Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 1 of 212
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`·-
`
`IDS Fonn PTO/SB/08: SubstilUtc 'fr form 14'1'1AIP
`
`INFORMATION DISC
`STATEMENT BY APPL
`(Use 11.1 many sheets as ntcusary)
`of
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`Allomey Docket N~mber
`
`Complete if Known
`10fl01,86l
`Marth 16, 2002
`ZHANQ, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-00
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`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book,
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`country where published.
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`..... . lu urnce J\.CUOD thvu. ___ --··J 11, "'vvu tn U.;:). f\ppucauon 1~0. i 111vv,oJu
`
`Translation•
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`EXAMINER: lni1ial if reference considered, whether or not citation is in confonnance with MPEP 609. Draw line through citation if not
`in conformance and not considered. Include copy of this fonn with next communication to applicant.
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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 2 of 212
`
`IDS Fonn PTO/SB/08: Substitute ror fonn 1449NPTO
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`INFORMATION DISCL
`STATEMENT BY APPLI--,,...,....
`(Use as many sheets as necessary)
`of
`
`Sheet
`
`Complete if Known
`10/101,863
`March 16, 2002
`ZHANG, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-00
`
`Examiner Nome
`Attomey Docket Number
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Pages. Columns, Lines, When:
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`US 6,290,821 Bl
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`No. 1
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`Translation6
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`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of the item (book,
`magazine, journal, serial, symposium, catalog, etc.), date, pagc(s), volume-issue number(s), publisher, city and/or
`country where published. ·
`I ~ I
`Response to Office Action filed February 20, 2002, for US Patent No. 6,506,289 (Atty. Docket
`No. 09140-0002-01).
`J
`Response to Office A~tion filed July 17, 2002, for US Patent No. 6,506,289 (Atty. Docket No.
`~~ if/
`09140-0002-01 ).
`_)~ Response to Office Action filed February 28, 2006 in U.S. Application·No. 09/903,081
`(Attorney Docket No. 09140-0014-00) .
`. AN~ Response to Office Action filed March 2, 2006 in U.S. Application No. 101789,953 (Attorney
`
`-1~
`
`( -
`
`Docket No. 09140.0030-00).
`
`EXAMINER: Initial if reference considecw:===confonnance with MPEP 609. Draw line through citation if not
`in confonnancc and not considered. Include copy of this fonn with next communication to applicant.
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`EV 860819633 US
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`Page 1121 of 1542
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`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 3 of 212
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`Applicant(sYPatent Under
`Reexamination
`ZHANG ET AL.
`
`Art Unit
`
`2823
`
`Page 1 of 1
`
`Classification
`
`204/192.12
`
`*
`*
`
`Notice of References Cited
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Application/Control No.
`
`10/101,863
`
`Examiner
`
`Michelle Estrada
`
`U.S. PATENT DOCUMENTS
`
`I
`
`Name
`
`10-2001
`
`Fu et al.
`
`A US-6,306,265 81
`B US-
`c US-
`D US-
`E US-
`F US-
`G US-
`H US-
`I US-
`US-
`J
`K US-
`L US-
`M US-
`
`*
`
`Document Number
`Country Code-Number-K.ind Code
`
`Date
`MM-YYYY
`
`Country
`
`Name
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`Classification
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`FOREIGN PATENT DOCUMENTS
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`NON-PATENT DOCUMENTS
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`Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
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`*
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`N
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`0
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`p
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`Q
`
`R
`s
`T
`
`u
`
`v
`
`w
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`x
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`*A copy of this reference 1s not being furnished with this Office action. (See MPEP § 707 .05(a).)
`Dates in MM-YYYY format are publication dates. Classifications may be US or foreign.
`
`U.S. Patent ard Trademark Office
`PT0-892 (Rev. 01·2001)
`
`Notice of References Cited
`
`Part of Paper No. 20060316
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`Page 1122 of 1542
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`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 4 of 212
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`Search Notes
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`I~ I ~ II I
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`~ ~
`
`AppllcaUon No.
`
`Appllcant(s)
`
`10/101,863
`Examiner
`
`ZHANG ET AL.
`Art Unit
`
`Michelle Estrada
`
`2823
`
`SEARCHED
`
`Class
`
`Subclass
`
`Date
`
`Examiner
`
`i/t'Y/cf i ~
`
`769
`
`770
`
`771
`
`787
`
`788
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`533
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`438
`
`438
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`438
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`438
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`438
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`427
`
`204
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`204
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`192.12
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`192.15
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`\1
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`\V
`211212004 ~ -
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`SEARCH NOTES
`(INCLUDING SEARCH STRATEGY)
`
`DATE
`
`EXMR
`
`211212004
`
`See Easl search attactled
`
`~
`Ste }1;f ~ 1/zivs jt
`~
`Set€~~
`8)u.1/~ Alf-
`'td..11icMd
`
`INTERFERENCE SEARCHED
`
`'et ass
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`Subclass
`
`Date
`
`EGminer
`
`U.S. Patent and Trademark Offioe
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`Part of Paper No. 20040211
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`Page 1123 of 1542
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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 5 of 212
`
`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.
`
`Page 1124 of 1542
`
`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 6 of 212
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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. (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-
`
`Page 1125 of 1542
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`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 7 of 212
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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. (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-
`
`Page 1126 of 1542
`
`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 8 of 212
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`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. (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-
`
`Page 1127 of 1542
`
`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 9 of 212
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`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-
`
`Page 1128 of 1542
`
`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 10 of 212
`
`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. 111100,856 (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-
`
`Page 1129 of 1542
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`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 11 of 212
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`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, 6-13, 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 37 C.F.R. §1.132, 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-
`
`Page 1130 of 1542
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`

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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 12 of 212
`
`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-
`
`Page 1131 of 1542
`
`

`

`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 13 of 212
`
`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, F ARABOW,
`GARRETT & DUNNER, L.L.P.
`
`Dated: June 12, 2006
`
`Attachment: Declaration ofDr. R.E. Demaray under 37 C.F.R. §1.132
`
`EXPRESS MAIL LABEL NO.
`EV 860818108 US
`
`-9-
`
`Page 1132 of 1542
`
`

`

`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 14 of 212
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`IN THE UNITED STATES PATENT 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 of Symmorphix, 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
`
`Page 1133 of 1542
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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 15 of 212
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`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-
`
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`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 16 of 212
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`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)
`dc 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-
`
`Page 1135 of 1542
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`

`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 17 of 212
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-00
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re Application of:
`
`ZHANG, Hongmei et al.
`
`Application No.: 1Oil01,863
`
`Filed: March 16, 2002
`
`For: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`)
`) Confirmation No.: 6938
`)
`
`-=--
`
`MAIL STOP AMENDMENT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`NINTH SUPPLEMENTAL INFORMATION DISCLOSURE STATEMENT
`UNDER 37 C.F.R. § 1.97(c)
`
`Pursuant to 37 C.F.R. §§ 1.56 and l.97(c), Applicants bring to the attention of the
`
`Examiner the documents on the attached listing. This Ninth Supplemental Information
`
`Disclosure Statement is being filed after the events recited in Section l.97(b) but, to the
`
`undersigned's knowledge, before the mailing date of either a Final action, Quayle action, or a
`
`Notice of Allowance. Under the provisions of 37 C.F.R. § 1.97(c), the Commissioner is hereby
`
`authorized to charge the fee of $180.00 to Deposit Account No. 06-0916 as specified by
`
`Section l.17(p).
`
`Copies of the listed foreign and non-patent literature documents are attached. Copies of
`
`the U.S. patents and patent publications are not enclosed.
`
`06/15/2006 NAHnED1 00000056 060916
`180.00 DA
`01 FC:1806
`
`10101863
`
`Page 1136 of 1542
`
`

`

`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 18 of 212
`
`Applicants respectfully request that the Examiner consider the listed documents and
`
`indicate that they were considered by making appropriate notations on the attached form.
`
`This submission does not represent that a search has been made or that no better art exists
`
`and does not constitute an admission that each or all of the listed documents are material or
`
`constitute "prior art." If the Examiner applies any of the documents as prior art against any
`
`claims in the application and Applicants determine that 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 claims of the present application.
`
`If there is any fee due in connection with the filing of this Statement, please charge the
`
`fee to our Deposit Account No. 06-0916.
`
`Respectfully submitted,
`
`FINNEGAN, HENDERSON, F ARABOW,
`ER, L.L.P.
`GARRETT &
`
`Dated: June 12, 2006
`
`EXPRESS MAIL LABEL NO.
`EV 860818108 US
`
`-2-
`
`Page 1137 of 1542
`
`

`

`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 19 of 212
`
`IDS Fonn PTO/SB/08: Substitute for fonn 1449A/PTO
`
`-
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Complete if Known
`10/101,863
`March 16, 2002
`ZHANG, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-00
`
`I
`
`2
`
`,~ : '14 INFORMATION DISCLOSURE
`0
`TATEMENT BY APPLICANT
`.'L 1~~' Lii
`(Use as many sheets as necessary)
`~~"
`Shee ' I
`I
`of
`1
`~ I:'
`~~ U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`
`Examiner
`Initials'
`
`Cite
`No.'
`
`Document Number
`Number-Kind Code2 (if kno1<n}
`us 4,082,569
`us 5,472,795
`us 5,645,626
`us 5, 702,829
`us 6,045,626
`US 6,673,716 Bl
`
`US 6,683,749 B2
`
`US 6,884,327 B2
`US 2002/0115252 Al
`
`Name of Patentee or
`Applicant of Cited Document
`
`Pages. Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`Issue or
`Publication Date
`MM-DD-YYYY
`04-04-1978
`
`Evans, Jr.
`
`12-05-1995
`
`Atita
`
`07-08-1997
`
`Edlund et al.
`
`12-30-1997
`
`Paidassi et al.
`
`04-04-2000
`
`Yano et al.
`
`01-06-2004
`
`01-27-2004
`
`04-26-2005
`
`08-22-2002
`
`D'Couto et al.
`Daby et al.
`
`Pan et al.
`Haukka et al.
`
`US 2003/0035906 Al
`
`02-20-2003
`
`Memarian et al.
`
`US 2004/0043557 Al
`
`US 2005/0048802 Al
`
`US 2005/0183946 Al
`
`US 2006/0054496 Al
`
`US 2006/0057283 Al
`
`03-04-2004
`
`03-03-2005
`
`08-25-2005
`
`03-16-2006
`03-16-2006
`
`Haukka et al.
`Zhang et al.
`
`Pan et al.
`Zhang et al.
`
`Zhang et al.
`Zhang et al.
`
`US 2006/0057304 Al
`
`03-16-2006
`04-06-2006
`Narasimhan et al.
`US 2006/0071592 Al
`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
`
`Examiner
`Initials'
`
`Cite
`No.'
`
`Foreif,'11 Patent Document
`
`FOREIGN PATENT DOCUMENTS
`Name of Patentee or
`Publication Date
`MM-DD-YYYY
`Applicant of Cited Document
`
`Pages, Columns, Lines,
`Where Relevant Passages or
`Relevant Figures Appear
`
`Translation•
`
`Country Code3 Numba4 Kind Code' (ifknov.n)
`JP 7-224379 A
`
`08-22-1995
`
`Ulvac Japan Ltd
`
`Abstract
`
`I E~aminer
`
`Signature
`
`I Date
`
`Considered
`
`EXAMINER: Initial if reference considered, whether or not citation 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.
`
`EXPRESS MAIL LABEL NO.
`EV 860818108 US
`
`Page 1138 of 1542
`
`

`

`Case 6:20-cv-00636-ADA Document 68 Filed 03/10/21 Page 20 of 212
`
`IDS Fonn PTO/SB/08: Substitute for fonn 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`I
`of
`2
`
`Sheet
`
`I
`
`Application Number
`Filing Date
`First Named Inventor
`Ari Unit
`Examiner Name
`Allorney Docket Number
`
`2
`
`Complete if Known
`10/101,863
`March 16, 2002
`ZHANG, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-00
`
`I
`
`Examiner
`Initials'
`
`Cite
`No. 1
`
`Translation6
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAP IT AL LETTERS), title of the article (when appropriate), title of the item (book,
`magazine, jownal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or
`country where published.
`BARBIER, D., "Performances and potential applications of erbium doped planar waveguide
`amplifiers and lasers," Proc. OAA, Victoria, BC, Canada, pp. 58-63 (July 21-23, 1997).
`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 r.f.
`magnetron sputtering," Thin Solid Films 287:104-109 (1996).
`Response to Final Office Action filed April 14, 2006, in U.S. Appl. No. 10/291,179 (Atty.
`Docket No. 9140.0001-00).
`Office Action mailed April 27, 2006, in U.S. Appl. No. 10/291, 179 (Atty. Docket No.
`9140.0001-00).
`Final Office Action mailed