Samsung Electronics Co., Ltd. v. Demaray LLC
`Samsung Electronic's Exhibit 1052 Vol 3.
`
`Ex. 1052, Page 936
`
`

`

`Claim Rejections under 35 U.S.C.§103
`
`Claims 2-6
`
`The Examinerhas rejected claims 2-6 under 35 U.S.C. § 103(a) as being unpatentable
`
`over Smolanoffin view of U.S. Patent No. 5,755,938 (“Fukui”). As discussed above, claim 1 is
`
`allowable over Smolanoff. Fukui does not cure the defects in the teachings of Smolanoff.
`
`Therefore, claims 2-6, which depend from claim 1, are allowable for at least the same reasons as
`
`is claim 1.
`
`Claims 7 and 9
`
`The Examinerhas further rejected claims 7 and 9 under 35 U.S.C. § 103(a) as being
`
`unpatentable over Smolanoff in view of Leet al. (2003/0077914) (“Le”). As discussed above,
`
`claim 1 is allowable over Smolanoff. Le does not cure the defects in the teachings of Smolanoff.
`
`Therefore, claims 7 and 9, which depend from claim 1, are allowable for at least the same
`
`reasons as is claim 1.
`
`Allowable Subject Matter
`
`The Examinerhas indicated that claims 14 and 21-24 would be allowable if rewritten in
`
`independent form includingall of the limitations of the base claim and anyintervening claims.
`
`Claims 14 and 21, from which claims 22-24 depend, have been rewritten as suggested by the
`
`Examiner.
`
`Ex. 1052, Page 937
`
`Ex. 1052, Page 937
`
`

`

`Conclusion
`
`In view of the foregoing amendments and remarks, Applicants respectfully request
`
`reconsideration and reexamination ofthis application and the timely allowance of the pending
`
`claims.
`
`Please grant any extensionsof time required to enter this response and charge any
`
`additional required fees to Deposit Account No. 06-0916.
`
`Respectfully submitted,
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER,L.L.P.
`
` Dated: December 5, 2005
`
`By:
`
`$5, 6&/
`
`ary J. Edwards
`Reg. No. 41,008
`
`| EXPRESS MAIL LABEL NO.
`EV 758329165 US
`
`.
`
`-8-
`
`Ex. 1052, Page 938
`
`Ex. 1052, Page 938
`
`

`

` REPLACEMENT SHEET
`
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`1/27
`
`-
`
`Ex. 1052, Page 939
`
`Ex. 1052, Page 939
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE OC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`2/27
`
`<
`
`
`FIG.3
`
`+
`
`Ex. 1052, Page 940
`
`Ex. 1052, Page 940
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`3/27
`
`fo
`
`TARGET PREPARATION
`
`SUBSTRATE PREPARATION
`
`SET GAS FLOW
`
`SET SUBSTRATE
`TEMPERATURE
`
`
`
`
`
`
`
`
`
`SET MAGNET SCAN
`
`SET BIAS
`
`SET PULSED POWER
`PARAMETERS
`
`DEPOSIT FILM
`
`401
`
`402
`
`403
`
`404
`
`405
`
`406
`
`407
`
`408
`
`FIG. 4
`
`+
`
`Ex. 1052, Page 941
`
`Ex. 1052, Page 941
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`4/27
`
`TARGET VOLTAGE vs. OXYGEN FLOW
`
`po
`po
`po
`JaceTvonTAGE
`
`
`
`TARGETVOLTAGE(V)
`
`
`
`
`
`450
`
`400
`
`350
`
`300
`
`250
`
`200
`
`150
`
`100
`
`50
`
`0
`
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`
`10
`- 20
`30
`OXYGEN FLOW(sccm)
`
`40
`
`LIFE TIME AND PL vs. ANNEAL TEMPERATURE
`
`]-@- PL (980nm)
`
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`
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`
`800
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`ANNEAL TEMPERATURE
`
`0
`1000
`
`800
`
`400
`
`200
`
`PL(980nm)
`
`Ex. 1052, Page 942
`
`Ex. 1052, Page 942
`
`

`

`(YUSL-Gg)seaul]—
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`
`
`
`
`
`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`5/27
`
`‘ONOO
`
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`
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`
`Ex. 1052, Page 943
`
`Ex. 1052, Page 943
`
`

`

`
`
`'0=74E€8SH'1+XZ00'0+2XS0-48-_X90-e+yX80-Ie-cXOL-SL=A
`
`6676
`
`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`6/27
`
`
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`jeouuyjs0q|"o
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`
`Ex. 1052, Page 944
`
`
`
`
`
`
`
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`
`oo00e0008+0009100071O00¢cl000000080009000r0002
`
`
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`
`Ex. 1052, Page 944
`
`

`

`WOSBtE J:-owea%onwW o55a9argaz
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`7/27
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`MO0v-0‘29edSWelWlug-p‘aoedsAA-LWwGg-09
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`MO0v-0‘e0edSW-LWwus-p‘aoedsAA-)WWWGg-09
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`Ex. 1052, Page 945
`
`Ex. 1052, Page 945
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`ofJoBseL
`
`|L8S296'0|9Z2€000°0|6cEcorlLssfoo8/27
`
`
`200¥18'0|€01000°0ylle9r'bssfkfoo
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`
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`
`
`BANIewayY|SAI;OBWAYJOJEAA
`
`Ex. 1052, Page 946
`
`Ex. 1052, Page 946
`
`

`

` O2/ArRatio
`
`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`9/27
`
`
`
`oOR.I.PostAnnealvs
`
`O2/ArRatio
`
`FIG.11
`
`+.
`
`Ex. 1052, Page 947
`
`1.73
`
`1.725
`
`IL xepuy esanoeyay
`
`2wa
`
`w <N
`
`i
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`
`o> o
`
`c
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`R.I.vsO2/ArRatio
`
`Ex. 1052, Page 947
`
`

`

`oO
`
`°or
`
`e)—
`o
`oO
`
`nO
`
`o o
`
`REPLACEMENT SHEET
`inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`10/27
`
`
`
`
`
`R.I.VsPulsingFrequencyforAlumina
`
`Anneal
`
`30min
`
`250
`
`200
`
`150
`
`100
`
`50
`
`
`
`
`
`PulsingFrequency(KHz)
`
`FIG.12
`
`+
`
`Ex. 1052, Page 948
`
`1.7
`
`FL xepuy eanoeiyey
`
`1.695
`
`Ex. 1052, Page 948
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`11/27
`
`
`
`(wiugSsL@®)xepul¢
`
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`
`(UNI/Z)#UM
`
`elDI
`
`Ex. 1052, Page 949
`
`Ex. 1052, Page 949
`
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`12/27
`
`1.1
`
`1.05
`
`0.85
`
`>35—
`
`_ Y = =o£G®a
`
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`
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`
`Numbers(2PerRun)
`
`FIG.14
`
`+
`
`Ex. 1052, Page 950
`
`x®3 £A
`
`d
`
`30Av,800?Burn
`30minAvBurn
`
`(WU0SS|@®) xepu] eAoOeyoy
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`
`
`
`
`TargetComp83-17(AKT-1600BasedReactor)
`
`
`
`
`
`
`
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`
`IndexDriftControl
`
`Ex. 1052, Page 950
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE OC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`13/27
`
`
`
`ApnygAyiqeyeaday
`
`
`
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`
`Ex. 1052, Page 951
`
`Ex. 1052, Page 951
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG et al.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`14/27
`
`FIG. 16D
`
`FIG. 16B
`
`FIG. 16C
`
`FIG. 16A
`
`SYMMORPHIX PVD ALUMINOSILICATE
`
`+
`
`Ex. 1052, Page 952
`
`Ex. 1052, Page 952
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG et al.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`15/27
`
`O#7-Annealed
`
`Path(cm)
`
`FIG.17
`
`3 20occoc2t
`
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`
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`
`WU9/gp Ul SSO7
`
`+
`
`Ex. 1052, Page 953
`
`Ex. 1052, Page 953
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`16/27
`
`cOst
`
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`
`ofaaA0)/(OYE
`
`81OIA
`
`Ex. 1052, Page 954
`
`Ex. 1052, Page 954
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`17/27
`
`MLSS LTT
`a
`
`1803
`
`SUBSTRATE
`
`FIG. 19
`
`NET
`
`DEPOSITION
`
`ACCUMULATION
`
`0
`
`a 60
`30
`SURFACE ANGLE, 8 DEGREES
`
`90
`
`FIG. 20
`
`+
`
`Ex. 1052, Page 955
`
`Ex. 1052, Page 955
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`18/27
`
`RATE A/MINUTE
`
`60
`
`50
`
`40
`
`30
`
`20
`
`10
`
`0
`
`DEPOSITION
`
`ACCUMULATION
`
`60
`30
`SURFACE ANGLE, DEGREES
`
`90
`
`FIG. 21
`
`a
`
`Ex. 1052, Page 956
`
`Ex. 1052, Page 956
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG et al.
`Application No. 10/101,863
`Title) BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`19/27
`
`
`
`+
`
`Ex. 1052, Page 957
`
`Ex. 1052, Page 957
`
`

`

`4 V
`
`eat
`rm
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`=a
`
`i
`NI
`
`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`20/27
`
`=v
`
`e7p
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`FIG.23
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`+.
`
`Ex. 1052, Page 958
`
`aS ©9x ==
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`«2
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`
`Ex. 1052, Page 958
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`21/2/
`
`FAA8]0:MeseALE
`
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`
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`
`Ex. 1052, Page 959
`
`Ex. 1052, Page 959
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG et al.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`22/27
`
`AORReae)
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`
`62:Zlzoleziz(NAS100PXWUE
`
`Ex. 1052, Page 960
`
`Ex. 1052, Page 960
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`23/27
`
`-20dBm,Expx150mw,0dBm,Exp uw
`
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`
`FIG.26
`
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`
`Wavelength(nm)
`
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`
`Ex. 1052, Page 961
`
`©u
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`Ex. 1052, Page 961
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`24/27
`
`aSYa
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`750
`
`800
`
`Annealing Temperature (c)
`
`FIG, 27
`
`Life Time and Up-conversion vs. Annealing
`Temperature
`
`(SW)
`
`7-0 Life Time
`
`
`
`Cup(cm*/5)
`
`1.20E-17
`
`1.10E-17
`
`1.00E-17
`
`9.00E-18
`
`8.00E-18
`
`7.00E-18
`
`6.00E-18
`
`5.00E-18
`
`4.00E-18
`
`3.00E-18
`
`2.00E-18
`1.00E-18
`
`720
`
`740
`
`760
`
`780
`
`800
`
`820
`
`840
`
`Anneal Temperature
`
`FIG. 28
`
`+
`
`Ex. 1052, Page 962
`
`Ex. 1052, Page 962
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`25/27
`
`Index and Thickness
`
`1200
`
`1150
`
`1000
`
`1050
`
`1000
`
`950
`
`900
`
`1.535
`
`1.53
`
`b4
`B 1.525
`&
`
`1.52
`
`1.515
`
`Wafer Number
`
`FIG. 29
`
`532nm PL/um 532nmPli/um a3S
`
`@ 532nm PL/um
`
`
`
`0
`
`2
`
`4
`
`6
`
`8
`
`Wafer Number
`
`FIG. 30
`
`a
`
`Ex. 1052, Page 963
`
`Ex. 1052, Page 963
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`26/27
`
`Life Time
`
`
`
`
`
`
`
`
`
`LifeTime(ms)
`
`Index
`
`|
`
`0
`
`1
`
`.
`
`2
`
`- Wafer Number
`
`FIG. 31
`
`3
`
`4
`
`4500
`
`4000
`
`3500
`
`3000
`
`2500
`
`2000
`
`1500
`
`1000
`
`500
`
`273-1
`
`273-2
`
`274.1
`
`274.2
`
`275.1
`
`275.2
`
`Wafer ID
`
`FIG. 32
`
`+
`
`Ex. 1052, Page 964
`
`Ex. 1052, Page 964
`
`

`

`REPLACEMENT SHEET
`Inventors: Hongmei ZHANG etal.
`Application No. 10/101,863
`Title: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`27/27
`
`@Series1
`
`R.IvsO2/N2Ratio
`
`25
`
`20
`
`15
`
`10
`
`O2/N2Ratio
`
`FIG.33
`
`1.8
`
`w
`1.7
`
`~
`—_
`
`w
`1.6
`
`©
`-
`
`ra
`
`Ww
`1.5
`
`wo
`—_
`
`w
`1.4
`
`Oo
`
`wt
`-
`
`--
`
`Ex. 1052, Page 965
`
`Ex. 1052, Page 965
`
`

`

`
`
` NITED STATES PATENT AND TRADEMARKOFFICE
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`Group Art Unit: 2823
`
`Examiner: ESTRADA,Michelle
`
`Confirmation No.: 6938
`
`) ) ) ) ) ) )
`
`__)
`
`In re Applicationof:
`
`ZHANG,Hongmeietal.
`
`Application No.: 10/101,863
`
`Filed: March 16, 2002
`
`For:
`
`BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`MAIL STOP AMENDMENT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`PETITION FOR EXTENSION OF TIME
`
`Applicants petition for a one month extension oftimeto reply to the Office action of
`
`August 4, 2005. The Commissioneris hereby authorized to charge the fee of $120.00 to Deposit
`
`Account No. 06-0916.
`
`Please grant any extensions oftime required to enter this response and charge any
`
`additional required fees to our deposit account 06-0916.
`
`Respectfully submitted,
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER,L.L.P.
`
`Dated: December5, 2005
`
`0
`
`Reg. No. 41,008
`
`
`
`12/08/2005 EAREGAY 00000041 060916
`
`10101863
`
`O1 FC:1251
`
`120.00 DA
`
`Ex. 1052, Page 966
`
`Ex. 1052, Page 966
`
`

`

`B
`
`GPE 4
`
`PATENT
`
`
`DEC 0 6 2005 y
`Customer No. 22,852
`
`Attorney Docket No. 9140.0016-00
`
` Be IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Group Art Unit: 2823
`
`) ) ) )
`
`In re Application of:
`
`ZHANG,Hongmeiet al.
`
`Application No.: 10/101,863
`
`) Examiner: ESTRADA,Michelle
`
`Confirmation No.: 6938
`
`) ) ) )
`
`)
`
`Filed: March 16, 2002
`
`For:
`
`BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`MAIL STOP AMENDMENT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`FOURTH SUPPLEMENTAL INFORMATION DISCLOSURE STATEMENT
`UNDER37 C.F.R. § 1.97(c)
`
`Pursuant to 37 C.F.R. §§ 1.56 and 1.97(c), Applicants bring to the attention ofthe
`
`Examiner the documents onthe attached listing. This Information Disclosure Statementis being
`
`filed after the events recited in Section 1.97(b) but, to the undersigned's knowledge, before the
`
`mailing date of either a Final action, Quayle action, or a Notice of Allowance. Underthe
`
`provisions of 37 C.F.R. § 1.97(c), the Commissioneris hereby authorized to charge the fee of
`
`$180.00 to Deposit Account No. 06-0916 as specified by Section 1.17(p).
`
`Copiesof the listed non-patent literature documents are attached. Copies of the U.S.
`
`patents and patent publications are not enclosed.
`
`Applicants respectfully request that the Examiner considerthe listed documents and
`
`indicate that they were considered by making appropriate notations on the attached form.
`12/08/2005 EAREGAY1 00000041 060916
`10101863
`
`02 FC:1806
`
`180.60 DA
`
`Ex. 1052, Page 967
`
`Ex. 1052, Page 967
`
`

`

`oo
`
`This submission does not represent that a search has been madeorthat nobetterart exists
`
`and does not constitute an admission that eachorall of the listed documents are material or
`
`constitute "prior art." Ifthe Examiner applies any of the documents asprior art against any
`
`claims in the application and Applicants determinethat the cited documents do not constitute
`
`"prior art" under United States law, Applicants reserve the right to present to the office the
`
`relevant facts and law regarding the appropriate status of such documents.
`
`Applicants further reserve the right to take appropriate action to establish the patentability
`
`of the disclosed invention over the listed documents, should one or more of the documents be
`
`applied against the claimsof the present application.
`
`If there is any fee due in connection with thefiling of this Statement, please charge the
`
`fee to our Deposit Account No. 06-0916.
`
`Respectfully submitted,
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER,L.L.P.
`
`By:(Houde.). Dhar
`BY
`ary J.
`Edwards
`Reg. No. 41,008
`
`4S)681
`
`Dated: December5,2005
`
`
`
`-2-
`
`Ex. 1052, Page 968
`
`Ex. 1052, Page 968
`
`

`

`
`
`
`
`
`
`
`
`
`(Use as many sheets as necessan)
`
`
`
`
`
`
`Complete if Known
`
`
`
`
`
`
`U.S. PATENTS AND PUBLISHEDU.S. PATENT APPLICATIONS
`
`
`
`
`Examiner|Cite Document Number issue or Nameof Patentee or Pages, Columns, Lines, Where
`
`Initials
`No.'
`5
`2
`Publication Date
`Applicantof Cited Document
`Relevant Passagesor Relevant
`Number-Kind Code* (ifknown)
`MM-DD-YYYY
`Figures Appear
`
`||| 5,478,456 12-26-1995|Humpaletal.
`
`||| 6,846,765 B2 1-25-2005|Imamuraetal.
`
`
`
`
`
`Docket No. 09140.0033-00).
`
`Examiner
`Initials
`
`i
`
`.
`
`Foreign Patent Document
`
`Publication Date
`MM-DD-YYYY
`
`Pages, Columns, Lines,
`Nameof Patentee or
`Applicant of Cited Document Where Relevant Passages
`or Relevant Figures
`
`Country Code® Number* Kind Code?(if known)
`
`NON PATENT LITERATURE DOCUMENTS
`
`Examiner|Cite Include nameof the author (in CAPITAL LETTERS),title of the article (when appropriate),title of the item Translation®
`Initials
`No.'
`(book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s),
`publisher, city and/or country where published.
`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 September 21, 2005 in U.S. Application No. 11/100,856 (Attorney
`Docket No. 09140.0015-01).
`Office Action issued on August 8, 2005 in U.S. Serial No. 10/101,341 (Attorney Docket
`No. 09140-001 7-00).
`Office Action issued on October 3, 2005 in U.S. Application No. 10/650,461 (Attorney
`Docket No. 09140-0025-00).
`Office Action issued on October 19, 2005 in U.S. Application No. 10/851 ,542 (Attorney
`
`
`
`EXPRESS MAIL LABELNO.__|
`|
`_
`EV.758329165 US
`|
`
`
`
`
`
`Examiner
`Signature
`
`Date
`Considered
`
`EXAMINER: Initial if reference considered, whetheror notcitation is in conformance with MPEP 609. Draw line through
`citation if not in conformance and not considered.
`Include copy of this form with next communication to applicant.
`
`Ex. 1052, Page 969
`
`Ex. 1052, Page 969
`
`

`

`* ({ the difference in column t fs less than zero, enter “0” in column 2
`CLAIMS ASAMENDED - PART Il
`OTHER THAN
`
`
`“(Columat) °
`-
`ymin
`SMALL ENTITY
`
`
`ADDI: |
`
`
`
`
`” AUMBEAR
`REMAINING
`:
`PREVIOUSLY -
`ACTER
`
`
`- AMENOMENT FE.
`
`
`PATENT APP
` LICATION FEE DETERMINATION RECORD.
`ee
`Effective December &, 2004
`
`- CLAIMS AS FILED - PARTI 7 SMC entity
`OTHER THAN
`
`
`
`
`
`
`Tree Coon. SMALLENTITY:
`
`
`[frome
`
`[roPere[ramen |
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`AUBR
`
`“HIGHEST
`
`“AMENDMENTA
`
`
`
` :
` AMENOMENT8 ‘oo -55
`
`AMENDMENTC.
`
`HIGHEST
`
`
`“NUMBER
`REMAINING
`
`.
`
`AFTER:
`PREVIOUSLY.
`
`
`
`AMENDMENT
`x$S0=
`
`
`
`
`
`
`
`
`
`HIGHEST
`
`CLAINS
`:
`NUMBER
`_ REMAINING
`
`AFTER!
`PREVIOUSLY
`
`‘AMENOMENT
`PAIO FOR _
`
`
`°
`
`;
`
`
`
`CTIPLE DEPENDENT CLAIM
`
`
`eed
`
`:
`
`-
`
`]
`
`
`
`
`
`
`
`
`
`
`OR X200=
`
`“TOTAL
`OR anon. FEELE
`
`UJ
`
`,
`
`_TNO.mzBf
`
`OR
`
`
`
`ADDI-
`TIONAL
`7)m
`
`
`
`
`Ex. 1052, Page 970
`
`Ex. 1052, Page 970
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`1
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`10/101,863
`
`FILING DATE
`
`03/16/2002
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`Hongmei Zhang
`
`M-12245 US
`
`6938
`
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`901 NEW YORK AVENUE, NW
`WASHINGTON, DC 20001-4413
`
`ESTRADA, MICHELLE
`
`2823
`
`DATE MAILED: 02/14/2006
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTO-90C (Rev. 10/03)
`
`Ex. 1052, Page 971
`
`Ex. 1052, Page 971
`
`

`

`Office Action Summary
`
`Application No.
`
`Applicant(s)
`
`10/101,863
`
`Examiner
`
`Michelle Estrada
`
`ZHANG ETAL. ,
`
`Art Unit
`
`2823
`
`-- The MAILING DATEof this communication appears on the cover sheet with the correspondenceaddress --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLYIS SET TO EXPIRE 3 MONTH(S) OR THIRTY (30) DAYS,
`WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
`
`Extensionsof time may be available underthe provisions of 37 CFR 1.136(a).
`after SIX (6) MONTHSfrom the mailing date of this communication.
`if NO pericd for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHSfrom the mailing date of this communication.
`Failure to reply within the set or extended periodfor replywill, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Anyreply received by the Office later than three months after the mailing date of this communication, evenif timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`
`In no event, however, maya reply be timelyfiled
`
`
`
`Status
`
`1)X]_ Responsive to communication(s)filed on 05 December 2005.
`2a)X] This action is FINAL.
`2b)L] This action is non-final.
`3)L] Sincethis application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordancewith the practice under Ex parte Quayle, 1935 C.D. 11, 453 O.G. 213.
`
`Disposition of Claims
`
`4)X] Claim(s) 1-14 and 20-24 is/are pending in the application.
`4a) Of the above claim(s)
`is/are withdrawn from consideration.
`5)\X] Claim(s) 14 and 21-24 is/are allowed.
`6)X1 Claim(s) 1-13 and 20 is/are rejected.
`7)\LJ Claim(s)___is/are objected to.
`8)L] Claim(s)
`are subject to restriction and/or election requirement.
`
`Application Papers
`
`9)L_] The specification is objected to by the Examiner.
`10)X] The drawing(s)filed on 05 December 2005is/are: a)[X] accepted or b)L] 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)L] The oath or declarationis objected to by the Examiner. Note the attached Office Action or form PTO-152.
`
`Priority under 35 U.S.C. § 119
`
`12)L) Acknowledgmentis madeofa claim forforeign priority under 35 U.S.C. § 119(a)-(d)or (f).
`a)LIAI
`b)LJ Some* c)L Noneof:
`1.1] Certified copies of the priority documents have beenreceived.
`2.L] Certified copies of the priority documents have been received in Application No.
`3.L] Copiesof the certified copies of the priority documents have beenreceived in this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`1) J Notice of References Cited (PTO-892)
`2) L] Notice of Draftsperson’s Patent Drawing Review (PTO-948)
`3) BX] Information Disclosure Statement(s) (PTO-1449 or PTO/SB/08)
`Paper No(s)/Mail Date 12/5/05.
`U.S. Patent and Trademark Office
`
`4) LJ interview Summary (PTO-413)
`Paper No(s)/Mail Date. _
`5) [_] Noticeof Informal Patent Application (PTO-152)
`6) OC Other:
`
`PTOL-326 (Rev. 7-05)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20060208
`
`Ex. 1052, Page 972
`
`Ex. 1052, Page 972
`
`

`

`Application/Control Number: 10/101,863
`Art Unit: 2823
`
`Page 2
`
`DETAILED ACTION
`
`Claim Rejections - 35 USC § 102
`
`The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that
`
`form the basis for the rejections under this section made in this Office action:
`
`A personshall be entitled to a patent unless —
`
`(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, 8, 10-13 and 20 are rejected under 35 U.S.C. 102(b) as being
`
`anticipated by Smolanoff et al. (6,117,279).
`
`With respect to claim 1, Smolanoff et al. disclose providing pulsed DC power(21)
`
`througha filter (22) to a target (16) (Col. 5, lines 50-55); providing RF bias powerto a
`
`substrate (15) positioned opposite the target (Col. 5, lines 60-65); providing process gas
`
`between the target and the substrate (Col. 7, lines 25-28); wherein the filter protects a
`
`pulsed DC powersupply (21) from the bias power, and wherein a plasma is created by
`
`application of the pulsed DC powerto the target (Col. 6, lines 8-13); and wherein the
`
`film is deposited by exposure of the substrate to the plasma (Col. 6, lines 30-33).
`
`With respect to claim 8, Smolanoff et al. disclose wherein the process gas
`
`includes a mixture of oxygen and argon (Col. 7, lines 21-27).
`
`With respect to claim 10, Smolanoff et al. disclose wherein the process gas
`
`further includes nitrogen (Col. 7, lines 25-26).
`With respect to claim 11, Smolanoff et al. disclose wherein providing pulsed DC
`
`powerto a target includes providing pulsed DC powerto a target which has an area
`
`larger than that of the substrate (Seefig. 1).
`
`Ex. 1052, Page 973
`
`Ex. 1052, Page 973
`
`

`

`Application/Control Number: 10/101,863
`Art Unit: 2823
`
`Page 3
`
`With respect to claim 12, Smolanoff et al. disclose further including uniformly
`
`sweepingthe target with a magnetic field (Col. 6, lines 1-7).
`With respect to claim 13, Smolanoff et al. disclose wherein uniformly sweeping
`
`the target with a magnetic field includes sweeping a magnetin one direction across the
`
`target where the magnet extends beyond the target in the opposite direction (Col. 6,
`
`lines 1-6).
`With respect
`
`to claim 20, Smolanoff et al. disclose conditioning a target;
`
`preparing the substrate; adjusting the bias power to the substrate; setting the process
`
`gas flow; and applying pulsed DC powerto the target to deposit the film (Col. 5, line 55-
`
`Col. 7,line 50).
`
`Claim Rejections - 35 USC § 103
`
`The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all
`
`obviousnessrejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is not identically disclosed or described as set
`forth in section 102 ofthistitle, 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 madeto a person having ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the invention was made.
`
`Claims 2-6 are rejected under 35 U.S.C. 103(a) as being unpatentable over
`
`Smolanoff et al. as applied to claims 1, 8, 10-13 and 20 above, and further in view of
`
`Fukui et al. (5,755,938).
`
`With respect to claims 2-4 and 6, One of ordinary skill in the art would have been
`
`led to the recited temperature, DC power,
`
`time pulse and bias power to routine
`
`experimentation to achieve a desire layer
`
`thickness, device dimension, device
`
`Ex. 1052, Page 974
`
`Ex. 1052, Page 974
`
`

`

`Application/Control Number: 10/101,863
`Art Unit: 2823
`
`Page 4
`
`associated characteristics and device density on the finished wafer in view of the range
`
`of values disclosed.
`
`In addition, the selection of temperature, DC power, time pulse and bias power,
`
`its obvious becauseit is a matter of determining optimum process conditions by routine
`
`experimentation with a limited number of species of result effective variables. These
`
`claims are prima facie obvious without showing that
`
`the claimed ranges achieve
`
`unexpected results relative to the prior art range.
`
`In re Woodruff, 16 USPQ2d 1935,
`
`1937 (Fed. Cir. 1990). See also In re Huang, 40 USPQ2d 1685, 1688 (Fed. Cir.
`
`1996)(claimed ranges or a result effective variable, which do not overlap the prior art
`
`ranges, are unpatentable unless they produce a new and unexpected result which is
`
`different in kind and not merely in degree from the results of the prior art). See also In
`
`re Boesch, 205 USPQ 215 (CCPA) (discovery of optimum value of result effective
`
`variable in known processis ordinarily within skill or art) and In re Aller, 105 USPQ 233
`
`(CCPA 1995)
`
`(selection of optimum ranges within prior art general conditions is
`
`obvious).
`
`Note that the specification contains no disclosure of either the critical nature of
`
`the claimed temperature, DC power,
`
`time pulse and bias power or any unexpected
`
`results arising therefrom. Where patentability is said to be based upon particular
`
`chosen temperature, DC power, time pulse and bias power or upon another variable
`
`recited in a claim, the Applicant must show that the chosen temperature, DC power,
`
`time pulse and bias powerare critical.
`
`/n re Woodruf, 919 F.2d 1575, 1578, 16
`
`USPQ2d 1934, 1936 (Fed. Cir. 1990).
`
`Ex. 1052, Page 975
`
`Ex. 1052, Page 975
`
`

`

`Application/Control Number: 10/101 ,863
`Art Unit: 2823
`
`Page 5
`
`With respect to claim 5, Smolanoff et al. do not specifically disclose wherein the
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`filter is a band rejectfilter at the frequency of the bias power.
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`Fukui et al. disclose a sputtering process wherein the DC power supply (28) is
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`connected through a band-passfilter (27) at the frequency of the bias power.
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`It would have been within the scope of one of ordinary skill in the art to combine
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`the teachings of Smolanoff et al. and Fukui et al. to enable the filter type of Smolanoff et
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`al. to be the same according to the teachings of Fukui et al. because one of ordinary
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`skill in the art would have been motivated to look to alternative suitable types offilters
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`for the disclosed filter step of Smolanoff et al. and art recognized suitability for an
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`intended purpose has been. recognized to be motivation to combine. See MPEP
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`2144.07.
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`Claims 7 and 9 are rejected under 35 U.S.C. 103(a) as being unpatentable over
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`Smolanoff et al. as applied to:claims 1, 8, 10-13 and 20 above,and further in view of Le
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`et al. (2003/0077914).
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`Smolanoff et al. do not disclose wherein the film is an upper cladding layer of a
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`waveguide structure and the bias poweris optimized to provide planarization.
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`With respect to claim 7, Le et al. disclose wherein the film is an upper cladding
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`layer of a waveguide structure and the bias poweris optimized to provide planarization
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`Page 5, Paragraph [0075].
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`Ex. 1052, Page 976
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`Ex. 1052, Page 976
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`

`

`Application/Control Number: 10/101 ,863
`Art Unit: 2823
`
`Page 6
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`It would have been within the scope of one of ordinary skill in the art to combine
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`the teachings of Smolanoff etal. and Leetal. to enablethe film material of Smolanoff et
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`al. to be the same according to the teachings of Leet al. because one of ordinary skill in
`
`the art would have been motivated to look to alternative suitable film materials for the
`
`disclosed film formation step of Smolanoff et al. and art recognized suitability for an
`intended purpose has been recognized to be motivation to combine. See MPEP
`
`2144.07.
`
`With respect to claim 9, Le et al. disclose wherein the oxygen flow is adjusted to
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`adjust the index of refraction of the film (Page 5, Paragraph [0076]).
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`Allowable Subject Matter
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`Claims 14 and 21-24 are allowed.
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`Responseto Arguments
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`Applicant's arguments filed 12/5/05 have been fully considered but they are not
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`persuasive. Applicant argues that deposition is performed by exposing the substrate to
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`the secondary plasma, not the main plasma adjacent to the sputtering target. However,
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`the process of Col. 5- Col. 6 of Smolanoff et al. deposits a thin film on the substrate 15
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`by exposure to the main plasma (Col. 6, lines 30-33). The additional teachings of the
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`reference, like creating a secondary plasma, do not renderinvalid the teachings relied
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`on.
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`Ex. 1052, Page 977
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`Ex. 1052, Page 977
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`

`

`Application/Control Number: 10/101,863
`Art Unit: 2823
`
`Page 7
`
`Applicant argues that Smolanoff has enabled utilization of a DC power supply,
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`but not a pulsed DC power supply. However, Smolanoff discloses that a pulsed DC
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`power can be used and would workin the process described at Col. 5-Col. 6.
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`Conclusion
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`THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time
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`policy as set forth in 37 CFR 1.136(a).
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`A shortened statutory period for reply to this final action is set to expire THREE
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`MONTHS from the mailing date of this action.
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`In the event a first reply is filed within
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`TWO MONTHSof the mailing date of this final action and the advisory action is not
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`mailed until after the end of the THREE-MONTHshortened statutory period, then the
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`shortened statutory period will expire on the date the advisory action is mailed, and any
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`extension fee pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of
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`the advisory action.
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`In no event, however,will the statutory period for reply expire later
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`than SIX MONTHS from the mailing date of this final action.
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`Any inquiry concerning this communication or earlier communications from the
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`examiner should be directed to Michelle Est