`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Oflice
`Address: COMMISSIONER FOR PATENTS
`P.O. Box I450 _
`_
`Alexandria, Virginia 22313-1450
`www.usplo.gov
`
`APPLICATION NO.
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`IO/065,277
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`FILING DATE
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`09/30/2002
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`FIRST NAMED TNVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`Roman Chistyakov
`
`ZON—00I
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`5690
`
`RAUSCHENBACH PATENT LAW GROUP, LLC
`P.O. BOX 387
`
`MCDONALD, RODNEY GLENN
`
`BEDFORD, MA 01730
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`I753
`
`DATE MAILED: 08/30/2004
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO—90C (Rev. 10/03)
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`TSMC-1208
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`TSMC v. Zond, Inc.
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`Page 1 of 14
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`TSMC-1208
`TSMC v. Zond, Inc.
`Page 1 of 14
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`Office Action Summary
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`Application No.
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`Applicant(s)
` 10/065,277
`CHISTYAKOV, ROMAN
`
`Examine,
`Art Unit
`Rodney G. McDonald
`1753 -
`
`-- 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 Q MONTH(S) FROM
`THE MAILING DATE OF THIS COMMUNICATION.
`- Extensions of time may be available under the provisions of 37 CFR 1.136(a).
`afler SIX (6) MONTHS from the mailing date of this communication.
`If the period for reply specified above is less than thirty (30) days, a reply within the statutory minimum of thirty (30) days will be considered timely.
`-
`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).
`
`In no event, however, may a reply be timely filed
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`Status
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`1)lXI Responsive to communication(s) filed on 14 June 2004.
`2a)[:| This action is FINAL.
`2b)® This action is non-final.
`3)I:I 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 O.G. 213.
`
`Disposition of Claims
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`4)|X| Claim(s) 1_-59 is/are pending in the application.
`
`4a) Of the above c|aim(s) __ is/are withdrawn from consideration.
`5)l:l Claim(s) __ is/are allowed.
`6)IZ Claim(s) 1;5_0 is/are rejected.
`7)|:I Claim(s) __ is/are objected to.
`8)I:] Claim(s) __ are subject to restriction and/or election requirement.
`
`Application Papers
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`9)I:I The specification is objected to by the Examiner.
`10)lj The drawing(s) filed on __ is/are: a)I:I accepted or b)I:I 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)I:I The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PTO-152.
`
`Priority under 35 U.S.C. § 119
`
`12)I:I Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)—(d) or (f).
`a)I:| All
`b)l:I Some * c)I:] None of:
`1.I:] Certified copies of the priority documents have been received.
`.
`E 2.I:l* Certified copies of the priority documents have been received in Application No."
`3.|j 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.
`
`~ E
`
`Attachment(s)
`
`1) El Notice of References Cited (PTO-892)
`2) E] Notice of Draftsperson’s Patent Drawing Review (PTO-948)
`3) IZI Information Disclosure St tement(s) (PTO-1449 or PTO/SB/I08)
`Paper No(s)/Mail Date 7&9/oq
`U.S. Patent and Trademark Office
`
`4) [:1 Interview Summary (PTO-413)
`Paper No(s)/Mail Date. _.
`5) CI Notice of Informal Patent Application (PTO-152)
`5) [j orhar;
`.
`
`PTOL-326 (Rev. 1-04)
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`Office Action Summary
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`Part of Paper No./Mail Date 20040826
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`TSMC-1208 I Page 2 of 14
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`TSMC-1208 / Page 2 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 2
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`DETAILED ACTION
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`Claim Rejections - 35 USC § 102
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`The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that
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`form the basis for the rejections under this section made in this Office action:
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`A person shall be entitled to a patent unless —
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`(b) the invention was patented or described in a printed publication in this or a foreign country or in public
`use or on sale in this country, more than one year prior to the date of application for patent in the United
`States.
`
`Claims 1, 5-10, 13, 14, 16, 19, 20, 22-31, 34, 37, 38 and 40-50 are rejected
`
`under 35 U.S.C. 102(b) as being anticipated by Kouznetsov (W0 98/40532).
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`Kouznetsov teach in Fig. 2 a magnetron sputtering device. The sputtering
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`device has a sputtering chamber 1 and a target 9. The substrate 13 is attached to
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`some electrically isolating support 15 at the end of a wall. (Page 8 lines 29-37;
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`Column 9 lines 1-6) A magnet or magnets 17 are mounted so that the north pole or
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`poles are arranged at the periphery of the target and the south pole or poles at the
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`center of the target 9. One electrode, the anode, is formed by the electrically
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`conducting walls 5 of the housing 3, which e.g. can be grounded. The other
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`electrode, the cathode, is formed by the target 9, which is thus negatively biased in
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`relation to the anode. The substrate 13 can have some neutral electric potential. A gas
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`inlet for a suitablegas to be ionized such as argon is indicated at 21.
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`(Page—9 lines 7-
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`5
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`3
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`20) It should be noted that the anode and cathode always have a gap in order to create
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`the plasma.
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`(Applies to Applicant’s claim 41)
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`When increasing the voltage form zero and on between the anode 5 and the
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`cathode 9, there will for some applied voltage appear an electric glow discharge. The
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`TSMC-1208 I Page 3 of 14
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`TSMC-1208 / Page 3 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 3
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`gas in the region between the anode and the cathode will be partly ionized by
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`electrons. The electrons will be somewhat trapped or confined by the magnetic field
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`primarily moving in the areas of low magnetic field intensity. (Page 9 lines 21-25)
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`lnherently ground state atoms exist because the gas is not ionized initially. Electrons
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`are needed to ionize in the partially ionized state and the fully ionized state discussed
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`below.
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`(Applies to Applicant’s claims 42, 43, 46 and 48)
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`An electric discharge occurs between the cathode and the anode producing
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`electrons trapped in the magnetic field by cooperation of the electric field produced by
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`the applied voltage. (Page 4 lines 27-31)
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`When increasing the voltage and current more, there will appear the state
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`comprising completely ionized plasma region 27, the region being stationary located
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`above the surface of the target 9 and having a larger extension laterally, in the direction
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`of the surface of the target 9 than the regions 23 of high electron and ion density used in
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`ordinary sputtering. This state is made possible by the arrangement of the electric
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`and magnetic fields crossing each other in the magnetron configuration.
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`Furthermore, in this state, owing to the considerable extension and the relative
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`homogeneity and uniformity of the ionized plasma in the region 27, ions will hit the
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`target surface more regularly and uniformly distributed over thesurface. This will g
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`result in a more homogeneous wear of the target surface, as illustrated by the area
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`delimited by the dashed line 29 in Fig. 5b. (Page 10 lines 13-23)
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`The power source is a pulse generator used primarily to produce coatings by
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`sputtering. The power of each pulse can be in the range of 0.1 KW to 1 MW. The
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`TSMC-1208 I Page 4 of 14
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`TSMC-1208 / Page 4 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 4
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`pulses can have a duration in the range of less than a hundred microseconds up
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`to hundreds of microseconds and the intervals between pulses can range from
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`milliseconds up to seconds. (Page 4 lines 14-23)
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`The voltage can be hundreds of volts up to several kilovolts. (Page 6 lines 24-
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`25) The rise time is calculated form the time and voltage discussed above. (Applies to
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`Applicant’s claims 44, 45, 49 and 50)
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`The electric circuit will be generate at the frequency of the main supply typically
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`with a frequency of 50 or 60 Hz. (Page 12 lines 14-15)
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`Alternating current is supplied from the power supply. (Page 6 lines 15-16)
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`Claims 1, 4, 5, 7, 13, 14, 16, 19-25, 27-29, 32, 33, 37 and 40 are rejected under
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`35 U.S.C. 102(b) as being anticipated by Mozgrin et al. “High Current Low-Pressure
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`Quasi—Stationary Discharge in a Magnetic Field: Experimental Research”, Plasma
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`Physics Reports, Vol. 21, No. 5, 1995, pp. 400-409.
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`Mozgrin et al. teach a sputtering system as seen in Figure 1 having a cathode
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`(1), an anode (2) and a magnetic system (3). (See Figure 1 pp. 401)
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`Figure 2 presents a simplified scheme of the discharge supply system. The
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`supply unit involved a pulsed discharge supply unit and a system for pre-ionization.
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`The quasi-stationary discharge supply unit consisted of along line of W= 5.5,kJ
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`maximal energy content, a switch and a matching unit. The pre-ionization system
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`provided direct current. (Page 401)
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`A gas of argon is pre-ionized at a pre-ionized plasma density of
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`TSMC-1208 I Page 5 of 14
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`TSMC-1208 / Page 5 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 5
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`107-109 cm'‘‘. The pre-ionization could be provided by RF discharge, anomalous glow
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`or magnetron discharge. (Page 401)
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`A pulsed discharge is utilized to deposit copper material in argon plasma
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`with a plasma density of 3*1o" cm'3. The pulse duration was 25 ms with a
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`repetition frequency of 10 Hz. (Page 403-404)
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`The current density for argon discharges can be 25 A/cm2. (Page 403)
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`Claim Rejections - 35 USC § 103
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`The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all
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`obviousness rejections set forth in this Office action:
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`(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.
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`This application currently names joint inventors.
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`in considering patentability of
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`the claims under 35 U.S.C. 103(a), the examiner presumes that the subject matter of
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`the various claims was commonly owned at the time any inventions covered therein
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`were made absent any evidence to the contrary. Applicant is advised of the obligation
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`under 37 CFR 1.56 to point out the inventor and invention dates of each claim that was
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`not commonly owned at the time a later invention was made in order for the examiner to
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`consider the applicability of 35 U.S.C. 103(c) and potential 35 U.S.C. 1o2(e), (f) or (g)” 3
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`prior art under 35 U.S.C. 103(a).
`
`Claims 1-3 are rejected under 35 U.S.C. 103(a) as being unpatentable over
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`Kouznetsov (WO 98/40532).
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`Kouznetsov is discussed above and all is as applies above.
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`TSMC-1208 I Page 6 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 6
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`The differences between Kouznetsov and the present claims are that the
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`constant power is not discussed and the constant voltage is not discussed.
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`As to the constant power and the constant voltage Kouznetsov power supply
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`provides this feature when operating in the crossed E and B field region since the power
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`and voltage must be constant during this time period to produce a state of full ionization.
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`(See Figure 1)
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`The motivation for operating at constant power and constant voltage is that it
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`allows production of full ionization during sputtering operation. (See Abstract; Figure 1)
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`Therefore, it would have been obvious to one of ordinary skill in the art at the
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`time the invention was made to have utilized constant power and voltage as taught by
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`Kouznetsov because it allows for producing a state of full ionization.
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`Claims 1-3, 17, 20 and 39 are rejected under 35 U.S.C. 103(a) as being
`
`unpatentable over Mozgrin et al. “High Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research”, Plasma Physics Reports, Vol.
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`21, No. 5, 1995, pp. 400-409.
`
`Mozgrin et al. is discussed above and all is as applies above.
`
`The differences between Mozgrin et al. and the present claims is that the
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`constant power is not discussed, the constant voltage is not discussed and the
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`ionization source being a UV source, an X-ray source, an electron beam source and an
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`ion beam source is not discussed.
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`As to the constant power and the constant voltage Mozgrin et al. teach pulsing in
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`square wave form which produces a constant power and constant voltage at the height
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`TSMC-1208 I Page 7 of 14
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`TSMC-1208 / Page 7 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 7
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`of the square wave form in order to produce a plasma density higher than the pre-
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`ionization plasma density. (See page 401, 404)
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`As to the ionization source for generating the weakly-ionized plasma the RF
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`discharge, anomalous glow or magnetron discharge, etc. is believed to be a source of
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`ions and can be interpreted as a beam of ions. (See page 401)
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`The motivation for utilizing a constant power and constant voltage is that it allows
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`for production of a higher density of plasma than during the pre—ionization. (See page
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`401,404)
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`The motivation for utilizing a separate ionization source is that it allows for the
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`necessary pre-ionization before producing the higher density plasma. (See page 401)
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`Therefore, it would have been obvious to one of ordinary skill in the art at the
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`time the invention was made to have modified Mozgrin et al. by utilizing a constant
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`power, constant voltage and an ionization source because it allows for production of a
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`low density plasma before the production of a higher density plasma.
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`Claims 1, 10-12, 15, 20 and 34-36 are rejected under 35 U.S.C. 103(a) as being
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`unpatentable over Kouznetsov (WO 98/40532) in view of Chiang et al. (U.S. Pat.
`
`6,398,929).
`
`Kouznetsov is discussed above and all is as applies above. (See Kouznetsov, gs
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`discussed above)
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`The differences between Kouznetsov and the present claims is that the
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`temperature control of the substrate is not discussed, biasing the substrate is not
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`discussed and applying DC power to the target is not discussed.
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`TSMC-1208 I Page 8 of 14
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`TSMC-1208 / Page 8 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 8
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`Chiang et al. teach a cool plasma ignition and processing sequence is illustrated
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`in the flow diagram of FIG. 12. After the wafer has been inserted through the load lock
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`valve into the sputter reactor, the load lock valve is closed, and in step 190 gas
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`pressures are equilibrated. The argon chamber pressure is raised to that used for
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`ignition, typically between 2 and about 5 to 10 milliTorr, and the argon backside
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`cooling gas is supplied to the back of the wafer at a backside pressure of about 5
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`to 10 Torr. In step 192, the argon is ignited with a low level of target power, typically
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`in the range of 1 to 5 kW. After the plasma has been detected to ignite, in step 194, the
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`chamber pressure is quickly ramped down, for example over 3s, with the target power
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`held at the low level. If sustained self-sputtering is planned, the chamber argon supply is
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`turned off, but the plasma continues in the SSS mode. For self-ionized plasma
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`sputtering, the argon supply is reduced. The backside cooling gas continues to be
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`supplied. Once the argon pressure has been reduced, in step 196, the target power is
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`quickly ramped up to the intended sputtering level, for example, 10 to 24 kW or
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`greater for a 200 mm wafer, chosen for the SIP or SSS sputtering. It is possible to
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`combine the steps 194, 196 by concurrently reducing pressure and ramping up the
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`power. In step 198, the target continues to be powered at the chosen level for a length
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`of time necessary to sputter deposit the chosen thickness of material. This ignition
`seguence is cooler than using the intended sputtering power level for ignition. The
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`higher argon pressure facilitates ignition but would deleteriously affect the sputtered
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`neutrals if continued at the higher power levels desired for sputter deposition. At the
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`lower ignition power, very little copper is deposited due to the low deposition rate at the
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`TSMC-1208 I Page 9 of 14
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`TSMC-1208 / Page 9 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 9
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`reduced power. Also, the pedestal cooling keep the wafer chilled through the
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`ignition process. (Column 16 lines 9-42)
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`The entire system can be controlled by a computer based controller.
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`(Column 17 lines 39-45)
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`Some designs utilize a controllable power supply 112 to apply a DC or RF bias
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`to the wafer holder. (Column 1 lines 45-46)
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`A DC power supply biases the target during sputtering. (Column 1 1 lines
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`37-40)
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`The motivation for controlling the temperature is that it allows for keeping the
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`substrate cool during ignition. (Column 16 lines 41-42)
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`The motivation for applying a bias to the substrate holder is that it allows control
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`of the DC bias that develops on the substrate.
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`(Column 11 lines 45-48)
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`The motivation for utilizing a DC power source on the target is that it allows for
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`ignition and maintenance of the plasma. (Column 11 lines 37-40)
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`Therefore, it would have been obvious to one of ordinary skill in the art at the
`
`time the invention was made to havemodified Kouznetsov by utilizing a temperature
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`control, a bias to the substrate and dc power to the target as taught by Chiang et al.
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`because it allows for keeping the substrate cool during ignition, controlling the DC bias
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`that develops on the substrate and igniting and maintaining the plasma.
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`Claims 1 and 18 are rejected under 35 U.S.C. 103(a) as being unpatentable over
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`Kouznetsov (WO 98/40532) in view of Kadlec et al. (WO 95/04368).
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`TSMC-1208 I Page 10 of 14
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`TSMC-1208 / Page 10 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 10
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`Kouznetsov is discussed above and all is as applies above. (See Kouznetsov
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`discussed above)
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`The difference between Kouznetsov and the present claims is that the use of an
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`electromagnet is not discussed.
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`Kadlec et al. teach igniting a discharge at a first power and then increasing the
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`power. (Page 8 lines 16-35; Page 9 lines 1-14)
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`Kadlec further suggests the use of electromagnets for sputtering. (Page 14
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`|ines13-31)
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`The motivation for utilizing an electromagnet is that it allows control of the
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`magnetic field such as controlling the magnetic field to disbalanced. (Page 14 lines 13-
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`31)
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`Therefore, it would have been obvious to one of ordinary skill in the art at the
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`time the invention was made to have modified Kouznetsov by utilizing an electromagnet
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`as taught by Kadlec et al. because it allows for controlling the magnetic field.
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`Double Patenting
`
`The nonstatutory double patenting rejection is based on a judicially created
`doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the
`unjustified or improper timewise extension of the "right to exclude" granted by a patent
`and to prevent possible harassment by multiple assignees. See In re Goodman, 11
`F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225
`" USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQF761 (CCPA'
`1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970);and, In re Thorington,
`418 F.2d 528, 163 USPQ 644 (CCPA 1969).
`A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) may be
`used to overcome an actual or provisional rejection based on a nonstatutory double
`patenting ground provided the conflicting application or patent is shown to be commonly
`owned with this application. See 37 CFR 1.130(b).
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`TSMC-1208 I Page 11 of 14
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`TSMC-1208 / Page 11 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 11
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`Effective January 1, 1994, a registered attorney or agent of record may sign a
`terminal disclaimer. A terminal disclaimer signed by the assignee must fully comply with
`37 CFR 3.73(b).
`
`Claims 1-50 are provisionally rejected under the judicially created doctrine of
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`obviousness-type double patenting as being unpatentable over claims of copending
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`Application No. 10/065,739 in view of Kouznetsov (WO 98/40532).
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`This is a provisional obviousness-type double patenting rejection.
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`Application No. 10/065,739 teach a cathode assembly, an ionization source and
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`a power supply that generates a voltage pulse that produces a strongly ionized plasma
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`from a weakly ionized plasma. (See claims of Copending Application No. 10/065,739)
`
`The differences between Application No. 10/065,739 and the present claims is
`
`that the anode is not discussed and the magnet is not discussed.
`
`Kouznetsov is discussed above and all is applies above. Kouznetsov teach the
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`anode and the magnet. (See Kouznetsov discussed above)
`
`The motivation for utilizing an anode and magnet is that it allows for developing a
`
`highly ionized plasma. (See Kouznetsov discussed above)
`
`Therefore, it would have been obvious to one of ordinary skill in the art at the
`
`time the invention was made to have modified Application No. 10/065,739 by utilizing an
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`anode and magnets as taught by Kouznetsov because it allows for developing a highly
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`ionized plasma.
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`Response to Arguments
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`Applicant's arguments filed 6-14-04 have been fully considered but they are not
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`persuasive.
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`TSMC-1208 I Page 12 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 12
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`In response to the argument that neither Kouznetsov or Mozgrin teach a multi-
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`step ionization process whereby atoms are excited from a ground state to a weakly
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`ionized plasma then to a highly ionized plasma, it is argued that Kouznetsov’s initial
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`admission of gas would have ground state atoms although not specifically mentioned.
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`The initial gas is not ionized until a time later where it passes through a weakly ionized
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`state to a highly ionized state. During the weakly ionized state some atoms of the gas
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`would be ionized but some would not. Those that do not would still be some ground
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`state atoms. Progressing to the highly ionized state substantially all the atoms would be
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`ionized. Electrons cause the ionization.
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`ln Mozgrin the initial gas would have atoms at
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`ground state. The atoms are pre-ionized. The pre-ionized state would have some
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`atoms in the round state. The fully ionized state would be during the pulse discharge.
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`(See Kouznetsov and Mozgrin discussed above)
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`The action will be made NON-Final based on the new obviousness type double
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`patenting rejection given above.
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`TSMC-1208 I Page 13 of 14
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`TSMC-1208 / Page 13 of 14
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`Application/Control Number: 10/065,277
`Art Unit: 1753
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`Page 13
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`Any inquiry concerning this communication or earlier communications from the
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`examiner should be directed to Rodney G. McDonald whose telephone number is 571-
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`272-1340. The examiner can normally be reached on M- Th with Every other Friday off.
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`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
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`supervisor, Nam X. Nguyen can be reached on 571-272-1342. The fax phone number
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`for the organization where this application or proceeding is assigned is (703) 872-9306.
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`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 703-308-
`
`0661.
`
`RM
`
`August 26, 2004
`
` /
`
`Rodney G. McDonald
`Primary Examiner
`Art Unit 1753
`
`TSMC-1208 I Page 14 of 14
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`TSMC-1208 / Page 14 of 14