US007381657B2
`
`(12)
`
`United States Patent
`Zhang et al.
`
`(10) Patent No.:
`(45) Date of Patent:
`
`US 7,381,657 B2
`Jun. 3, 2008
`
`(54) BIASED PULSE DC REACTIVE
`SPUTTERING OF OXDE FILMS
`
`(75) Inventors: Hongmei Zhang, San Jose, CA (US);
`Mukundan Narasimhan, San Jose, CA
`(US); Ravi B. Mullapudi, San Jose,
`CA (US); Richard E. Demaray
`)
`Portola Valley, CA (US)
`s
`s
`(73) Assignee: Spring Works, LLC. Minnetonka, MN
`(US)
`Subject to any disclaimer, the term of this
`past its, adjusted under 35
`M
`YW-
`y U days.
`
`(*) Notice:
`
`(21) Appl. No.: 10/954, 182
`(22) Filed:
`Oct. 1, 2004
`
`(65)
`
`Prior Publication Data
`US 2005/0048802 A1
`Mar. 3, 2005
`
`Related U.S. Application Data
`(63) Continuation of application No. 10/101,863, filed on
`Mar. 16, 2002.
`(51) Int. Cl.
`(2006.01)
`HOIL 2/3
`2006.O1
`HOIL 2L/2469
`( So. 438/770: 438/771:
`(52) U.S. Cl
`2 Sii 091.257/E21 69; 257/E21 2: 257FE21.4 62.
`• - us
`• Y-1 s
`• 1s 257E23 33
`h
`(58) Field of Classification S
`4387 69
`O SSCO Sea
`................
`438/770, 771 787, 788: 257/E23.132. E21 091.
`s
`s
`s 257/E21,169 E21 2 E2 i 462
`S
`lication file f
`1 •
`s - s h hi s
`ee application file for complete search history.
`References Cited
`
`(56)
`
`U.S. PATENT DOCUMENTS
`
`3,309,302 A
`
`3, 1967 Heil
`
`
`
`3,616,403 A 10/1971 Collins et al. .............. 204,192
`3,850,604. A 1 1/1974 Klein ............................ 65.32
`4,082.569 A
`4, 1978 Evans, Jr.
`4,111,523 A
`9, 1978 Kaminow et al. ....... 350/96.14
`4,437,966 A
`3/1984 Hope et al. ................. 204/298
`4,587.225 A
`5/1986 Tsukuma et al.
`4,619.680 A 10, 1986 NourShargh et all
`OurShargh et al. .........
`RE32,449 E
`6/1987 Claussen
`4,710,940 A 12/1987 Sipes, Jr.
`
`65,312
`
`(Continued)
`FOREIGN PATENT DOCUMENTS
`37 38 738 C1
`1, 1989
`
`DE
`
`(Continued)
`OTHER PUBLICATIONS
`Li, Ning et al., “Enhancement of aluminum oxide physical vapor
`deposition with a secondary plasma, Nov. 28, 2001, Scien Direct,
`11 *
`pp. 1-11.
`
`(Continued)
`Primary Examiner Michelle Estrada
`(74) Attorney, Agent, or Firm—Finnegan, Henderson,
`Farabow, Garrett & Dunner, LLP
`(57)
`ABSTRACT
`
`A biased pulse DC reactor for sputtering of oxide films is
`presented. The biased pulse DC reactor couples pulsed DC
`at a particular frequency to the target through a filter which
`filters out the effects of a bias power applied to the substrate,
`protecting the pulsed DC power supply. Films deposited
`utilizing the reactor have controllable material properties
`Such as the index of refraction. Optical components such as
`waveguide amplifiers and multiplexers can be fabricated
`using processes performed on a reactor according to the
`present inention.
`
`21 Claims, 27 Drawing Sheets
`
`PDC POWER
`
`Page 1 of 47
`
`APPLIED MATERIALS EXHIBIT 1001
`
`

`

`US 7,381,657 B2
`Page 2
`
`U.S. PATENT DOCUMENTS
`
`4,785.459 A 11/1988 Baer
`4.915,810 A
`4, 1990 Kestigian et al. ...... 204/298.04
`4,978,437 A 12/1990 Wirz, .......................... 204,192
`5,085,904 A
`2f1992 Deak et al.
`5,107,538 A
`4, 1992 Benton et al.
`5,119,460 A
`6, 1992 Bruce et al.
`5,173,271. A 12/1992 Chen et al.
`5,174,876 A 12, 1992 Buchal et al. .............. 427,526
`5,196,041 A
`3, 1993 Tumminelli et al. ......... 65/30.1
`5,200,029 A
`4, 1993 Bruce et al. ......... ... 156,657
`5,206,925 A
`4, 1993 Nakazawa et al. .......... 38.5/142
`5,225,288 A
`7, 1993 Beeson et al. ....
`428/475.5
`5,237,439 A
`8, 1993 Misono et al. ................ 359,74
`5.252,194. A 10/1993 Demaray et al. ........... 204/298
`5,287.427 A
`2/1994 Atkins et al. ............... 385,124
`5,296,089 A
`3, 1994 Chen et al.
`5,303,319 A
`4, 1994 Ford et al. .................. 385/131
`5,306,569 A
`4, 1994 Hiraki
`5,309,302 A
`5, 1994 Vollmann
`5,338,625 A
`8, 1994 Bates et al.
`5,355,089 A
`10/1994 Treger
`5,381,262 A
`1/1995 Arima et al. ............... 359,341
`5,427,669 A
`6, 1995 Drummond .......
`... 204/298.2
`5,435,826 A
`7, 1995 Sakakibara et al.
`5,457,569 A 10/1995 Liou et al.
`5,472,795. A 12/1995 Atita
`5,475,528 A 12/1995 LaBorde ..................... 359,341
`5,478,456. A 12/1995 Humpal et al.
`5483,613 A
`1/1996 Bruce et al. ................ 385,129
`5.499,207 A
`3, 1996 Miki et al.
`5,512,147 A
`4, 1996 Bates et al.
`5,538,796 A
`7/1996 Schaffer
`5,555,127 A
`9, 1996 Abdelkader et al. ........ 359,341
`5,561,004 A 10, 1996 Bates et al.
`5,563,979 A 10/1996 Bruce et al.
`5,565,071 A 10/1996 Demaray et al. ........... 204,192
`5,569,520 A 10, 1996 Bates
`5,591.520 A
`1/1997 Migliorini et al.
`5,597,660 A
`1/1997 Bates et al.
`5,603,816 A
`2/1997 Demaray et al. ........... 204/298
`5,607,560 A
`3/1997 Hirabayashi et al. .. 204/192.15
`5,607,789 A
`3/1997 Treger et al.
`5,612,152 A
`3, 1997 Bates
`5,613,995 A
`3/1997 Bhandarkar et al. .......... 65.384
`5,645,626 A
`7, 1997 Edlund et al.
`5,654,054 A
`8/1997 Tropsha et al. ............ 428/36.6
`5,654,984 A
`8/1997 Hershbarger et al.
`5,686,360 A 1 1/1997 Harvey, III et al.
`5,689,522 A 11/1997 Beach
`5,693,956 A 12/1997 Shi et al. ...................... 257/40
`5,702,829 A 12/1997 Paidassi et al.
`5,718,813 A
`2, 1998 Drummond .............. 204,192.2
`5,719,976 A
`2/1998 Henry et al. .................. 385,50
`5,731,661 A
`3, 1998 So et al.
`5,738,731 A
`4, 1998 Shindo
`5,755,938 A
`5/1998 Fukui et al. ........... 204/298.23
`5,757,126 A
`5/1998 Harvey, III et al.
`5,762,768 A
`6/1998 Goyet al.
`5,771.562 A
`6/1998 Harvey, III et al.
`5,792,550 A
`8/1998 Phillips et al. .............. 428,336
`5,811,177 A
`9, 1998 Shi et al.
`5,830,330 A 11/1998 Lantsman .............. 204,192.12
`5,831,262 A 11/1998 Greywall et al.
`5,841,931 A 1 1/1998 Foresi et al. ................ 385/131
`5,847,865 A 12/1998 Gopinath et al. ........... 359,343
`5,849,163 A 12, 1998 Ichikawa et al. ...... 204,192.23
`5,853,830 A 12/1998 McCaulley et al.
`5,855,744 A
`1/1999 Halsey et al. ............... 204,192
`5,870,273 A
`2/1999 Sogabe et al.
`5,882,946 A
`3, 1999 Otani
`5,900,057 A
`5, 1999 Buchal et al.
`
`6/1999 Malhotra et al.
`5,909,346 A
`7/1999 Solberg et al.
`5,930,046 A
`7/1999 Sun et al.
`5,930,584 A
`8/1999 Sproul et al. .......... 204,192.13
`5,942,089 A
`9, 1999 Lantsman .............. 204,192.12
`5.948,215 A
`9, 1999 Haskal et al.
`5,952,778 A
`5,961,682. A 10, 1999 Lee et al. ..................... 65.384
`5,966,491. A 10/1999 DiGiovanni
`5,977.582. A 1 1/1999 Fleming et al. ............. 257,310
`6,000,603 A 12/1999 Koskenmaki et al.
`6,001,224. A 12, 1999 Drummond ............ 204,192.12
`6,004,660 A 12/1999 Topolski et al.
`6,024,844 A
`2/2000 Drummond et al. ... 204/192.12
`6,045,626 A
`4/2000 Yano et al.
`6,046,081 A
`4/2000 Kuo
`6,051,114 A
`4/2000 Yao et al. ................ 204/1923
`6,051.296 A
`4/2000 McCaulley et al.
`6,052,397 A
`4/2000 Jeon et al.
`6,057,557 A
`5/2000 Ichikawa ..................... 257/59
`6,058,233 A
`5/2000 Dragone
`6,071,323 A
`6/2000 Kawaguchi
`6,077,642 A
`6/2000 Ogata et al.
`6,080,643 A
`6/2000 Noguchi et al.
`6,088.492. A
`7/2000 Kaneko et al.
`6,093,944 A
`7/2000 VanDover ................... 257,310
`6,106,933 A
`8/2000 Nagai et al.
`6,117,279 A
`9, 2000 Smolanoff et al. ..... 204,192.12
`6,133,670 A 10/2000 Rodgers et al.
`6,146,225. A 11/2000 Sheats et al.
`6,154,582 A
`1 1/2000 Bazylenko et al.
`6,157,765 A 12/2000 Bruce et al.
`6, 162,709 A 12/2000 Raux et al. ................. 438,513
`6,165,566 A 12/2000 Tropsha
`6,168,884 B1
`1/2001 Neudecker et al.
`6,176,986 B1
`1/2001 Watanabe et al. ...... 204298.13
`6, 197,167 B1
`3/2001 Tanaka
`6, 198,217 B1
`3/2001 Suzuki et al.
`6,204,111 B1
`3/2001 Uemoto et al.
`6,210,544 B1
`4/2001 Sasaki
`6,214,660 Bl
`4/2001 Uemoto et al.
`6,232,242 B1
`5/2001 Hata et al.
`6,236,793 B1
`5/2001 Lawrence et al.
`6.242,129 B1
`6/2001 Johnson
`6,242,132 B1
`6/2001 Neudecker et al.
`6,248,291 B1
`6/2001 Nakagama et al. ........... 419,46
`6,248.640 B1
`6/2001 Nam
`6,261,917 B1
`7/2001 Quek et al.
`6,280,585 B1
`8/2001 Obinata et al. ........ 204298.19
`6,280,875 B1
`8, 2001 Kwak et al.
`6,281,142 B1
`8/2001 Basceri et al. .............. 438,771
`6,287,986 B1
`9/2001 Mihara ....................... 438.763
`6,288,835 B1
`9, 2001 Nilsson et al.
`6,290,821 B1
`9, 2001 McLeod
`6,290,822 B1
`9/2001 Fleming et al. ........ 204,192.22
`6,300,215 B1
`10/2001 Shin
`6,302,939 B1
`10/2001 Rabin et al.
`6,306,265 B1 10/2001 Fu et al.
`6,344,419 B1
`2/2002 Forster et al. .............. 438.758
`6.350,353 B2
`2/2002 Gopalraja et al. ....... 204/1923
`6,356,694 B1
`3/2002 Weber
`6,358,810 B1
`3/2002 Dornfest et al. ............ 438/396
`6,361,662 B1
`3/2002 Chiba et al. ............. 204/1922
`6,365,300 B1
`4/2002 Ota et al.
`6,365,319 B1
`4/2002 Heath et al.
`6,376,027 B1
`4/2002 Lee et al.
`6,391,166 B1
`5/2002 Wang
`6,409,965 B1
`6/2002 Nagata et al. ................ 419, 26
`6,413,382 B1
`7/2002 Wang et al. ........... 204,192.12
`6,413,645 B1
`7/2002 Graffet al.
`6,416,598 B1
`7/2002 Sircar
`6,423,776 B1
`7/2002 Akkapeddi et al.
`6,433,380 B2
`8/2002 Shin
`6,444,750 B1
`9/2002 Touhsaent
`
`
`
`Page 2 of 47
`
`

`

`US 7,381,657 B2
`Page 3
`
`6.452,717
`6,488,822
`6,506,289
`6,511,615
`6,533,907
`6,537,428
`6,563,998
`6,576,546
`6,602.338
`6,605,228
`6,615,614
`6,632.563
`6,673,716
`6,683,244
`6,683,749
`6,750,156
`6,760,520
`6,768,855
`6,818,356
`6,827,826
`6,846,765
`6,884,327
`7,262,131
`2001/00271.59
`2001/0031122
`2001.0034106
`2001/0041460
`2002fOOO1746
`2002fOO14406
`2002fOO33330
`2002/0076133
`2002/0106297
`20O2/O115252
`2002/0134671
`2002fO1401.03
`2002/0170821
`2002/019 1916
`2003, OO19326
`2003/0022487
`2003.0035906
`2003/0042131
`2003/0044118
`2003, OO63883
`2003/0077914
`2003/OO79838
`2003/OO97858
`2003/O1273.19
`2003/0134054
`2003/O141186
`2003.0143853
`2003/01732O7
`2003/0173208
`2003/O174391
`2003/0175142
`2003/0178637
`2003.0185266
`2004.0043557
`2004/OO77161
`2004/O105644
`2004/O2593.05
`2005/OOOO794
`2005/OOO6768
`2005/O175287
`2005, 0183946
`2006.0054496
`2006, OO57283
`2006/0057304
`2006, OO71592
`2006/0134522
`
`9, 2002
`B1
`12, 2002
`B1
`1, 2003
`B2
`1, 2003
`B1
`3, 2003
`B2
`3, 2003
`B1
`5/2003
`B1
`6, 2003
`B2
`8, 2003
`B2
`8, 2003
`B1
`9, 2003
`B1
`10, 2003
`B1
`1/2004
`*
`B1
`1, 2004
`B2
`1, 2004
`B2
`6, 2004
`B2
`T/2004
`B1
`T/2004
`B1
`11, 2004
`B1
`12, 2004
`B2
`1/2005
`B2
`4, 2005
`B2
`8, 2007
`B2
`10, 2001
`A1
`10, 2001
`A1
`* 10, 2001
`A1
`11, 2001
`A1
`1, 2002
`A1
`2, 2002
`A1
`3, 2002
`A1
`6, 2002
`A1
`8, 2002
`A1
`8, 2002
`A1
`9, 2002
`A1
`10, 2002
`A1
`11, 2002
`A1
`12, 2002
`A1
`1, 2003
`A1
`1, 2003
`A1
`2, 2003
`A1
`3, 2003
`A1
`3, 2003
`A1
`4, 2003
`A1
`*
`4, 2003
`A1
`5/2003
`A1
`5/2003
`A1
`T/2003
`A1
`T/2003
`A1
`T/2003
`A1
`T/2003
`A1
`9, 2003
`A1
`9, 2003
`A1
`9, 2003
`A1
`*
`9, 2003
`A1
`9, 2003
`A1
`10, 2003
`A1
`3, 2004
`A1
`*
`4, 2004
`A1
`6, 2004
`A1
`12, 2004
`A1
`1/2005
`A1
`1/2005
`A1
`8, 2005
`A1
`8, 2005
`A1
`3, 2006
`A1
`3, 2006
`A1
`3, 2006
`A1
`4, 2006
`A1
`6, 2006
`A1
`
`Endo
`Moslehi ................. 204,192.12
`Demaray et al.
`Dawes et al. .............. 264,121
`Demaray et al.
`Xiong et al. ........... 204,192.13
`Farah et al. ................ 385/131
`Gilbert et al.
`Chen et al. .............. 252/301.4
`Kawaguchi et al. .......... 216/24
`Makikawa et al. ........... 65/386
`Krasnov et al.
`D’Couto et al. ............ 438,656
`Fujimori et al.
`Daby et al.
`Le et al.
`Medin et al.
`Bakke et al.
`Bates
`Demaray et al.
`Imamura et al.
`Pan et al.
`Narasimhan et al.
`Kaneyoshi
`Lackritz et al.
`Moise et al. ................ 438/396
`Wiggins
`Jenson
`Takashima
`Demaray et al.
`Li et al.
`Ueno et al. ................... 419, 12
`Haukka et al.
`Demaray et al.
`Kloster et al.
`Sandlin et al.
`Frish et al.
`Han et al. ..................... 45.245
`Yoon et al. ................. 438,642
`Memarian et al.
`Johnson ................. 204,192.12
`Zhou et al.
`Demaray et al. ........... 385,129
`Le et al. ..................... 438.763
`Breka .................... 156,345.48
`Strohhofer et al.
`Demaray et al.
`Demaray et al.
`Wang et al. ........... 204/298.07
`Celii et al.
`Zhang et al.
`Pan et al.
`Pan et al.
`Milonopoulou et al. ...... 419,49
`Chen et al.
`Henrichs
`Haukka et al.
`Chen et al. ................. 438,622
`Dawes
`Demaray et al.
`Demaray et al.
`Narasimhan et al.
`Pan et al.
`Pan et al.
`Zhang et al.
`Zhang et al.
`Zhang et al.
`Narasimhan et al.
`Zhang et al.
`
`2007/0053139 A1
`
`3/2007 Zhang et al.
`
`FOREIGN PATENT DOCUMENTS
`
`O 510 883 A2 10, 1992
`EP
`O 652 308 A2 10, 1994
`EP
`O 639 655 A1
`2, 1995
`EP
`O 820 088
`1, 1998
`EP
`O 867 985 A1
`9, 1998
`EP
`1068899 A1
`1, 2001
`EP
`1 O92 689 A1
`4/2001
`EP
`1 189 080 A2
`3, 2002
`EP
`2-054764 A2
`2, 1990
`JP
`5-230642 A
`9, 1993
`JP
`6-010127
`1, 1994
`JP
`6-10O333
`12/1994
`JP
`T-224379 A
`8, 1995
`JP
`T-233469
`9, 1995
`JP
`2002-261.87
`4/2002
`KR
`WO 96/23085
`8, 1996
`WO
`WO 97/35044
`9, 1997
`WO
`WO 99,61674 A1 12, 1999
`WO
`WOOOf 21898 A1
`4/2000
`WO
`WOOO,22742
`4/2000
`WO
`WOOO,36665
`6, 2000
`WO
`WO O1/82297 A1 11, 2001
`WO
`WO O2, 12932
`2, 2002
`WO
`WO WO 2004/021532 A1
`3, 2004
`WO WO 2004/077519 A2
`9, 2004
`WO WO 2004,106581 A2 12/2004
`WO WO 2004,106582 A2 12/2004
`WO WO 2006/063308 A2
`6, 2006
`WO WO 2007/027535 A2
`3, 2007
`
`OTHER PUBLICATIONS
`Barbier, Denis, “Performances and potentioal applications of
`erbium doped planar waveguide amplifiers and lasers.’ GeeO, pp.
`58-63
`Belkind et al., “Using pulsed direct current power for reactive
`sputtering of Al-O." J. Vac. Sci. Technol. A 17(4), pp. 1934-1940
`(Jul 1999).
`Byer et al., “Nonlinear Optics and Solid-state Lasers.” IEEE Jour
`nal on Selected Topics in Quantum Electronics, vol. 6, No. 6, pp.
`921-929 (Nov. 2000).
`Fujii et al., “1.54 mm photoluminescence of Er" doped into SiO,
`films containing Si nanocrystals: Evidence for energy transfer from
`Si nanocrystals for Er”, Appl. Phys. Lett., 71 (9), pp. 1198-1200
`(Sep. 1997).
`Kelly et al., “Reactive pulsed magnetron Sputtering process for
`alumina films,” J. Vac. Sci. Technol. A 18(6), pp. 2890-2896 (Nov.
`2000).
`Kelly et al., “Control of the structure and properties of aluminum
`oxide coatings deposited by pulsed magnetron Sputtering.” J. Vac.
`Sci. Technol. A 17(3), pp. 945-953 (May 1999).
`Panet al., “Planar Er3+-doped aluminosilicate waveguide amplifier
`with more than 10 dB gain across C-band,” Optical Society of
`America, 3 pages (2000).
`Roberts et al., “The Photoluminescence of Erbium-doped Silicon
`Monoxide.” Department of Electronics and Computer Science, 7
`pages (Jun. 1996).
`Schiller et al. “PVD Coating of Plastic Webs and Sheets with High
`Rates on Large Areas.” European Materials Research Society 1999
`Spring Meeting, Strasbourg, France (Jun. 1-4, 1999).
`Shaw et al. “Use of Vapor Deposited Acrlate Coatings to Improve
`the Barrier Properties of MetallizedFilm.’ Society of Vacuum
`Coaters 505/856-7 168, 37th Annual Technical Conference Proceed
`ings, pp. 240-244 (1994).
`Shin et al. “Dielectric and Electrical Properties of Sputter Grown
`(Ba,Sr)TiO Thin Films,” J. Appl. Phys., vol. 86, No. 1, pp. 506-513,
`(Jul. 1, 1999).
`Shmulovich et al., “Recent progress in Erbium-doped waveguide
`amplifiers.” Bell Laboratories, 3 pages (1999).
`
`Page 3 of 47
`
`

`

`US 7,381,657 B2
`Page 4
`
`Ting et al., “Study of planarized sputter-deposited SiO2,” J. Vac.
`Sci. Technol., 15(3) pp. 1105-1112 (May/Jun. 1978).
`Van Dover, R.B. "Amorphous Lanthanide-Doped TiO, Dielectric
`Films.” Appl. Phys. Lett., vol. 74, No. 20, pp. 3041-3043 (May 17,
`1999).
`Westlinder et al. “Simulation and Dielectric Characterization of
`Reactive dc Magnetron Cosputtered (TaOs). Thin Films,” J. Vac.
`Sci. Technol. B. vol. 20, No. 3, pp. 855-861 (May/Jun. 2002).
`Yoshikawa, K. et al., “Spray formed aluminium alloys for Sputtering
`targets.” Power Metallurgy, vol. 43, No. 3, pp. 198-199 (2000).
`Zhang, Hongmeietal. “High Dielectric Strength, High kTiO Films
`by Pulsed DC, Reactive Sputter Deposition.” (2002).
`Crowder, et al., “Low-Temperature Single-Crystal Si TFT's Fabri
`cated on Si Films Processed via Sequential Lateral Solidification.”
`IEEE, vol. 19, No. 8 (Aug. 1998), pp. 306–308.
`Greene et al., “Morphological and electrical properties of rf sput
`tered Y203-doped ZrO2 thin films,” J. Vac. Sci. Tecnol., vol. 13, No.
`1 (Jan./Feb. 1976), pp. 72-75.
`Hwang, Man-Soo et al., “The effect of pulsed magnetron Sputtering
`on the properties of indium thin oxide thin films.” Elsevier Science
`B.V., p. 29-33. (2003).
`Im, et al. “Controlled Super-lateral Growth of Si Films for
`Microstructural Manipulation and Optimization.” Materials Science
`Program (1998), pp. 603–617.
`Im, et al., “Crystalline Si Films for Integrated Active-Matrix
`LiquidCrystal Displays,” MrS Bulletin (Mar. 1996), pp. 39-48.
`Im, et al., “Single-crystal Si films for thin-film transistor devices.”
`American Institute of Physics (1997), pp. 3434-3436.
`Tukamoto, H. et al., “Electronic Conductivity of LiCoOs and Its
`Enhancement by Magnesium Doping.” J. Electrochem. Soc., vol.
`44, No. 9, pp. 3164-3168 (Sep. 1997).
`Response to Office Action filed on Mar. 14, 2005 in U.S. Appl. No.
`10/291,179.
`Office Action issued on Jun. 15, 2005 in U.S. Appl. No. 10/291,179.
`Office Action issued on Mar. 17, 2005 in U.S. Appl. No. 09/903,081.
`Response to Office Action filed on Jun. 17, 2005 in U.S. Appl.
`09/903,081.
`Office Action issued on Jul. 8, 2005 in U.S. Appl. No. 09/903,081.
`Office Action dated Jan. 13, 2005, received in U.S. Appl. No.
`10/101,863.
`Response to office Action filed on Jun. 10, 2005 in U.S. Appl. No.
`10/101,863.
`Office Action issued on Mar. 14, 2005 in U.S. Appl. No. 10/789,953.
`Office Action issued Mar. 24, 2005 in U.S. Appl. No. 10/851,542.
`Dorey, R.A., "Low temperature micromoulding of functional
`ceramic devices.” Grant summary for GR/S84156/01 for the UK
`Engineering and Physical Sciences Research Council, 2 pages
`(2004).
`Howson, R.P. “The reactive sputtering of oxides and nitrides.” Pure
`& Appl. Chem. 66(6): 1311-1318 (1994).
`Office Action issued Sep. 21, 2005 in U.S. Appl. No. 11/100,856.
`Office Action issued on Aug. 4, 2005, in U.S. Appl. 10/101,863.
`Office Action issued on Aug. 8, 2005 in U.S. Appl. No. 10/101.341.
`Office Action issued on Oct. 3, 2005 in U.S. Appl. No. 10/650.461.
`Office Action issued on Mar. 24, 2005 in U.S. Appl. No. 10/851,542.
`Response to Office Action filed Jul. 25, 2005 in U.S. Appl. No.
`10/851,542.
`Office Action issued on Oct. 19, 2005 in U.S. Appl. No. 10/851,542.
`ASM Handbook, Formerly Ninth Edition, Metals Handbook, vol.
`15, Casting, Davis et al. (Eds.), ASM International, pp. 372-373,
`376-383, and 410-411 (1988).
`Cocorullo, G. et al., “Amorphous silicon waveguides and light
`modulators for integrated photonics realized by low-temperature
`plasma-enhanced chemical-vapor deposition,” Optics Lett. 21
`(24);2002-2004 (1996).
`Kelly, P.J. et al., “A novel technique for the deposition of aluminum
`doped zinc oxide films.” Thin Solid Films 426(1-2) 111-116 (2003).
`Tomaszewski, H. et al., “Yttria-stabilized zirconia thin films grown
`by reactive rif, magnetron sputtering.” Thin Solid Films 287: 104
`109 (1996).
`Response to Final Office Action filed Apr. 14, 2006, in U.S. Appl.
`No. 10/291,179.
`Office Action mailed Apr. 27, 2006, in U.S. Appl. No. 10/291,179.
`
`Response to Office Action filed Jul. 27, 2006, in U.S. Appl. No.
`10/291,179.
`Notice of Allowance mailed Aug. 6, 2002, in US Patent 6,506,289.
`Response to Office Action filed Feb. 28, 2006 in U.S. Appl. No.
`09/903,081.
`Final Office Action mailed May 8, 2006 in U.S. Appl. No.
`09/903,081.
`Final Office Action mailed Jun. 9, 2006 in U.S. Appl. No.
`11/100,856.
`Office Action mailed Mar. 22, 2006, in U.S. Appl. No. 10/101,863.
`Response to Office Action filed Jun. 12, 2006, in U.S. Appl. No.
`10/101,863.
`Response to Office Action filed on May 15, 2006, in U.S. Appl. No.
`10/101,341.
`Office Action issued on Aug. 2, 2006, in U.S. Appl. No. 10/101.341.
`Office Action issued on Mar. 23, 2006, in U.S. Appl. No.
`10/650,461.
`Response to Office Action filed on Jul. 24, 2006, in U.S. Appl. No.
`10/650,461.
`Response to Office Action filed Mar. 2, 2006 in U.S. Appl. No.
`10/789,953.
`Final Office Action issued on May 19, 2006 in U.S. Appl. No.
`10/789,953.
`Office Action from Singapore Patent Office in Appl. No.
`200505388-9, dated Mar. 20, 2006.
`Office Action mailed Apr. 19, 2006 in U.S. Appl. No. 10/851,542.
`Response to Office Action filed Jul. 26, 2006 in U.S. Appl. No.
`10/851,542.
`Specification as filed Sep. 2, 2005, for U.S. Appl. No. 1 1/218,652.
`Agrawal, G.P. in: Fiber-Optic Communication Systems, 2nd Edi
`tion, John Wiley & Sons, New York, pp. 362-399 and 415 (1997).
`Masuda, H. & Kawai, S., “Wide-band and gain-flattened hybrid
`fiber amplifier consisting of an EDFA and a multiwavelength
`pumped raman amplifier.” IEEE Photonics Technology Lett.
`11(6):647-649 (1999).
`Snoeks, E. et al., “Cooperative upconversion in erbium-implanted
`Soda-lime silicate glass optical waveguides,” J. Opt. Soc. Am. B
`12(8): 1468-1474 (1995).
`Final Office Action dated Oct. 12, 2006, in U.S. Appl. No.
`10,291,179.
`Response to Final Office Action mailed Nov. 3, 2006, in U.S. Appl.
`No. 10,291,179.
`Office Action dated Dec. 1, 2006, in U.S. Appl. No. 10,291,179.
`Amendment dated Oct. 19, 2006, in U.S. Appl. No. 09/903,081.
`Notice of Allowance issued on Oct. 21, 2004, in U.S. Appl. No.
`10/101,492.
`Response to Office Action filed Sep. 11, 2006 in U.S. Appl. No.
`11/100,856.
`Office Action mailed Dec. 1, 2006, in U.S. Appl. No. 1 1/100,856.
`Office Action mailed Sep. 6, 2006, in U.S. Appl. No. 10/101,863.
`Final Office Action mailed Oct. 19, 2006, in U.S. Appl. No.
`10/650,461.
`Voluntary Amendment filed Jul. 26, 2006 in TW Appl. No.
`92.123625.
`Response to Final Office Action filed Aug. 3, 2006, in U.S. Appl.
`No. 10/789,953.
`Notice of Allowance mailed Oct. 23, 2006, in U.S. Appl. No.
`10/789,953.
`Office Action dated Oct. 12, 2006, for U.S. Appl. No. 1 1/228,805.
`Office Action dated Sep. 22, 2006 from Korean Patent Office in
`Appl. No. 10-2005-70 16055.
`Response to Office Action mailed Nov. 8, 2006, to the Korean Patent
`Office in Appl. No. 10-2005-70 16055.
`Response to Office Action from Singapore Patent Office in Appl.
`No. 200505388-9, dated Aug. 11, 2006.
`Final Office Action dated Oct. 26, 2006, in U.S. Appl. No.
`10/851,542.
`Preliminary Amendment filed Jul. 21, 2006, in U.S. Appl. No.
`11/297,057.
`Supplemental Preliminary Amendment, Substitute Specification,
`and replacement drawing filed Dec. 6, 2006, in U.S. Appl. No.
`11/297,057.
`
`Page 4 of 47
`
`

`

`US 7,381,657 B2
`Page 5
`
`Voluntary Amendment filed Aug. 15, 2006.in TW Appl. No.
`94143175.
`PCT International Search Report and Written Opinion for Appl. No.
`PCT/US05/44781 dated Oct. 3, 2006.
`Belkind, A. et al., “Pulsed-DC Reactive Sputtering of Dielectrics:
`Pulsing Parameter Effects,” 43rd Annual Technical Conference
`Proceedings-Denver: 86-90 (Apr. 15-20, 2000).
`Scholl, R., “Power Supplies for Pulsed Plasma Technologies: State
`Of-The-Art And Outlook.” Advances Energy Industries, Inc., pp.
`1-8 (1999).
`Scholl, R., “Power Systems for Reactive Sputtering of Insulating
`Films.” Advances Energy Industries, Inc., pp. 1-8 (Aug. 2001).
`Response to Office Action and Terminal Disclaimer dated Mar. 1,
`2007, in U.S. Appl. No. 10/291,179.
`Office Action dated Dec. 18, 2006, in U.S. Appl. No. 09/903,081.
`Response to Office Action dated Mar. 1, 2007, in U.S. Appl. No.
`11/100,856.
`Response to Office Action dated Feb. 6, 2007, in U.S. Appl. No.
`10/101,863.
`Supplemental Preliminary Amendment dated Feb. 6, 2007, in U.S.
`Appl. No. 11/228,834.
`Supplemental Preliminary Amendment dated Feb. 6, 2007, in U.S.
`Appl. No. 11/191,643.
`Notice of Allowance dated Feb. 21, 2007, in U.S. Appl. No.
`10/789,953.
`Response to Office Action dated Dec. 21, 2006, in U.S. Appl. No.
`11/228,805.
`Response to Office Action dated Jan. 26, 2007, in U.S. Appl. No.
`10/851,542.
`Notice of Allowance dated Feb. 22, 2007, in U.S. Appl. No.
`10/851,542.
`Continuation application and Preliminary Amendment dated Dec.
`13, 2006.
`Response to Office Action dated Mar. 19, 2007, in U.S. Appl. No.
`09/903,081.
`Response to Office Action dated Feb. 20, 2007, in U.S. Appl. No.
`10/650,461.
`Office Action dated Mar. 6, 2007, in U.S. Appl. No. 10/650,461.
`Notice of Allowance dated Mar. 26, 2007, in U.S. Appl. No.
`11/228,805.
`Supplemental Notice of Allowance dated Mar. 15, 2007, in U.S.
`Appl. No. 10/851,542.
`Voluntary Amendment dated Mar. 8, 2007, in TW Appl. No.
`93.114518.
`Application filed Mar. 22, 2007.
`Office Action dated May 21, 2007, in U.S. Appl. No. 10/291,179.
`Final Office Action dated Apr. 13, 2007, in U.S. Appl. No.
`09/903,081.
`Amendment/RCE filed Aug. 9, 2007, in U.S. Appl. No. 09/903,081.
`Office Action dated Sep. 5, 2007, in U.S. Appl. No. 09/903,081.
`Final Office Action dated Sep. 7, 2007, in U.S. Appl. No.
`11/100,856.
`Final Office Action dated May 2, 2007, in U.S. Appl. No.
`10/101,863.
`Response to Final Office Action filed Oct. 2, 2007, in U.S. Appl. No.
`10/101,863.
`Response to Office Action filed Jul. 9, 2007, in U.S. Appl. No.
`10/650,461.
`Final Office Action dated Oct. 10, 2007, in U.S. Appl. No.
`10/650,461.
`Corrected Notice of Allowance dated Jun. 7, 2007, in U.S. Appl. No.
`11/228,805.
`Supplemental Notice of Allowance dated Jul. 5, 2007, in U.S. Appl.
`No. 11/228,805.
`Second Supplemental Preliminary Amendment filed May 31, 2007.
`in U.S. Appl. No. 1 1/297.057.
`U.S. Appl. No. 10/954, 182, Biased pulse DC reactive sputtering of
`oxide films.
`Affinito et al., “PML/oxide/PML Barrier Layer Performance Dif
`ferences Arising from Use of UV or Electron Beam Polymerization
`of the PML Layers.” Thin Solid Films vol. 308-309, pp. 19-25
`(1997).
`
`Affinito et al., “Polymer-Oxide Transparent Barrier Layers.” Society
`of Vacuum Coaters, 39th Ann. Technical Conference Proceedings,
`May 5-10, 1996, Philadelphia, PA, pp. 392-397 (1996).
`Alder, T. et al., “High-Efficiency Fiber-to-Chip Coupling Using
`Low-Loss Tapered Single-Mode Fiber.” IEEE Photonics Technol
`ogy Letters, 12(8): 1016-1018, (2000).
`Almeida, Vilson R. et al., “Nanotaper for compact mode conver
`sion.” Optics Letters, 28(15): 1302-1304, (2003).
`Asghari et al., “ASOC–A Manufacturing Integrated Optics Tech
`nology.” Part of the SPIE Conference on Integrated Optics Devices
`III, vol. 3620, pp. 252-262 (Jan. 1999).
`Barbier et al., “Amplifying Four-Wavelength Combiner, Based on
`Erbium/Etterbium-Doped Waveguide Amplifiers and Integrated
`Splitters', IEEE Photonics Technology Letters, vol. 9, pp. 315-317
`(1997).
`Beach R.J. “Theory and optimization of lens ducts.” Applied
`Optics, 35:12:2005-15 (1996).
`Bestwick, T., “ASOC silicon integrated optics technology.” Part of
`the SPIE Conferences on Photonics Packaging and Integration,
`SPIE vol. 3631, pp. 182-190 (Jan. 1999).
`Borsella et al., “Structural incorporation of silver insoda-lime glass
`by the ion-exchange process: a photoluminescence spectroscopy
`study”. Applied Physics A 71, pp. 125-132 (2000).
`Campbell et al., “Titanium dioxide (TiO)-based gate insulators.”
`IBM J. Res. Develop. 43(3), 383-391, (May 1999).
`Chang, C.Y. (edited by), “ULSI Technology.” The McGraw-Hill
`Companies, Inc., New York, 1996, Chapter 4, pp. 169-170,226-231
`(1996).
`al. “Development of Supported Bifunctional
`Chen et
`Electrocatalysts for Unitized Regenerative Fuel Cells,” Journal of
`the Electrochemical Society, 149(8), A1092-99, (2002).
`Choi et al., “Er-Al-codoped silicate planar light waveguide-type
`amplifier fabricated by radio-frequency sputtering. Optics Letters,
`vol. 25, No. 4, pp. 263-265 (Feb. 15, 2000).
`Cooksey et al., “Predicting Permeability & Transmission Rate for
`Multilayer Materials.” Foodtechnology, vol. 53, No. 9, pp. 60-63
`(Sep. 1999).
`Delavaux et al., “Integrated optics erbium ytterbium amplifier
`system in 10 Gb's fiber transmission experiment', 22nd European
`Conference on Optical Communication—ECOC'96, Oslo, 4 pages
`(1996).
`Distiributed Energy Resources: Fuel Cells, Projects, http://www.
`eere.energy.gov/der/fuel cells/projects.html (2003).
`DuPont Teijin Films, Mylar 200 SBL 300, Product Information
`(2000).
`Electrometals Technologies Limited, Financial Report for the year
`2002, Corporate Directory, Chairman's Review, Review of Opera
`tions (2002).
`E-Tek website: FAQ. Inside E-Tek, E-Tek News, Products; http://
`www.etek-inc.com/ (2003).
`Flytzanis et al., “nonlinear Optics in Composite Materials.” E. Wolf,
`Progress in Optics XXIX (c) Elsevier Scince Publishers B.V., pp.
`323-425 (1991).
`Frazao et al., “EDFA Gain Flattening Using Long-Period Fibre
`Gratings Based on the Electric Arc Technique.” (date unknown).
`Garcia, C. “Size Dependence of Lifetime and Absorption Cross
`Section of Si Nanocrystals Embedded in SiO.” Appl. Phys. Lett.
`vol. 82, No. 10, pp. 1595-1597 (Mar. 10, 2003).
`Goossens et al., “Sensitization of TiO, with p-type semiconductor
`polymers.” Delft Interfaculty Research Center, Delft University of
`Technology Laboratory of Inorganic Chemistry, The Netherlands
`(1998).
`Han, Hak-Seung et al. "Optical Gain at 1.54 m in Erbium-Doped
`Silicon Nanocluster Sensitized Waveguide.” Appl. Phys. Lett... vol.
`79, No. 27, pp. 4568-4570 (Dec. 31, 2001).
`Hayakawa et al., “Field enhancement effect of Small Ag particles on
`the fluorescence from Eui-doped SiO, glass”, Appl. Phys. Lett.
`vol. 74, No. 11, pp. 1513-1515 (Mar. 15, 1999).
`Hayakawa et al., “Enhanced fluorescence from Eu" owing to
`Surface plasma oscillation of silver particles in glass'. Journal of
`Non-Crystalline Solids, vol. 259, pp. 16-22 (1999).
`Hayfield, P.C.S., “Development of a New Material-Monolithic
`Ti4O7 Ebonix Ceramic.” Royal Society Chemistry, (2002).
`
`Page 5 of 47
`
`

`

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