Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 1 of 156
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`EXPRESS MAIL NO. EV 727732357 US
`Complete if Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmel
`2823
`ESTRADA, Michelle
`9140.0016-01
`
`Application Number
`Filing Date
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`2
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`Cite
`No.1
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`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
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`MM-00.YYYY
`US 2003/0141186 A1 07-31- 2003 Wang et al.
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`US 2001/041460 A1
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`us 6,232,242
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`05-15-2001
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`us 5,738,731 (09-00) 04-04-1998
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`us 5,538,796
`0]:;.2~199§ .• Schaffer
`,..., 4A • •~w 1 -Weit-Vol I YY'lttn Y\.
`us 5,309,302
`us 5,296,089
`Chen etal.
`03-22-1994
`us 5, 173,271
`12-22-1992
`us 4,587 ,225
`05-06-1986
`Claussen
`06-30-1987
`RE 32,449
`I
`q
`p ublished U.S. Patent A pp lications is not re uired.
`Nol 1: Submission of co les of U.S. Patents and
`p
`
`Chen etal.
`Tsukuma et al.
`
`'-"
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`Examiner
`Initials·
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`Foreign Patent Document
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`FOREIGN PATENT DOCUMENTS
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`I V<Clllo UU<CI r'I. I -
`
`- •
`
`EP 1068899 A 1
`
`EP 0 639 655 A1
`EP 0 652 308 A2
`JP 7-233469
`
`WO 00/21898 A1
`
`- ....- ---
`-
`01-17-2001
`
`.._ _..__.
`
`02-22-1995
`10-13-1994
`09-05-1995
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`04/20/2000
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`Nippon Sheet Glass
`Co., Ltd.
`Asahi Glass Co, Ltd.
`Mega Chips Corp.
`Asahi Glass Co, Ltd.
`
`Samsung Electronics
`Co.
`
`Date
`Considered
`
`Pages, Columns. Lines,
`Where Relevant Passages
`or Relevant Figures
`Appear
`
`Translation9
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`-
`
`EXAMINER: Initial if reference nsidered, 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.
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`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 2 of 156
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`r '
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`IDS Fann PTOISB/08: SubsliMe for fonn 1449A/PTO
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`INFORMATION DISCLOSURE
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`2
`of
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`EXPRESS MAIL NO. EV 727732357 US
`Complete if Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmel
`2823
`ESTRADA, Michelle
`9140.0016-01
`
`Application Number
`Filing Date
`First Named Inventor
`Arl Unit
`Examiner Name
`Attorney Docket Number
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`2
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`Examiner Cite
`No.1
`Initials'
`
`Translation'
`
`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, page(s), volume-issue number(s),
`publisher, city and/or countsy where published.
`Crowder, et al., "Low-Temperature Single-Crystal Si TFT's Fabricated on Si Films
`Processed via Sequential Lateral Solidification," IEEE, vol. 19, no. 8 (August 1998),
`pages 306-308.
`Greene et al., "Morphological and electrical properties of rf sputtered Y203-doped Zr02
`thin films," J. Vac. Sci. Tecnol., vol. 13, no. 1 (Jan/Feb 1976), pages 72-75.
`Hwang, Man-Soo et al., "The effect of pulsed magnetron sputtering on the properties
`of indium tin oxide thin films," Elsevier Science B.V., P. 29-33, (2003).
`Im, et al. "Controlled Super-lateral Growth of Si Films for Microstructural Manipulation
`and Optimization," Materials Science Program (1998), pages. 603-617.
`Im, et al., "Crystalline Si Films for Integrated Active-Matrix LiquidCrystal Displays,"
`MrS Bulletin (March 1996), pages. 39-48.
`Im, et al., "Single-crystal Si films for thin-film transistor devices," American Institute of
`Physics (1997), pages. 3434-3436.
`Tukamoto, H. et al., "Electronic Conductivity of LiCoO, and Its Enhancement by
`Magnesium Doping," J. Electrochem. Soc., vol. 44, no. 9, pages 3164-3168
`(September 1997).
`Response to Office Action filed on March 14, 2005 in U.S. Serial No. 10/291, 179
`(Attorney Docket No. 09140-0001-00).
`Office Action issued on June 15, 2005 in U.S. Serial No.10/291,179
`(Attomey Docket No. 09140-0001-00).
`Office Action issued on March 17, 2005 in U.S. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`Response to Office Action filed on June 17, 2005 In U.S. Serial No. 09/903,081
`(Attorney Docket No. 09140-0014-00).
`
`(Attorney Docket No. 09140-0014-00).
`Office Action dated January 13, 2005, received in Application No. 10/101,863
`(Attorney Docket No. 09140.0016-00).
`Response to office Action filed on June 10, 2005 in U.S. Serial No. 10/101,863
`(Attorney Docket No. 09140.0016-00).
`Office Action issued on March 14, 2005 in U.S. Serial No. 1on89,953
`(Attorney Docket No. 09140-0030-00).
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`(. hf ~ Office Action issued March 24, 2005 in U.S. Application No. 10/851,542 (Attorney
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`Docket No. 09140.0033-00).
`
`'
`
`EXAMINER: Initial if reference'=· whether or not citation Is In confonnance with MPEP 609. Draw line through
`citation if not in confonnance and not considered. Include copy of this fonn with next communication to applicant.
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`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 3 of 156
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`INFORMATION DISCLO
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`of
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`EXPRESS MAIL NO. EV 758329240 US
`Complete If Known
`10/954,182
`October 1, 2004
`Hongmei ZHANG
`2823
`ESTRADA. Michelle
`9140.0016-01
`
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Cite
`No.1
`
`)
`
`'J
`l.<
`
`Examiner
`Initials
`/
`
`( 'r-ff
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Pages, Columns, Lines, Where
`Name of Patentee or
`Document Number
`Issue or
`Rch:vant Passages or Relevant
`Applicant of Cited Document
`Publication Date
`Number-Kind Code2 (if kno'MI)
`MM-DD-YYYY
`Fi~sAppear
`US 2002/0076133 Al
`06-20-2002
`Li et al.
`us 5,478,456
`Humpal et al.
`12-26-1995
`I
`'/ '
`........ /
`US 6,846,765 B2
`Imamura et al.
`01-25-2005
`.....
`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
`
`FOREIGN PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM·DD-YYYY
`Applicant of Cited Docwncnt
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`Foreign Patent Document
`Countiy Code> Numbcr4 Kind Code5 (If ...,,.JI)
`
`Pages, Columns. Uncs.
`Where Rch:vant Passagi:s or
`Relevant Figures Appear
`
`Translation'
`
`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, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue numba{s), publisher, city and/or
`country where published.
`DOREY, R.A., "Low temperature micromoulding of functional ceramic devices," Grant
`summary for GR/S84156/0l for the UK Engineering and Physical Sciences Research Council, I
`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 4, 2005, in U.S. Application No. 10/101,863 (Attorney Docket)
`No. 09140.0016-00).
`Office Action issued on August 8, 2005 in U.S. Application No. 10/101,341 (Attorney Docket 1
`No. 09140-0017-00).
`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 March 24, 2005 in U.S. Application No. 10/851,542 (Attorney Docket 1
`No. 09140-0033-00).
`.,.
`Response to Office Action filed July 25, 2005 in U.S. Application No. 10/851,542 (Attorney J
`Docket No. 09140-0033-00).
`Office Action issued on October 19, 2005 in U.S. Application No. 10/851,542 (Attorney
`Docket No. 09140.0033-00).
`
`/
`
`.J
`
`Examiner
`Initials'
`
`Cite
`No. 1
`
`Examiner
`Initials•
`
`Cite
`No.1
`
`(J
`
`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.
`
`I oate
`
`Considered
`
`Page 632 of 1053
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`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 4 of 156
`
`Applicant(sYPatent Under
`Reexamination
`ZHANG ET AL.
`
`Art Unit
`
`2823
`
`Page 1 of 1
`
`Classification
`
`438/656
`
`*
`*
`
`Notice of References Cited
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Application/Control No.
`
`10/954, 182
`
`Examiner
`
`Michelle Estrada
`
`U.S. PATENT DOCUMENTS
`
`Name
`
`01-2004
`
`D'Couto et al.
`
`A US-6,673, 716 81
`B US-
`c US-
`D US-
`E us-
`F US-
`G US-
`H US-
`US-
`I
`J US-
`K US-
`US-
`
`L
`M US-
`
`*
`
`Document Number
`Country Code-Number-Kind Code
`
`Date
`MM-YYYY
`
`Country
`
`Name
`
`Classification
`
`FOREIGN PATENT DOCUMENTS
`
`*
`
`N
`
`0
`
`p
`
`Q
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`R
`s
`T
`
`u
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`v
`
`w
`
`NON-PATENT DOCUMENTS
`
`Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
`
`x
`. A copy of this reference 1s not being furnished with this Office action. (See MPEP § 707.0S(a).)
`
`Dates in MM-YYYY format are publication dates. Classifications may be US or foreign.
`
`U.S. Patent and Trademark Office
`PT0-892 (Rev. 01-2001)
`
`Notice of References Cited
`
`Part of Paper No. 20060306
`
`Page 633 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 5 of 156
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-01
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`) Confirmation No.: 9873
`)
`)
`
`In re Application of:
`
`ZHANG, Hongmei et al.
`
`Application No.: 10/954,182
`
`Filed: October 1, 2004
`
`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 9, 2006, the period for response having been
`
`extended to August 9, 2006, by a request for extension of two months and authorization for the
`
`Commissioner to charge the fee to deposit account, please amend the above-identified
`
`application as follows:
`
`Amendments to the Claims are reflected in the listing of claims that begins on page 2 of
`
`this paper.
`
`Remarks/ Arguments follow the amendment sections on page 6 of this paper.
`
`Page 634 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 6 of 156
`
`AMENDMENTS TO THE CLAIMS:
`
`This listing of claims will replace all prior versions and listings of claims in the
`
`application:
`
`Claims 1-40 (Canceled).
`
`Claim 41 (Previously presented): The method of claims 59, 60, or 85, wherein the target
`
`is a metallic target and the process gas includes oxygen.
`
`Claim 42 (Currently amended): The method of claims 43, 59, 60, or 85, wherein the
`
`target is a metallic target and the process gas includes one or more of a set consisting of Ni, NH3,
`
`CO, NO, C02, halide containing gasses.
`
`Claim 43 (Currently amended): The fflethea ef elaiffls §9, 0Q, er 83, A method of
`
`depositing a film on a substrate, comprising:
`
`providing a process gas between a target and a substrate:
`
`providing pulsed DC power to the target through a narrow band-rejection filter:
`
`providing a magnetic field to the target; and
`
`wherein a material is deposited on the substrate,
`
`wherein the target is a ceramic target.
`
`Claim 44 (Canceled).
`
`Claim 45 (Currently amended): The method of claims 43, 59, 60, or 85, wherein the
`
`magnetic field is provided by a moving magnetron.
`
`Claim 46 (Currently amended) The method of claims 43, 59, 60, or 85, further including
`
`holding the temperature of the substrate substantially constant.
`
`Claim 47 (Currently amended): The method of claims 43, 59, 60, or 85, wherein the
`
`process gas includes a mixture of Oxygen and Argon.
`
`-2-
`
`Page 635 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 7 of 156
`
`Claim 48 (Currently amended): The method of claims 43, 59, 60, or 85, wherein the
`
`Oxygen flow is adjusted to adjust the index ofrefraction of the film.
`
`Claim 49 (Currently amended): The method of claims 43, 59, 60, or 85, wherein the
`
`process gas further includes nitrogen.
`
`Claim 50 (Currently amended): The method of claims 43. 59, 60, or 85, wherein
`
`providing pulsed DC power to a target includes providing pulsed DC power to a target which has
`
`an area larger than that of the substrate.
`
`Claim 51 (Currently amended): The method of claims 43, 59, 60, or 85, further including
`
`uniformly sweeping the target with a magnetic field.
`
`Claim 52 (Previously presented): The method of claim 51 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.
`
`Claim 53 (Currently amended): The method of claims 43, 59, 60, or 85, wherein the
`
`target is an alloyed target.
`
`Claim 54 (Previously presented): The method of claim 53 wherein the alloyed target
`
`includes one or more rare-earth ions.
`
`Claim 55 (Previously presented): The method of claim 53 wherein the alloyed target
`
`includes Si and Al.
`
`Claim 56 (Previously presented): The method of claim 53 wherein the alloyed target
`
`includes one or more elements taken from a set consisting of Si, Al, Er, Yb, Zn, Ga, Ge, P, As,
`
`Sn, Sb, Pb, Ag, Au, Ce, Pr, Nd, Pm, Sm, Eu, Gd, Tb, Dy Ho, Tm, and Lu.
`
`-3-
`
`Page 636 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 8 of 156
`
`Claim 57 (Previously presented): The method of claim 53 wherein the alloyed target is a
`
`tiled target.
`
`Claim 58 (Previously presented): The method of claim 57 wherein each tile of the tiled
`
`target is formed by prealloy atomization and hot isostatic pressing of a powder.
`
`Claim 59 (Currently amended): A method of depositing a film on a substrate,
`
`comprising:
`
`providing a process gas between a target and a substrate;
`
`providing pulsed DC power to the target through a narrow band-rejection filter;
`
`providing a magnetic field to the target; and
`
`wherein a material is deposited on the substrate, and
`
`an oxide film is formed by reactive sputtering in metallic mode.
`
`Claim 60 (Currently amended): A method of depositing a film on a substrate,
`
`comprising:
`
`providing a process gas between a target and a substrate;
`
`providing pulsed DC power to the target through a narrow band-rejection filter;
`
`providing a magnetic field to the target; and
`
`wherein a material is deposited on the substrate, and an oxide film is formed by reactive
`
`sputtering in poison mode.
`
`Claim 61 (Previously presented): A method of depositing a film on a substrate,
`
`comprising:
`
`providing a process gas between a metallic target and a substrate;
`
`providing pulsed DC power to the target;
`
`providing a magnetic field to the target; and
`
`reconditioning a metallic target;
`
`wherein a material is deposited on the substrate.
`
`Claim 62 (Previously presented): The method of claim 61, wherein reconditioning the
`
`-4-
`
`Page 637 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 9 of 156
`
`metallic target includes:
`
`reactive sputtering in the metallic mode and then reactive sputtering in the poison mode.
`
`Claims 63-84 (Canceled).
`
`Claim 85 (Previously presented): A method of depositing a film on a substrate,
`
`comprising:
`
`providing a process gas between a target and a substrate;
`
`providing pulsed DC power to the target;
`
`providing a magnetic field to the target; and
`
`wherein a material is deposited on the substrate, and an oxide film is formed by reactive
`
`sputtering in a mode between a metallic mode and a poison mode.
`
`Claim 86 (Canceled).
`
`Claim 87 (Currently amended): The method according to claims 43, 59, 60, or 85, furtfter
`
`eemf)risiag: wherein the narrow band-rejection filter rejects power at an RF frequency, and
`
`further including
`
`flF0YiEliag a BarF0Vl eaaa RF f:.'ilter eef\veea the fl\ilsea DC fl0W0f S\if)f)ly aaa tke
`
`target; aaa
`
`providing an RF bias to the substrate at the RF frequency.
`
`Claim 88 (Currently amended): The method according to claim 87, wherein the aarrew
`
`baaa RF narrow band-rejection filter has a bandwidth of about 100 kHz.
`
`Claim 89 (Currently amended): The method according to claim 87, wherein the RF l:»as(cid:173)
`
`kas a freeiaeaey ef frequency is about 2 MHz.
`
`Claims 90-92 (Canceled).
`
`-5-
`
`Page 638 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 10 of 156
`
`REMARKS
`
`Claims 41-43, 45-62, 85, and 87-89 are pending in this application. The Examiner has
`
`rejected claims 41-43 and 45-60, objected to claims 87-89, and allowed claims 61, 62, and 85. In
`
`this Amendment, claims 42, 43, 45-51, 53, 59-60, and 87-89 have been amended. Claim 43 has
`
`been amended to be independent. Claims 42, 45-51, 53, and 87 have been amended to adjust
`
`their dependency. Claims 87-89 have been further amended for clarity to better claim the
`
`invention. Claims 59 and 60 have been amended as described below.
`
`Claim Rejections under 35 U.S.C. § 103
`
`Claims 45, 47, 49, 51, 52, 59, and 60
`
`The Examiner rejected claims 45, 47, 49, 51, 52, 59, and 60 under 35 U.S.C. 103(a) as
`
`being unpatentable over U.S. Patent No. 6, 117,279 ("Smolonoff et al.") in view of U.S. Patent
`
`No. 6,673,716 ("D'Couto et al.").
`
`In the interest of furthering prosecution, Claims 59 and 60 have been amended to clarify
`
`that the pulsed DC power is supplied to the target through "a narrow band-rejection filter."
`
`Neither Smolonoff nor D'Couto teach a narrow band-rejection filter between the pulsed-DC
`
`power and the target. Further, the band-rejection filter is the subject matter of claim 87, which
`
`the Examiner has indicated would be allowable if rewritten in independent form.
`
`Claims 45, 47, 49, 51, and 52 are multiply-dependent claims that depend from claims 43,
`
`59, 60, or 85. The Examiner has indicated that claim 85 is allowable. Claims 59-60 are
`
`allowable, as discussed above. Claim 43, which also recites "a narrow band-rejection filter," is
`
`allowable over Smolonoff and D'Couto at least for the same reasons as discussed above.
`
`-6-
`
`Page 639 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 11 of 156
`
`'
`
`Claims 41, 42, 46, 48, and 50
`
`The Examiner rejected claims 41, 42, 46, 68, and 50 under 35 U.S.C. 103(a) as being
`
`unpatentable over Smolonoff et al. in view ofD'Couto et al. as applied to claims 45, 47, 49, 51,
`
`52, 59, and 60, and further in view of U.S. Published Application No. 2004/0077161 ("Chen et
`
`al.").
`
`As discussed above, claims 43, 59, 60, and 85 are allowable over Smolonoff in view of
`
`D'Couto. Chen does not cure the defects in Smolonoff and D'Couto, and therefore claims 43,
`
`59, 60, and 85 are allowable over the combination of Smolonoff, D'Couto, and Chen. Claim 41
`
`is a multiply dependent claim that depends from claims 59, 60, or 85 and is therefore allowable
`
`for at least the same reasons as is claims 59, 60, and 85. Claims 42, 46, 48, and 50 are multiple
`
`dependent claims that depend from claims 43, 59, 60, or 85 and are therefore allowable for at
`
`least the same reasons as is claims 43, 59, 60, and 85.
`
`Claims 43 and 53-58
`
`The Examiner has rejected claims 43 and 53-58 under 35 U.S.C. § 103(a) as being
`
`unpatentable over Smolonoffet al. in view ofD'Couto et al. as applied to claims 45, 47, 49, 51,
`
`52, 59, and 60 above, and further in view ofMilonopoulou et al. (2003/0175142).
`
`As an initial matter, Milonopoulou can not be considered prior art to the present
`
`application. Milonopoulou was co-filed on March 16, 2002 along with the parent application of
`
`the present application (U.S. Application No. 10/101,863). These two applications cross(cid:173)
`
`reference each other and are incorporated by reference one into the other. Milonopoulou is
`
`incorporated into the present application in Paragraph [0048], as amended in the preliminary
`
`-7-
`
`Page 640 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 12 of 156
`
`amendment filed with the present continuation application on September 30, 2004. The parent of
`
`the present application is incorporated by reference in Paragraph [0039] of Milonopoulou.
`
`As discussed above, claims 43, 59, and 60 are allowable over the combination of
`
`Smolonoff and D'Couto. Claims 53-58 depend from claims 43, 59, 60, and 85 and are therefore
`
`allowable for at least the same reasons as is claims 43, 59, 60, and 85.
`
`Allowable Subject Matter
`
`The Examiner objected to claims 87-89 as being independent upon a rejected base claim,
`
`but would be allowable if rewritten in independent form including all of the limitations of the
`
`base claim and any intervening claims. The Examiner has further indicated that claims 61, 62,
`
`and 85 are allowed.
`
`Subject matter from claim 87 has been incorporated in independent claims 43, 59, and 60.
`
`Current claims 87-89 are multiply dependent and depend from claims 43, 59, 60, or 85. Claims
`
`87-89, therefore, are allowable for at least the same reasons as are claims 43, 59, 60, and 85.
`
`Conclusion
`
`In view of the foregoing amendments and remarks, Applicants respectfully request
`
`reconsideration and reexamination of this application and the timely allowance of the pending
`
`claims.
`
`-8-
`
`Page 641 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 13 of 156
`
`Please grant any extensions of 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.
`
`By~~I
`
`s
`. w
`Gar
`Reg. No. 41,008
`
`Date: August 9, 2006
`
`EXPRESS MAIL LABEL NO.
`EV 901562545 US
`
`-9-
`
`Page 642 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 14 of 156
`
`C) 0 - 11 ---d £
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-01
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`) Confirmation No.: 9873
`)
`)
`
`In re Application of:
`
`ZHANG, Hongmei et al.
`
`Application No.: 10/954,182
`
`Filed: October 1, 2004
`
`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 two month extension of time to reply to the Office action of
`
`March 9, 2006. The Commissioner is hereby authorized to charge the fee of $450.00 to Deposit
`
`Account No. 06-0916.
`
`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,
`ER, L.L.P.
`GARRETT & D
`co 00080910 060916
`
`18954182
`
`Date: August 9, 2006
`
`EXPRESS MAIL LABEL NO.
`EV 901562545 US
`
`Page 643 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 15 of 156
`
`c:
`
`AUG O 9 100u 1J: SJ
`lfl1tJ.D.e#
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT
`Customer No. 22,852
`Attorney Docket No. 9140.0016-01
`
`)
`)
`) Group Art Unit: 2823
`)
`) Examiner: ESTRADA, Michelle
`)
`)
`) Confirmation No.: 9873
`)
`)
`
`In re Application of:
`
`ZHANG, Hongmei et al.
`
`Application No.: 10/954,182
`
`Filed: October 1, 2004
`
`For: BIASED PULSE DC REACTIVE
`SPUTTERING OF OXIDE FILMS
`
`MAIL STOP AMENDMENT
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Sir:
`
`FIFTH 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 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. § l.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 non-patent literature documents are aAftdt¥&!~6<!!~~g oM@BUl.860916
`02 FC:1806
`188.00 DA
`
`10954182
`
`patents and patent publications are not enclosed.
`
`Applicants respectfully request that the Examiner consider the listed documents and
`
`indicate that they were considered by making appropriate notations on the attached form.
`
`Page 644 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 16 of 156
`
`Appl. No. 10/954, 182
`Atty. Docket No. 9140.0016-01
`
`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 & D
`
`Dated: August 9, 2006
`
`Express Mail Label No.
`EV 901562545 US
`
`-2-
`
`Page 645 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 17 of 156
`
`IDS Form PTO/SB/08: Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`of
`
`Sheet
`
`3
`
`Application Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Complete if Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-01
`
`\
`\
`\
`
`Examiner
`Initials"
`
`Cite
`No. 1
`
`Evans, Jr.
`
`12/01/1987
`
`Sipes, Jr.
`
`11115/1988
`
`Baer
`
`07/25/1995
`
`Sakakibara et al.
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Pages, Columns, Lines, Where
`Document Number
`Issue or
`Name of Patentee or
`Relevant Passages or Relevant
`Publication Date
`Applicant of Cited Document
`Number-Kind Code2 (if kno"'1)
`Figures Appear
`MM-DD-YYYY
`us 4,082,569
`04/04/1978
`us 4,710,940
`us 4,785,459
`us 5,435,826
`us 5,472,795
`us 5,512,147
`us 5,569,520
`us 5,597,660
`us 5,612,152
`us 5,645,626
`us 5,702,829
`us 6,045,626
`US 6,168,884 Bl
`
`12/05/1995
`
`Atita
`
`04/30/1996
`
`Bates et al.
`
`10/29/1996
`
`Bates
`
`01128/1997
`
`Bates et al.
`
`03/18/1997
`
`Bates
`
`07/08/1997
`
`Edlund et al.
`
`12/30/1997
`
`Paidassi et al.
`
`04/04/2000
`
`Yano et al.
`
`01102/2001
`
`Neudecker et al.
`
`US 6,236,793 Bl
`
`US 6,242, 132 B 1
`
`US 6,306,265 B 1
`
`US 6,365,300 B 1
`
`US 6,760,520 Bl
`
`US 6,818,356 Bl
`
`US 6,884,327 B2
`
`05/22/2001
`
`Lawrence et al.
`
`06/05/2001
`
`Neudecker et al.
`
`10/23/2001
`
`Fu et al.
`
`04/02/2002
`
`Ota et al.
`
`07/06/2004
`
`Medin et al.
`
`11/16/2004
`0412612005
`
`Bates
`
`Pan et al.
`
`US 2001/0031122 Al
`
`10/18/2001
`
`Lackritz et al.
`
`US 2002/0014406 Al
`
`02/07/2002
`
`Takashima
`
`US 2002/0115252 Al
`
`08/22/2002
`
`Haukka et al.
`
`US 2003/0035906 Al
`
`02/20/2003
`
`Memarian et al.
`
`US 2003/0178637 Al
`
`09/25/2003
`
`Chen et al.
`
`US 2003/0185266 Al
`
`US 2004/0043557 Al
`
`10/02/2003
`0310412004
`
`Henrichs
`
`Haukka et al.
`
`I Examiner
`
`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 901562545 US
`
`Page 646 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 18 of 156
`
`IDS Form PTO/SB/OS: Substitute for form 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
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Complete if Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-01
`
`3
`
`I
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`0812512005
`Pan et al.
`US 2005/0183946 Al
`
`US 2006/0054496 Al
`
`03/16/2006
`
`Zhang et al.
`
`US 2006/0057283 Al
`
`03/16/2006
`
`Zhang et al.
`
`US 2006/0057304 Al
`
`03/16/2006
`
`Zhang et al.
`
`US 2006/0071592 Al
`
`04/06/2006
`
`Narasimhan et al.
`
`Zhang et al.
`06/22/2006
`US 2006/0134522 Al
`Note: Submission of copies of U.S. Patents and published U.S. Patent Applications is not required.
`
`Examiner
`Initials'
`
`Cite
`No. 1
`
`Foreign Patent Document
`
`FOREIGN PATENT DOCUMENTS
`Name of Patentee or
`Publication Date
`Applicant of Cited Document
`MM-DD-YYYY
`
`Pages, ColullUIS, Lines,
`Where Relevant Passages or
`Relevant Figures Appear
`
`Tmnslation6
`
`Country Code3 Nwnbcr 4 Kind Code5 (if kno"n)
`
`DE 37 38 738 Cl
`EP 1 092 689 Al
`
`JP 5-230642 A
`
`JP 7-224379 A
`
`WO 99/61674 Al
`
`01126/1989
`
`Degussa AG
`
`04/18/2001
`
`09/07/1993
`
`08/22/1995
`
`BPS Alzenau GmbH
`Nissin High Voltage
`Co., Ltd.
`Ulvac Japan Ltd
`
`12/02/1999
`
`Universiteit Gent
`
`WO 2006/063308 A2
`
`06/15/2006
`
`Symmorphix, Inc.
`
`Examiner
`Initials'
`
`Cite
`No!
`
`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, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue number(s), publisher, city and/or
`country where published.
`ASM Handbook, Formerly Ninth Edition, Metals Handbook, Volume 15, Casting, Davis et al.
`(Eds.), ASM International, pp. 372-373, 376-383, and 410-411 (1988).
`COCORULLO, G. et al., "Amorphous silicon waveguides and light modulators for integrated
`photonics realized by low-temperature plasma-enhanced chemical-vapor deposition," Optics
`Lett. 21(24):2002-2004 (1996).
`KELLY, P.J. et al., "A novel technique for the deposition of aluminum-doped zinc oxide
`films," Thin Solid Films 426(1-2): 111-116 (2003).
`TOMASZEWSKI, H. et al., "Yttria-stabilized zirconia thin films grown by reactive r.f.
`magnetron sputtering," Thin Solid Films 287:104-109 (1996).
`
`Abstract
`
`Abstract
`
`Translation6
`
`I Examiner
`
`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 901562545 US
`
`Page 647 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 75-1 Filed 03/10/21 Page 19 of 156
`
`IDS Fonn PTO/SB/08: Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`I
`I
`of
`3
`
`I
`
`Sheet
`
`Application Number
`Filing Date
`First Named Inventor
`Arl Unit
`Examiner Name
`Attorney Docket Number
`
`Complete if Known
`10/954.182
`October 1, 2004
`ZHANG, Hongmei
`2823
`ESTRADA. Michelle
`9140.0016-01
`
`3
`
`'"" ,,
`
`NON PATENT LITERATURE DOCUMENTS
`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).
`Response to Office Action filed July 27, 2006, in U.S. Appl. No. 10/291, 179 (Atty. Docket No.
`9140.0001-00).
`Notice of Allowance niaifed Augu