Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 1 of 35
`
`
`
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`Exhibit 3
`
`
`
`
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`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 2 of 35
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`San Jose
`California 95110
`
`T: 408-453-9200
`F: 408-453-7979
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`Austin,TX
`Newport Beach, CA
`San Francisco, CA
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`d Box Patent Application
`- - Commissioner For Patents
`Washington, D. C. 20231
`Enclosed herewith for filing is a patent application, as follows:
`
`March 16, 2002
`
`~Jetven morn II
`I m·acpherson LLP
`
`Docket No.: M-12245 US
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`Inventor(s):
`Title:
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`_2_
`34
`4
`_1_
`27
`
`Zhang, Hongmei; Narasimhan, Mukundan; Mullapudi, Ravi; and Demaray, Richard E.
`Biased Pulse DC Reactive Sputtering of Oxide Films
`Return Receipt Postcard
`This Transmittal Letter ( in duplicate)
`page(s) Declaration For Patent Application and Power of Attorney (unsigned)
`page(s) Specification (not including claims)
`page(s) Claims
`page Abstract
`Sheet(s) of Drawings
`Applicant(s) assert(s) entitlement to small entity status for the attached patent application
`
`For
`Total Claims
`
`CLAIMS AS FILED (fees computed under 37 CFR §1.9(0)
`Number
`Number
`Filed
`Extra
`39
`9
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`Rate
`$ 9.00
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`Independent
`Claims
`(cid:143)
`Fee of ___ _ _ for the first filing of one or more
`multiple dependent claims per application
`(cid:143)
`Fee for Reguest for Extension of Time
`Please make the following charges to Deposit Account 19-2386:
`0 Total fee for filing the patent application in the amount of
`D The Commissioner is hereby authorized to charge any additional fees which may be
`required, or credit any overpayment to Deposit Account 19-2386.
`EXPRESS MAIL LABEL NO:
`EL941069152US
`
`$
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`525.00
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`Gary J. Edwards
`Attorney for Applicant(s)
`Reg. No. 41,008
`
`854416 vl
`
`DEMINT00000001
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 3 of 35
`Olp~
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`)
`) Confirination No.: 6938
`)
`
`In re Application of:
`
`ZHANG, Hongmei et al.
`
`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:
`
`AMENDMENT AND RESPONSE TO OFFICE ACTION
`
`In reply to the Office Action mailed March 22, 2006, Applicants propose that this
`
`application be amended as follows:
`
`Amendments to the Claims are reflected in the listing of claims in this paper beginning
`
`on page 2.
`
`Remarks/ Arguments follow the amendment sections of this paper beginning on page 6.
`
`Attachment to this amendment include Declaration ofR. E. Demaray under 37 C.F.R.
`
`§1.132.
`
`DEMINT00001124
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 4 of 35
`
`AMENDMENTS TO THE CLAIMS:
`
`This listing of claims will replace all prior versions and listings of claims in the
`
`application:
`
`1. (Cancelled)
`
`2. (Previously presented): The method of Claim 21, further including holding the temperature
`
`of the substrate substantially constant.
`
`3. (Previously presented): The method of Claim 21, wherein applying pulsed DC power through
`
`the filter includes supplying up to about 10 kW of power at a frequency of between about 40 kHz
`
`and about 350 kHz and a reverse time pulse between about 1.3 and 5 µs.
`
`4. (Previously presented): The method of Claim 21, wherein adjusting an RF bias power to the
`
`substrate includes supplying up to 1000 W of RF power to the substrate.
`
`5. (Canceled).
`
`6. (Previously presented): The method of claim 4, wherein the RF bias power is zero.
`
`7. (Previously presented): The method of Claim 21, wherein the film is an upper cladding layer
`of a waveguide structure and the RF bias power is optimized to provide planarization.
`
`8. (Previously presented): The method of Claim 21, wherein a process gas of the process gas
`
`flow includes a mixture of Oxygen and Argon.
`
`9. (Previously presented): The method of Claim 8, wherein the mixture is adjusted to adjust the
`
`index of refraction of the film.
`
`10. (Previously presented): The method of Claim 8, wherein the mixture further includes
`
`nitrogen.
`
`11. (Previously presented): The method of Claim 21, wherein applying pulsed DC power to the
`target includes adjusting pulsed DC power to a target which has an area larger than that of the
`
`substrate.
`
`-2-
`
`DEMINT00001125
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 5 of 35
`
`12. (Previously presented): The method of Claim 21, further including uniformly sweeping the
`
`target with a magnetic field.
`
`13. (Previously Presented): The method of Claim 12, wherein uniformly sweeping the target
`
`with a magnetic field includes sweeping a magnet in one direction across the target where the
`
`magnet extends beyond the target in the opposite direction.
`
`14. (Previously Presented): A method of depositing a film on a substrate, comprising:
`
`providing pulsed DC power through a filter to a target;
`
`providing RF bias power to a substrate positioned opposite the target; and
`
`providing process gas between the target and the substrate, and
`
`depositing a film on the backside of the target,
`
`wherein the filter protects a pulsed DC power supply from the bias power, and
`
`wherein a plasma is created between the target and the substrate.
`
`15.-20. (Cancelled).
`
`21. (Currently amended): A method of depositing a film on a substrate, comprising:
`
`conditioning a target;
`
`preparing the substrate;
`
`adjusting an RF bias power to the substrate;
`
`setting a process gas flow; and
`
`applying pulsed DC power to the target through a filter to create a plasma and deposit the
`
`film,
`
`wherein conditioning the target includes sputtering with the target in a metallic mode to
`
`remove the surface of the target and sputtering with the target in poisonous mode to prepare the
`
`surface, and
`
`wherein the filter is a band rejection filter at a frequency of the bias power.
`
`22. (Previously Presented): The method of Claim 21, wherein setting the process gas flow
`
`includes adjusting constituents in order to adjust the index of refraction of the film.
`
`23. (Previously Presented): The method of Claim 21, wherein applying pulsed DC power
`
`-3-
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`DEMINT00001126
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 6 of 35
`
`includes setting the frequency in order to adjust the index of refraction of the film.
`
`24. (Previously Presented): The method of Claim 21, further including adjusting a temperature
`
`of the substrate in order to adjust the index ofrefraction of the film.
`
`25.-39. (Canceled).
`
`40. (New): The method of claim 21, wherein the band rejection filter is a narrow band-pass
`
`filter.
`
`41. (New): The method of claim 21, wherein a bandwidth of the band rejection filter is about
`
`100 kHz.
`
`42. (New): The method of claim 21, wherein the frequency of the RF bias is about 2 MHz.
`
`43. (New): A method of depositing a film on a substrate, comprising:
`
`preparing the substrate;
`
`adjusting an RF bias power to the substrate;
`
`setting a process gas flow; and
`
`applying pulsed DC power to a target through a band rejection filter at a frequency of the
`
`bias power.
`
`44. (New): The method of claim 43, wherein a bandwidth of the band rejection filter is about
`
`100 kHz.
`
`45. (New): The method of claim 43, wherein the frequency of the RF bias is about 2 MHz.
`
`46. (New): The method of Claim 43, wherein applying pulsed DC power includes supplying up
`
`to about 10 kW of power at a frequency of between about 40 kHz and about 350 kHz and a
`
`reverse time pulse between about 1.3 and 5 µs.
`
`47. (New): The method of Claim 43, further including holding the temperature of the substrate
`
`substantially constant.
`
`48. (New): The method of Claim 43, wherein adjusting an RF bias power to the substrate
`
`includes supplying up to 1000 W of RF power to the substrate.
`
`-4-
`
`DEMINT00001127
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 7 of 35
`
`49. (New): The method of Claim 43, further including uniformly sweeping the target with a
`
`magnetic field.
`
`50. (New): The method of Claim 49, wherein uniformly sweeping the target with a magnetic
`
`field includes sweeping a magnet in one direction across the target where the magnet extends
`
`beyond the target in the opposite direction.
`
`-5-
`
`DEMINT00001128
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 8 of 35
`
`REMARKS
`
`Claims 2-14 and 21-24 are pending in this application. The Examiner has allowed claim
`
`14 and rejected claims 2-14 and 21-24. Applicants have amended claim 21, canceled claim 5,
`
`and added new claims 40-50. Applicants traverse the Examiner's rejection and request
`
`reconsideration of the pending claims.
`
`Information Disclosure Statement
`
`One of the references cited in the Seventh Supplemental Information Disclosure
`
`Statement submitted on February 27, 2006, was not initialed by the Examiner. Therefore,
`
`Applicants have listed such reference for the Examiner to initial in the enclosed Ninth
`
`Supplemental Information Disclosure Statement.
`
`Additionally, the Examiner states the Dayco reference "Response to Office Action filed
`
`February 17, 2006 in U.S. Application No. 11/100,856 (Attorney Docket No. 09140.0015-01)"
`
`was not attached with the Eighth Supplemental Information Disclosure Statement filed on
`
`February 28, 2006. Therefore, Applicants have provided a copy and re-listed such Dayco
`
`reference on the attached Ninth Supplemental Information Disclosure Statement for the
`
`Examiner's initials.
`
`Claim Rejections under 35 U.S.C. § 103
`
`The Examiner has rejected claims 2-13 and 21-24 under 35 U.S.C. § 103 over various
`
`combinations of Smolanoff et al. (U.S. Patent No. 6,117,279), Fu et al. (U.S. Patent No.
`
`6,3065,265), Fukui et al. (U.S. Patent No. 5,755,938), and Le et al. (U.S. Application No.
`
`2003/0077914). Specific rejections are further discussed below.
`
`In making a rejection under 35 U.S.C. § 103(a), the Examiner must establish the three
`
`elements of a prima facie case of obviousness. MPEP § 2142. First, the Examiner must show
`
`that the prior art references teach all elements of the claims. Second, the Examiner must show
`
`-6-
`
`DEMINT00001129
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 9 of 35
`
`that the prior art provides the reason or motivation to make the claimed combination. The mere
`
`fact that references can be combined does not create a prima facie case of obviousness.
`
`Moreover, the motivation to combine cannot come from the applicant's own disclosure but must
`
`come from the prior art itself. Additionally, no motivation to combine references exists where
`
`doing so would render one of the prior art references unsatisfactory for its intended purpose.
`
`Third , the Examiner must prove that there is a reasonable expectation of success in combining
`
`the prior art references. As further discussed below, the Examiner has not met this burden.
`
`I. Claims 2-4, 6-132 and 21-24 are allowable because the cited prior art does not collectively
`
`teach all of the elements of the claims.
`
`Claims 2-6, 8, 10-13, and 21-24
`
`The Examiner has rejected claims 8, 10-13, and 21 under 35 U.S.C. 103(a) as being
`
`unpatentable over Smolanoff et al. (6,117,279) in view of Fu et al. (6,306,265). Claims 2-6 and
`
`22-24 are rejected over Smolanoff et al. in view of Fu et al. as applied to claims 8, 10-13, and 21
`
`and further in view of Fukui et al. (5,755,938). Claim 21 has been amended to recite "a band
`
`rejection filter at a frequency of the bias power," which is substantially the limitation of claim 5.
`
`Claim 5 has been canceled.
`
`As the Examiner states, Smplanoff does not teach "a band rejection filter at a frequency
`
`of the bias power," as is recited in claim 21. (See, Office Action, page 5). As stated in the
`
`Declaration of Ernest Demeray filed with this amendment under 3 7 C.F .R. § 1.13 2, the filter
`
`protecting the pulsed DC power supply from the RF power of the bias is an aspect of the claimed
`
`invention. The filter must pass the pulsed DC signal without unduly affecting the shape of that
`
`signal while rejecting the RF power. Therefore, the filter passes all frequencies except for the
`
`-7-
`
`DEMINT00001130
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 10 of 35
`
`frequency of the bias power itself. As stated in the Declaration of Ernest Demeray, other filter
`
`designs resulted in a distortion of the pulsed DC signal or in leakage of RF power back to the
`
`pulsed DC power supply -- resulting in the catastrophic failure of the power supply.
`
`The Examiner relies on Fukui for this element. However, Fukui does not teach a "band
`
`rejection filter at a frequency of the bias power." As stated in _Fukui,
`
`[ a ]lso connected to the first electrode 20 is a de power supply 28
`through a band-pass filter 27 such as a low-pass filter for
`adjustment of impedance. The band-pass filter 27 serves to adjust
`the circuit impedance to have an infinite value so that no RF waves
`are superposed on a de power from the de power supply 28.
`
`(Fukui, col. 6, lines 31-36). Fukui teaches a band pass filter, specifically a low-pass filter, which
`
`would not protect the DC power supply from RF and which would unreasonably distort the
`
`pulsed-de shape. Further, there is no indication that the band-pass filter of Fukui is related to the
`
`frequency of the bias power supply. A band pass filter, below at or above the frequency of the
`
`RF bias, will not protect the pulsed DC power supply from catastrophic failure as a result of the
`
`RF power. Further, a band pass filter does not allow the broad frequency range required for the
`
`square wave of the pulsed-DC supply to reach the substrate.
`
`Therefore, as discussed above, claim 21 is allowable over Smollanoff, Fu, and Fukui.
`
`Claims 2-4, 6-13, 22-24, and new claims 40-41 depend from claim 21 and are therefore
`
`allowable for at least the same reasons as is claim 21.
`
`Claims 7 and 9
`
`The Examiner rejected claims 7 and 9 under 35 U.S.C. § 103(a) as being unpatentable
`
`over Smolanoff et al. in view of Fu et al. as applied to claims 8, 10-13, and 21, and further in
`
`view of Le et al. (2003/0077914 ). Claims 7 and 9 depend from claim 21. Le does not cure the
`
`defects in the teachings of Smolanoff, Fu, or Fukui.
`
`-8-
`
`DEMINT00001131
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 11 of 35
`
`New Claims
`
`Claims 42-50 have been added to this application. Claim 42 is similar in scope to claim
`
`21 except for the limitation regarding conditioning the target. Claims 43-50 are similar to
`
`dependent claims from claim 21. Therefore, claims 42-50 are allowable over the cited art.
`
`Conclusion
`
`In view of the foregoing remarks, Applicants submit that this claimed invention, as
`
`amended, is neither anticipated nor rendered obvious in view of the prior art references cited
`
`against this application. Applicants therefore request the entry of this Amendment, the
`
`Examiner's reconsideration and reexamination of the application, and the timely allowance of the
`
`pending claims.
`
`Please grant any extensions of time 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: June 12, 2006
`
`Attachment: Declaration of Dr. R.E. Demaray under 3 7 C.F .R. § 1.132
`
`EXPRESS MAIL LABEL NO.
`EV 860818108 US
`
`-9-
`
`DEMINT00001132
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 12 of 35
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`IN THE UNITED STA TES PA TENT AND TRADEMARK OFFICE
`
`In re Application of:
`
`ZHANG, Hongmei et al.
`
`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
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`)
`) Confirmation No.: 6938
`)
`
`Declaration of Dr. R. E. Demaray under 37 C.F.R. §1.132
`
`I, Dr. R. Ernest Demaray, declare as follows:
`
`1. I am currently the President and Chief Technology Officer ofSymmorphix, Inc., and have
`served as the Chairman of the Board, the Chief Executive Officer, and the Chief Technology
`Officer during the history of Symmorphix, Inc. I have been with Symmorphix for the past eight
`years. I was previously employed at Applied Materials, Inc., of Santa Clara as General Manager
`and Managing Director of the PVD division of Applied Komatsu. Since receiving my B.S. in
`Physical Chemistry in 1972, I have worked in the semiconductor equipment field for more than
`34 years. I received a Ph.D. in Chemical Physics from the University of California at Santa Cruz
`
`in 1977.
`
`2. I am an inventor of U.S. Application Serial No. 10/101, 863. At Symmorphix, my co(cid:173)
`inventors and I developed a pulsed-DC, RF-biased deposition apparatus and various deposition
`methods utilized in that apparatus for deposition of thin film oxides and dielectrics. To my
`knowledge, the combination of pulsed-DC with RF bias applied to the substrate of an RF power
`
`DEMINT00001133
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 13 of 35
`
`applied to the deposition chamber had not been disclosed or demonstrated previous to my
`
`invention.
`
`3. During development of the deposition chambers and methods claimed in this application, we
`
`damaged a number (more than six units) of pulsed-DC power supplies due to RF bias power
`
`coupling through the plasma into the pulsed-de power supply. We utilized the Advanced Energy
`
`Pinacle Plus power supply, which produced a 10 kW square wave at a frequency of from 180
`
`kHz to 300 KHz together with a pulse reverse time from 1.3 to 5.0 µsec. Utilizing a band-pass
`
`filter between the pulsed-DC power supply and the plasma, however, will not protect the pulsed(cid:173)
`
`DC power supply from the RF bias and will also unduly distort the square-wave of the pulsed(cid:173)
`
`DC power signal applied to the target, which detrimentally affects the deposition conditions.
`
`4. My co-inventors and I developed the band-rejection filter described in the specification and
`
`claimed in U.S. Application Serial No. 10/101, 863 to overcome the problem of catastrophic
`
`failure of the pulsed-DC power supply output electrometer circuit during operation. We
`
`discovered that a band-rejection filter, which is a filter that passes all of the frequencies of the
`
`square wave power supply except within a narrow band centered on the RF frequency of the RF
`
`bias, protected the pulsed-DC power supply from the RF energy while not distorting the pulses
`
`generated by the pulsed-DC power supply applied to the target.
`
`5. I have further studied the art cited by the Examiner, namely Smolanoff et al. (U.S. Patent No.
`
`6,117,279) (Smolanoff), Fu et al. (U.S. Patent No. 6,306,265) (Fu), Fukui et al. (U.S. Patent No.
`
`5,755,938) (Fukui), and Le et al. (U.S. Publication No. 2003/0077914) (Le). None of these
`
`references teach a pulsed-DC system that allows an RF bias in a fashion that would not damage
`
`the pulsed-DC power supply if actually implemented as shown and described. None of these
`
`references describe a band-rejection filter at a frequency of the bias power.
`
`6. Smolanoff discloses a reactor where the target is coupled through a filter to a DC source. No
`
`description of the filter is provided. However, in the chamber described in Smolanoff, RF power
`
`can be supplied to the target, to a secondary plasma generated below the target, and to the
`
`-2-
`
`DEMINT00001134
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 14 of 35
`
`substrate itself. A pulsed-DC power supply without the protection disclosed in the present
`application would catastrophically fail under these conditions. .
`
`7. Fu describes a PVD sputtering chamber with no pulsed-de and no filter to protect a pulsed-de
`power supply. Therefore, Fu also does not describe a band rejection filter centered at the
`
`frequency of an RF bias.
`
`8. Fukui describes a band-pass filter (specifically a low pass filter) coupled between the pulsed(cid:173)
`de power supply and the filter. Again, a band-pass filter does not protect the pulsed-DC power
`supply, as is required, and will distort the pulsed-DC square wave. Further, Fukui indicates that
`"[t]he band-pass filter 27 serves to adjust the circuit impedance to have an infinite value so that
`no RF waves are superposed on a de power from the de power supply 28." (Fukui, col. 6, lines
`33-36). This is quite the opposite of what occurs in our applications, where the RF signal is
`superimposed on the pulsed DC power signal in the plasma, to which the substrate is exposed.
`Therefore, Fukui does not teach a band-rejection filter at the frequency of the RF bias.
`
`9. Le describes neither a biased power nor a filter and simply teaches an un-biased deposition
`process. Therefore, Le does not teach a band rejection filter.
`
`10. I hereby declare that all statements made herein of my own knowledge are true and that all
`statements made on information and belief are believed to be true; and further that these
`statements were made with the knowledge that willful false statements and the like so made are
`punishable by fine or imprisonment, or both, under Section 1001 of Title 18 of the United States
`Code, and that such willful false statements may jeopardize the validity of the application or any
`
`patent issued thereon.
`
`-3-
`
`DEMINT00001135
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 15 of 35
`
`UNITED STATES PATENT AND 'TRADEMARK OFFICE
`
`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.
`
`FILING DATE
`
`10/101,863
`
`03/16/2002
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`Hongmei Zhang
`
`9140.0016-00
`
`6938
`
`01/23/2007
`7590
`22852
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER
`LLP
`90 l NEW YORK A VENUE, NW
`WASHINGTON, DC 20001-4413
`
`EXAMINER
`
`ESTRADA, MICHELLE
`
`ART UNIT
`
`2823
`
`MAIL DATE
`
`01/23/2007
`
`PAPER NUMBER
`
`DELIVERY MODE
`
`PAPER
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PTOL-90A (Rev. 10/06)
`
`DEMINT00001293
`
`

`

`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 16 of 35
`
`Interview Summary
`
`Application No.
`
`10/101,863
`
`Examiner
`
`Michelle Estrada
`
`Applicant(s)
`
`ZHANG ET AL.
`
`Art Unit
`
`2823
`
`All participants (applicant, applicant's representative, PTO personnel):
`
`( 1) Michelle Estrada.
`
`(2) Gary Edwards.
`
`Date of lnteNiew: 18 January 2007.
`
`(3)Richard Demaray.
`
`(4)Hongmei Zhang.
`
`Type: a)~ Telephonic b)D Video Conference
`c)D Personal [copy given to: 1)0 applicant 2)0 applicant's representative]
`
`Exhibit shown or demonstration conducted: d)D Yes
`If Yes, brief description: __ .
`
`e)~ No.
`
`Claim(s) discussed: 21 and 43.
`
`Identification of prior art discussed: Smolanoff et al ..
`
`Agreement with respect to the claims f)~ was reached. g)D was not reached. h)D NIA.
`
`Substance of lnteNiew including description of the general nature of what was agreed to if an agreement was
`reached, or any other comments: Applicants explained the basis of the invention and the difference over Smolanoff
`reference with respect to the pulsed DC power. Applicants will amend claims 21 and 43 to further clarify the
`invention. Further consideration and search would be needed for the new limitations in the claims.
`
`(A fuller description, if necessary, and a copy of the amendments which the examiner agreed would render the claims
`allowable, if available, must be attached. Also, where no copy of the amendments that would render the claims
`allowable is available, a summary thereof must be attached.)
`
`THE FORMAL WRITTEN REPLY TO THE LAST OFFICE ACTION MUST INCLUDE THE SUBSTANCE OF THE
`INTERVIEW. (See MPEP Section 713.04). If a reply to the last Office action has already been filed, APPLICANT IS
`GIVEN A NON-EXTENDABLE PERIOD OF THE LONGER OF ONE MONTH OR THIRTY DAYS FROM THIS
`INTERVIEW DATE, OR THE MAILING DATE OF THIS INTERVIEW SUMMARY FORM, WHICHEVER IS LATER, TO
`FILE A STATEMENT OF THE SUBSTANCE OF THE INTERVIEW. See Summary of Record of lnteNiew
`requirements on reverse side or on attached sheet.
`
`Examiner Note: You must sign this form unless it is an
`Attachment to a signed Office action.
`
`Examiner's signature, if required
`
`U.S. Patent ard Trademark Office
`PTOL-413 (Rev. 04-03)
`
`Interview Summary
`
`Paper No. 20070118
`
`DEMINT00001294
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`

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`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 17 of 35
`
`-
`
`?ff'~.-j
`
`PATEN,r·
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`)
`) Confirmation No.: 6938
`)
`
`re Application of:
`
`ZHANG, Hongmei et al.
`
`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:
`
`AMENDMENT AND RESPONSE TO OFFICE ACTION
`
`In reply to the Office Action mailed September 6, 2006, and the Interview Summary,
`
`mailed January 23, 2007, the period for response having been extended to February 6, 2007, by a
`
`request for extension of one month with authorization for the Commissioner to charge the fee to
`
`Deposit Account No. 06-0916, Applicants propose that this application be amended as follows:
`
`Amendments to the Claims are reflected in the listing of claims in this paper beginning
`
`on page 2.
`
`Remarks/ Arguments follow the amendment sections of this paper beginning on page 6.
`
`DEMINT00001295
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`

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`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 18 of 35
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`AMENDMENTS TO THE CLAIMS:
`
`This listing of claims will replace all prior versions and listings of claims in the
`
`application:
`
`1. (Cancelled)
`
`2. (Previously presented): The method of Claim 21, further including holding the temperature
`
`of the substrate substantially constant.
`
`3. (Previously presented): The method of Claim 21, wherein applying pulsed DC power through
`
`the filter includes supplying up to about 10 kW of power at a frequency of between about 40 kHz
`
`and about 350 kHz and a reverse time pulse between about 1.3 and 5 µs.
`
`4. (Previously presented): The method of Claim 21, wherein adjusting an RF bias power to the
`
`substrate includes supplying up to 1000 W of RF power to the substrate.
`
`5. (Canceled).
`
`6. (Previously presented): The method of claim 4, wherein the RF bias power is zero.
`
`7. (Currently amended): The method of Claim 21, wherein the film is an. upper claddiHg layer of
`
`a waveguide structure and the RF bias power is optimized to provide planarization.
`
`8. (Previously presented): The method of Claim 21, wherein a process gas of the process gas
`
`flow includes a mixture of Oxygen and Argon.
`
`9. (Previously presented): The method of Claim 8, wherein the mixture is adjusted to adjust the
`
`index of refraction of the film.
`
`10. (Previously presented): The method of Claim 8, wherein the mixture further includes
`
`nitrogen.
`
`11. (Previously presented):· The method of Claim 21, wherein applying pulsed DC power to the
`
`target includes adjusting pulsed DC power to a target which has an area larger than that of the
`
`substrate.
`
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`DEMINT00001296
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`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 19 of 35
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`12. (Previously presented): The method of Claim 21, further including uniformly sweeping the
`
`target with a magnetic field.
`
`13. (Previously Presented): The method of Claim 12, wherein uniformly sweeping the target
`
`with a magnetic field includes sweeping a magnet in one direction across the target where the
`
`magnet extends beyond the target in the opposite direction.
`
`14.-20. (Cancelled).
`
`21. (Currently amended): A method of depositing [[a]] an oxide film on a substrate, comprising:
`
`conditioning a target;
`
`preparing the substrate;
`
`adjusting an RF bias power to the substrate;
`
`setting a process gas flow; and
`
`applying pulsed DC power to the target through a filter such that the target voltage
`
`oscillates between positive and negative voltages to create a plasma and deposit the oxide film,
`
`wherein conditioning the target includes sputtering with the target in a metallic mode to
`
`remove the surface of the target and sputtering with the target in poisonous mode to prepare the
`
`surface, and
`
`wherein the filter is a band rejection filter at a frequency of the bias power.
`
`22. (Previously Presented): The method of Claim 21, wherein setting the process gas flow
`
`includes adjusting constituents in order to adjust the index of refraction of the film.
`
`23. (Previously Presented): The method of Claim 21, wherein applying pulsed DC power
`
`includes setting the frequency in order to adjust the index of refraction of the film.
`
`24. (Previously Presented): The method of Claim 21, further including adjusting a temperature
`
`of the substrate in order to adjust the index of refraction of the film.
`
`25.-39. (Canceled).
`
`40. (Previously presented): The method of claim 21, wherein the band rejection filter is a
`
`-3-
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`DEMINT00001297
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`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 20 of 35
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`narrow band-pass filter.
`
`41. (Previously presented): The method of claim 21, wherein a bandwidth of the band rejection
`
`filter is about 100 kHz.
`
`42. (Previously presented): The method of claim 21, wherein the frequency of the RF bias is
`
`about 2 MHz.
`
`43. (Currently amended): A method of depositing [[a]] an oxide film on a substrate, comprising:
`
`preparing the substrate;
`
`adjusting an RF bias power to the substrate;
`
`setting a process gas flow; and
`
`applying pulsed DC power to a target through a band rejection filter at a frequency of the
`
`bias power such that the target voltage oscillates between positive and negative voltages and an
`
`oxide film is deposited on the substrate.
`
`44. (Previously presented): The method of claim 43, wherein a bandwidth of the band rejection
`
`filter is about 100 kHz.
`
`45. (Previously presented): The method of claim 43, wherein the frequency of the RF bias is
`
`about 2 MHz.
`
`46. (Previously presented): The method of Claim 43, wherein applying pulsed DC power
`
`includes supplying up to about 10 kW of power at a frequency of between about 40 kHz and
`
`about 350 kHz and a reverse time pulse between about 1.3 and 5 µs.
`
`47. (Previously presented): The method of Claim 43, further including holding the temperature
`
`of the substrate substantially constant.
`
`48. (Previously presented): The method of Claim 43, wherein adjusting an RF bias power to the
`
`substrate includes supplying up to 1000 W of RF power to the substrate.
`
`49. (Previously presented): The method of Claim 43, further including uniformly sweeping the
`
`target with a magnetic field.
`
`-4-
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`DEMINT00001298
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`Case 6:20-cv-00636-ADA Document 48-6 Filed 02/16/21 Page 21 of 35
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`50. (Previously presented): The method of Claim 49, wherein uniformly sweeping the target
`
`with a magnetic field includes sweeping a magnet in one direction across the target where the
`
`magnet extends beyond the target in the opposite direction.
`
`51. (New): A method of depositing an oxide film on a substrate, comprising:
`
`providing a process gas between the substrate and a target;
`
`applying an RF bias power to the substrate;
`
`applying pulsed DC power to the target such that the target voltage oscillates between
`
`positive and negative voltages; and
`
`filtering the pulsed DC power through a narrow band rejection filter at a frequency of the
`
`bias power,
`
`wherein the oxide film is deposited on the substrate.
`
`52. (New): The method of claim 51, wherein the process gas includes one or more gasses
`
`chosen from the group consisting of Ar, N2, 02, C2F6, CO2, CO, NH3, NO, and halide containing
`
`gasses.
`
`53. (New): The method of claim 51, wherein the target is a metal