`35 U.S.C. § 122(b)(2)(B)(i).
`
`D
`
`D
`
`A Preliminary Amendment is enclosed.
`
`The filing fee is calculated on the basis of the claims existing in the prior
`application as amended in the Preliminary Amendment filed herewith.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 6 of 360
`Gase 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 6 of 360
`
`Page 2 of 3
`
`vOLOwwiiOld’SNIcoh
`
`‘| Basic Application Filing Fee
`
`$790
`
`$
`
`790.00
`.
`
`Numberof
`Claims
`
`Basic
`
`Extra
`Claims
`
`
`
`
`
`
`
`
`ieenenr mine|TY
`|_| Presentation of Multiple Dep. Claim(s)
`+$290
`
`
`
`Subtotal
`
`Reduction by 1/2 if smallentity
`
`TOTAL APPLICATIONFILING FEE
`
`1240
`
`PR
`
`$
`
`1240
`
`6.
`
`7.
`
`8.
`
`9
`
`(X]_
`
`X]
`
`C]
`
`Xx]
`
` Acheckin the amountof $1280 to coverthe filing fee of $1240 and Assignment
`recordation fee of $40 is enclosed.
`
`The Commissioneris hereby authorized to charge any additional fees which may
`be required including fees due under 37 C.F.R. § 1.16 and any other fees due
`under 37 C.F.R. § 1.17, or credit any overpayment during the pendencyof this
`application to Deposit Account No. 06-0916.
`-
`
`New acceptable drawingsare enclosed.
`
`The prior application is assigned of record to: Symmorphix,Inc.
`
`
`
`10. (J_Priority of Application No. [Text], filed on [Text] in [Country] is claimed under
`35 U.S.C. § 119. A certified copy
`
`11.
`
`L]
`
`(_] is on file in the prior application.
`[_] is enclosed or
`Small entity status is appropriate and applies to this application.
`
`2 & The powerofattorney in the prior application is to FINNEGAN, HENDERSON,
`FARABOW, GARRETT & DUNNER,L.L.P., Customer No. 22,852
`
`13.
`
`C]
`
`The powerappearsin the original declaration of the prior application.
`
`4. Since the powerdoesnot appear in the original declaration, a copy ofthe power in
`the prior application is enclosed.
`
`6. Please address all correspondence toFFNNEGAN, HENDERSON, FARABOW,
`GARRETT and DUNNER,L.L.P., Customer Number22,852.
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 7 of 360
`
`Page 3 of3
`
`16.
`
`Also enclosed is Information Disclosure Statement under 37 CFR l.97(b) together ·
`with Form PTO 1449.
`
`PETITION FOR EXTENSION. If any extension of time is necessary for the filing of this
`application, including any extension in parent Application No. 10/101,863, filed March 16, 2002,
`for the purpose of maintaining copendency between the parent application and this application,
`and such extension has not otherwise been requested, such an extension is hereby requested, and
`the Commissioner is authorized to charge necessary fees for such an extension to our Deposit
`Account No. 06-0916. A duplicate copy of this paper is enclosed for use in charging the deposit
`account.
`
`Dated: September 30, 2004
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, L.L.P.
`
`By:44~
`
`aryf. E~s
`Reg. No. 41,008
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 8 of 360
`= Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 8 of 360
`
`M-12245 US
`852923 vl
`
`Express Mail Label No.
`EL 941069152 US
`
`Biased Pulse DC Reactive Sputtering of Oxide Films
`
`Hongmei Zhang
`Mukundan Narasimhan
`Ravi Mullapudi
`Richard E. Demaray
`
`Background
`
`1. Field of the Invention
`
`[0001] The present invention relates to deposition of oxide and oxynitride films and, in
`
`particular, to deposition of oxide and oxynitride films by pulsed DCreactive sputtering.
`
`2. Discussion of Related Art
`
`[0002]
`
`Deposition of insulating materials and especially optical materials is
`
`technologically important in several areas including production of optical devices and production
`of semiconductor devices.
`In semiconductor devices, doped aluminasilicates can be utilized as
`
`high dielectric insulators.
`
`[0003] The increasingprevalenceoffiber optic communications systems has created an
`
`unprecedented demand for devices for processing optical signals. Planar devices such as optical
`waveguides, couplers, splitters, and amplifiers, fabricated on planar substrates, like those
`
`commonly used for integrated circuits, and configured to receive and processsignals from
`
`optical fibers are highly desirable. Such devices hold promise for integrated optical and
`
`electronic signal processing on a single semiconductor-like substance.
`
`[0004] The basic design of planar optical waveguides and amplifiers is well known,as
`
`described, for example, in U. S. Patent Nos. 5,119,460 and 5,563,979 to Bruceet al., 5,613,995
`to Bhandarkar et al., 5,900,057 to Buchalet al., and 5,107,538 to Bentonet al., to cite only a few.
`These devices, very generally, include a core region, typically bar shaped,ofa certain refractive
`
`In the case of an optical
`index surrounded bya cladding region of a lowerrefractive index.
`amplifier, the core region includesa certain concentration of a dopant, typically a rare earth ion
`
`-|-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 9 of 360
`
`M-12245 US
`852923 vi
`
`such as an erbium or praseodymium ion which, when pumped by a laser, fluoresces, for
`
`example, in the 1550 nm and 1300 nm wavelength ranges used for optical communication, to
`
`amplify the optical signal passing through the core.
`
`[0005] As described, for example in the patents by Bruce et al., Bhandarkar et al, and Buchal et
`
`al., planar optical devices may be fabricated by process sequences including forming a layer of
`
`cladding material on a substrate; forming a layer of core material on the layer of cladding mater;
`
`patterning the core layer using a photolighotgraphic mask and an etching process to form a core
`
`ridge; and covering the core ridge with an upper cladding layer.
`
`[0006] The performance of these planar optical devices depends sensitively on the value and
`
`uniformity of the refractive index of the core region and of the cladding region, and particularly
`
`on the difference in refractive index, L\n, between the regions. Particularly for passive devices
`
`such as waveguides, couplers, and splitters, L\n should be carefully controlled, for example to
`
`values within about 1 %, and the refractive index of both core and cladding need to be highly
`
`uniform, for some applications at the fewer than parts per thousand level. In the case of doped
`
`materials forming the core region of planar optical amplifiers, it is important that the dopant be
`
`uniformly distributed so as to avoid non-radiative quenching or radiative quenching, for example
`
`by upconversion. The refractive index and other desirable properties of the core and cladding
`
`regions, such as physical and chemical uniformity, low stress, and high density, depend, of
`
`course, on the choice of materials for the devices and on the processes by which they are
`
`fabricated.
`
`[0007} Because of their optical properties, silica and refractory oxides such as Ali03 , are good
`candidate materials for planar optical devices. Further, these oxides serve as suitable hosts for
`
`rare earth dopants used in optical amplifiers. A common material choice is so-called low
`
`temperature glasses, doped with alkali metals, boron, or phosphorous, which have the advantage
`
`of requiring lower processing temperatures. In addition, dopants are used to modify the
`
`refractive index. Methods such as flame hydrolysis, ion exchange for introducing alkali ions in
`
`glasses, sputtering, and various chemical vapor deposition processes (CVD) have been used to
`
`form films of doped glasses. However, dopants such as phosphorous and boron are hygroscopic,
`
`and alkalis are undesirable for integration with electronic devices. Control of uniformity of
`
`doping in CVD processes can be difficult and CVD deposited films can have structural defects
`
`-2-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 10 of 360
`
`M-12245 US
`852923 vi
`
`leading to scattering losses when used to guide light. In addition, doped low temperature glasses
`
`may require further processing after deposition. A method for eliminating bubbles in thin films
`
`of sodium-born-silicate glass by high temperature sintering is described, for example, in the '995
`
`patent to Bhandarkar et al.
`
`[0008] Typically, RF sputtering has been utilized for deposition of oxide dielectric films.
`
`However, RF sputtering utilizes ceramic targets which are typically formed of multiple smaller
`
`tiles. Since the tiles can not be made very large, there may be a large problem of arcing between
`
`tiles and therefore contamination of the deposited film due to this arcing. Further, the reactors
`
`required for RF sputtering tend to be rather complicated. In particular, the engineering of low
`
`capacitance efficient RF power distribution to the cathode is difficult in RF systems. Routing of
`
`low capacitance forward and return power into a vacuum vessel of the reaction chamber often
`
`exposes the power path in such a way that diffuse plasma discharge is allowed under some
`
`conditions of impedance tuning of the matching networks.
`
`[0009] Therefore, there is a need for new methods of depositing oxide and oxynitride films and
`
`for forming planar optical devices.
`
`Summary
`
`[0010] In accordance with the present invention, a sputtering reactor apparatus for depositing
`
`oxide and oxynitride films is presented. Further, methods for depositing oxide and oxynitride
`
`films for optical waveguide devices are also presented. A sputtering reactor according to the
`
`present invention includes a pulsed DC power supply coupled through a filter to a target and a
`
`substrate electrode coupled to an RF power supply. A substrate mounted on the substrate
`
`electrode is therefore supplied with a bias from the RF power supply.
`
`[0011] The target can be a metallic target made of a material to be deposited on the substrate. In
`
`some embodiments, the metallic target is formed from Al, Si and various rare-earth ions. A
`
`target with an erbium concentration, for example, can be utilized to deposit a film that can be
`
`formed into a waveguide optical amplifier.
`
`[0012] A substrate can be any material and, in some embodiments, is a silicon wafer. In some
`
`-3-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 11 of 360
`
`M-12245 US
`852923 vi
`
`embodiments, RF power can be supplied to the wafer. In some embodiments, the wafer and the
`
`electrode can be separated by an insulating glass.
`
`[0013] In some embodiments, up to about IO kW of pulsed DC power at a frequency ofbetween
`
`about 40 kHz and 350 kHz and a reverse pulse time of up to about 5 µsis supplied to the target.
`
`The wafer can be biased with up to about several hundred watts of RF power. The temperature
`
`of the substrate can be controlled to within about 10° C and can vary from about -50° C to
`
`several hundred degrees C. Process gasses can be fed into the reaction chamber of the reactor .
`apparatus. In some embodiments, the process gasses can include combinations of Ar, N 2, 0 2 ,
`C2F 6, C02, CO and other process gasses.
`
`[0014] Several material properties of the deposited layer can be modified by adjusting the
`
`composition of the target, the composition and flow rate of the process gasses, the power
`
`supplied to the target and the substrate, and the temperature of the substrate. For example, the
`
`index of refraction of the deposited layer depends on deposition parameters. Further, in some
`
`embodiments stress can be relieved on the substrate by depositing a thin film of material on a
`
`back side of the wafer. Films deposited according to the present invention can be utilized to
`
`form optical waveguide devices such as multiplexers and rare-earth doped amplifiers.
`
`[0015] These and other embodiments, along with examples of material layers deposited
`
`according to the present invention, are further described below with respect to the following
`
`figures.
`
`Brief Description of the Figures
`
`[0016] Figures IA and IB show a pulsed DC sputtering reactor according to the present
`
`invention.
`
`[0017] Figure 2 shows a planar view of target utilized in a reactor as shown in Figures IA and
`
`IB.
`
`[0018] Figure 3 shows a cross-section view of an example target utilized in a reactor as shown in
`
`Figures 1 A and I B.
`
`-4-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 12 of 360
`
`M-12245 US
`852923 vi
`
`[0019] Figure 4 shows a flow chart of an embodiment of a process for depositing a film on a
`
`substrate according to the present invention.
`
`[0020] Figure 5 shows a hysterises curve of target voltage versus oxygen flow rates for an
`
`example target in an embodiment of a reactor according to the present invention.
`
`[0021] Figure 6 shows a photo-luminescence and lifetimes of a film deposited in a process
`
`according to the present invention as a function of after deposition anneal temperature.
`
`[0022] Figure 7 shows the relationship between the index of refr3:ction of a film as a function of
`
`deposited oxide layers according to the present invention and due to oxide build-up on the target. ·
`
`[0023] Figure 8 shows a graph of the index of refraction of a film deposited according to the
`
`present invention as a function of the aluminum content in a composite Al/Si target.
`
`[0024] Figure 9 shows a graph of typical indices ofrefraction of material layers deposited
`
`according to the present invention.
`
`[0025) Figure 10 shows a table of indices ofrefraction for a silica layer deposited according to .
`
`the present invention as a function of different process parameters.
`
`[0026] Figure 11 shows the refractive indices as a .function of 02/ Ar ratio utilized in an Alumina
`
`process according to the present invention.
`
`[0027] Figure 12 shows the refractive indices as a function of DC pulsed power frequency for an
`
`Alumina layer deposited according to the present invention.
`
`[0028] Figure 13 shows variation in the refractive index over time during repeated depositions
`
`from a single target.
`
`[0029] Figure 14 shows variation in refractive index over time for repeated depositions from a
`
`target of another material layer according to the present invention.
`
`[0030] Figure 15 shows the variation refractive index over time for repeated depositions from a
`
`target of another material layer according to the present invention.
`
`[0031] Figure 16Athrough 16D shows a TEM film deposited according to the present invention.
`
`-5-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 13 of 360
`
`M-12245 US
`852923 vi
`
`[0032] Figure 17 shows the transparency of a film deposited according to the present invention.
`
`[0033] Figure 18 shows an uppercladding layer deposited according to the present invention
`
`over a multiple-waveguide structure such that the deposited layer is substantially planarized.
`
`[0034] Figure 19 illustrates the deposition of a film over a waveguide structure.
`
`[0035] Figures 20 and 21 illustrate different etch and deposition rates for deposition of films as a
`
`function of the surface angle of the film.
`
`[0036] Figure 22 illustrates calculation of the planarization time for a particular deposition
`
`process.
`
`[0037] Figures 23 through 25 through illustrate adjustment of process parameters in order to
`
`achieve planarization of a film deposited over a waveguide structure according to the present
`
`invention.
`
`[0038] Figure 26 shows the gain characteristics of an erbium doped waveguide amplifier formed
`
`of films depositions according to the present invention.
`
`[0039] Figures 27 shows gain, insertion loss of a waveguide with an active core deposited
`
`according to the present invention.
`
`[0040] Figure 28 shows up-conversion constants, and lifetimes of the active core layer of Figure
`
`27 deposited according to the present invention.
`
`[0041] Figure 29 shows drift in the index of refraction with subsequent depositions for films
`
`deposited from a target according to the present invention.
`
`[0042] Figure 30 shows drift in the photoluminescence with subsequent depositions according to
`
`the present invention.
`
`[0043] Figure 31 shows drift in the excited state lifetime with subsequent depositions according
`
`to the present invention.
`
`[0044] Figure 32 shows stabilization of the index of refraction in subsequent depositiOns.
`
`[0045] Figure 33 shows the index ofrefraction of a film formed from a pure silicon target as a
`-6-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 14 of 360
`
`M-12245 US
`852923 vi
`
`function of the ratio of 0 2/N2 in the process gas.
`
`[0046] In the figures, elements having the same designation have the same or similar function.
`
`Detailed Description
`
`[0047] Reactive DC magnetron sputtering of nitrides and carbides is a widely practiced .
`
`technique, but the reactive de magnetron sputtering of nonconducting oxides is done rarely ..
`
`Films such as aluminum oxide are almost impossible to deposit by conventional reactive DC
`
`magnetron sputtering due to rapid formation of insulating oxide layers on the target surface. The
`
`insulating surfaces charges up and result in arcing during process. This arcing can damage the
`
`power supply, produce particles and degrade the properties of deposited oxide films.
`
`[0048] RF sputtering of oxide films is discussed in Application Serial No. 09/903,050 (the '050
`
`application) by Demaray et al., entitled "Planar Optical Devices and Methods for Their
`
`Manufacture," assigned to the same assignee as is the present invention, herein incorporated by
`
`reference iri its entirety. Further, targets that can be utilized in a reactor according to the present
`
`invention are discussed in U.S. Application serial no. {Attorney Docket No. M-12247 US} (the
`
`'247 application), filed concurrently with the present disclosure, assigned to the same assignee as
`
`is the present invention, herein incorporated by reference in its entirety. A gain-flattened
`
`amplifier formed of films deposited according to the present invention are described in U.S.
`
`Application serial no. {Attorney Docket No. M-12652 US} (the '652 application), filed
`
`concurrently with the present disclosure, assigned to the same assignee as is the present
`
`invention, herein incorporated by reference in its entirety. Further, a mode size converter formed
`
`with films deposited according to the present inventfon is described in U.S. Application serial no.
`
`{Attorney Docket No. M-12138 US} (the '138 application), filed concurrently with the present
`
`disclosure, assigned to the same assignee as is the present invention, herein incorporated by
`
`reference in its entirety.
`
`[0049] Figure 1 A shows a schematic of a reactor apparatus I 0 for sputtering of material from a
`
`target 12 according to the present invention. In some embodiments, apparatus 10 may, for
`
`-7-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 15 of 360
`
`M-12245 US
`852923 vi
`
`example, be adapted from an AKT-1600 PVD ( 400 X 500 mm substrate size) system from
`
`Applied Komatsu or an AKT-4300 (600 X 720 mm substrate size) system from Applied
`
`Komatsu, Santa Clara, CA. The AKT-1600 reactor, for example, has three deposition chambers
`
`connected by a vacuum transport chamber. These Komatsu reactors can be modified such that
`
`pulsed DC power is supplied to the target and RF power is supplied to the substrate during
`
`deposition of a material film.
`
`[0050] Apparatus 10 includes a target 12 which is electrically coupled through a filter 15 to a
`
`pulsed DC power supply 14. In some embodiments, target 12 is a wide area sputter source.
`
`target, which provides material to be deposited on substrate 16. Substrate 16 is positioned
`
`parallel to and opposite target 12. Target 12 functions as a cathode when power is applied to it
`
`and is equivalently termed a cathode. Application of power to target 12 creates a plasma 53.
`
`Substrate 16 is capacitively coupled to an electrode 17 through an insulator 54. Electrode 17 can
`
`be coupled to an RF power supply 18. Magnet 20 is scanned across the top of target 12 ..
`
`[0051] For pulsed reactive de magnetron sputtering, as performed by apparatus I 0, the polarity
`
`of the power supplied to target 12 by power supply 14 oscillates between negative and positive
`
`potentials. During the positive period, the insulating layer on the surface of target 12 is
`
`discharged and arcing is prevented. To obtain arc free deposition, the pulsing frequency exceeds
`
`a critical frequency that depend on target material, cathode current and reverse time.· High
`
`quality oxide films can be made using reactive pulse DC magnetron sputtering in apparatus 10.
`
`[0052] Pulsed DC power supply 14 can be any pulsed DC power supply, for example an AE
`
`Pinnacle plus lOK by Advanced Energy, Inc. With this example supply, up to 10 kW of pulsed
`
`DC power can be supplied at a frequency of between 0 and 350 KHz. The reverse voltage is
`
`10% of the negative target voltage. Utilization of other power supplies will lead to different
`
`power characteristics, frequency characteristics and reverse voltage percentages. The reverse
`
`time on this embodiment of power supply 14 can be adjusted between 0 and 5 µs.
`
`[0053] Filter 15 prevents the bias power from power supply 18 from coupling into pulsed DC
`
`power supply 14. In some embodiments, power supply 18 is a 2 MHz RF power supply, for
`
`example can be a Nova-25 power supply made by ENI, Colorado Springs, Co.
`
`[0054] Therefore, filter 15 is a 2 MHz band rejection filter. In some embodiments, the band
`
`-8-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 16 of 360
`
`M-12245 US
`852923 vi
`
`width of the filter can be approximately 100 kHz. Filter 15, therefore, prevents the 2 MHz
`
`power from the bias to substrate 16 from damaging power supply 18,
`
`[0055] However, both RF and pulsed DC deposited films are not fully dense and most likely
`
`have columnar structures. These columnar structures are detrimental for optical wave guide
`
`applications due to the scattering loss caused by the structure. By applying a RF bias on wafer
`
`16 during deposition, the deposited film can be dandified by energetic ion bombardment and the
`
`columnar structure can be substantially eliminated.
`
`[0056] In the AKT-1600 based system, for example, target 12 can have an active size of about
`
`675.70 X 582.48 by 4 mm in order to deposit films on substrate 16 that have dimension about
`
`400 X 500 mm. The temperature of substrate 16 can be held at between -SOC and 500C. The
`
`distance between target 12 and substrate 16 can be between about 3 and about 9 cm. Process gas
`
`can be inserted into the chamber of apparatus 10 at a rate up to about 200 seem while the
`
`pressure in the chamber of apparatus 10 can be held at between about . 7 and 6 millitorr. Magnet
`
`20 provides a magnetic field of strength between about 400 and about 600 Gauss directed in the
`
`plane of target 12 and is moved across target 12 at a rate ofless than about 20-30 sec/scan. In
`
`some embodiments utilizing the AKT 1600 reactor, magnet 20 can be a race-track shaped
`
`magnet with dimension about 150 mm by 600 mm.
`
`[0057] A top down view of magnet 20 and wide area target 12 is shown in Figure 2. A film
`
`deposited on a substrate positioned on carrier sheet 17 directly opposed to region 52 of target 12
`
`has good thickness uniformity. Region 52 is the region shown in Figure 1 B that is exposed to a
`
`uniform plasma condition. In some implementations, carrier 1 7 can be coextensive with region
`
`52. Region 24 shown in Figure 2 indicates the area below which both physically and chemically
`
`uniform deposition can be achieved, where physical and chemical uniformity provide refractive
`
`index uniformity, for example. Figure 2 indicates that region 52 of target 12 that provides
`
`thickness uniformity is, in general, larger than region 24 of target 12 providing thickness and
`
`chemical uniformity. In optimized processes, however, regions 52 and 24 may be coextensive.
`
`[0058] In some embodiments, magnet 20 extends beyond area 52 in one direction, the Y
`
`direction in Figure 2, so that scanning is necessary in only one direction, the X direction, to
`
`provide a time averaged uniform magnetic field. As shown in Figures I A and I B, magnet 20
`
`can be scanned over the entire extent of target 12, which is larger than region 52 of uniform
`
`-9-
`
`

`

`Case 5:20-cv-09341-EJD Document 138-9 Filed 03/18/22 Page 17 of 360
`
`M-12245 US
`852923 vl
`
`sputter erosion. Magnet 20 is moved in a plane parallel to the plane of target 12.
`
`[0059] The combination ofa uniform target 12 with a target area 52 largerthan the area of
`
`substrate 16 can provide films of highly uniform thickness. Further, the material properties of
`
`the film deposited can be highly uniform. The conditions of sputtering at the target surface, such
`
`as the uniformity of erosion, the average temperature of the plasma at the target surface and the
`
`equilibration of the target surface with the gas phase ambient of the process are uniform over a
`
`region which is greater than or· equal to the region to be coated with a uniform film thickness. In
`
`addition, the region of uniform film thickness is greater than or equal to the region of the film
`
`which is to have highly uniform optical properties such as index of refraction, density,
`
`transmission or absorptivity.
`
`(0060) Target 12 can be formed of any materials, but is typically metallic materials such as, for
`
`example, combinations of Al and Si. Therefore, in some embodiments, target 12 includes a
`
`metallic target material formed from intermetalic compounds of optical elements such as Si, Al,
`
`Er and Yb. Additionally, target 12 can be formed, for example, from materials such as La, Yt,
`
`Ag, Au, and Eu. To form optically active films on substrate 16, target 12 can include rare-earth
`
`ions. In some embodiments of target 12 with rare earth ions, the rare earth ions can be pre(cid:173)
`
`alloyed with the metallic host components to form intermetalics. See the '247 application.
`
`[0061] In several embodiments of the invention, material tiles are formed. These tiles can be
`
`mounted on a backing plate to form a target for apparatus I 0. Figure 3A shows an embodiment
`
`of target 12 formed with individual tiles 30 mounted on a cooled backplate 25. In order to form
`
`a wide area target of an alloy target material, the consolidated material of individual tiles 30
`
`should first be uniform to the grain size of the powder from which it is formed. It also should be .
`
`formed into a structural material capable of forming and finishing to a tile shape having a surface
`
`roughness on the order of the powder size from which it is consolidated. A wide area sputter
`
`cathode target can be formed from a close packed array of smaller tiles. Target 12, therefore,
`
`may include any number of tiles 30, for example between 2 to 20 individual tiles 30. Tiles 30 are
`
`finished to a size so as to provide a margin of non-contact, tile to tile, 29 in Figure 3A, less than
`
`about 0.0 IO" to about 0.020" or less than half a millimeter so as to eliminate plasma processes
`
`between adjacent ones of tiles 30. The distance between tiles 30 of target 12 and the dark space
`
`anode or ground shield 19, in Figure 1 B can be somewhat larger so as to provide non