Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 1 of 171
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`WO 2006/063308
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`Page 786 of 1053
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`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 2 of 171
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`Page 787 of 1053
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`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 3 of 171
`
`WO 2006/063308
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`Page 788 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 4 of 171
`
`65mm
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`Page 789 of 1053
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`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 5 of 171
`
`4.5
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`4.0r~-~-------~------~---______ ~----------;:::=:::-
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`Page 790 of 1053
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`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 6 of 171
`
`This Page is Inserted by IFW Indexing and Scanning
`Operations and is not part of the Official Record.
`
`BEST AVAILABLE IMAGES
`
`Defective images within this document are accurate representations of the original
`documents submitted by the applicant.
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`
`Page 791 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 7 of 171
`
`·.
`
`PATENi·APPUCATION FEE DETERMINATION RECORD·
`·
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`~ffective December 8, 2004
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`Page 792 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 8 of 171
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`
`Page 793 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 9 of 171
`
`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
`.. J J
`V ('-/
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`/
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`10/954, 182
`
`10/01/2004
`
`Hongmei Zhang
`
`09 I 40-00 I 6-0 I 000
`
`9873
`
`7590
`10/31/2006
`22852
`FINNEGAN, HENDERSON, F ARABOW, GARRETT & DUNNER
`LLP
`901 NEW YORK A VENUE, NW
`WASHINGTON, DC 20001-4413
`
`EXAMINER
`
`ESTRADA, MICHELLE
`
`ART UNIT
`
`2823
`
`PAPER NUMBER
`
`DATE MAILED: 10/31/2006
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PT0-90C (Rev. I0/03)
`
`Page 794 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 10 of 171
`
`.. ;
`
`Office Action Summary
`
`Application No.
`
`10/954,182
`
`Examiner
`
`Applicant(s)
`
`ZHANG ET AL
`
`Art Unit
`
`2823
`Michelle Estrada
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`Period for Reply
`
`A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE~ MONTH(S) OR THIRTY (30) DAYS,
`WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
`- Extensions of lime may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed
`after SIX (6) MONTHS from the mailing date of this communication.
`If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
`-
`- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
`Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
`earned patent term adjustment. See 37 CFR 1.704(b).
`Status
`
`1)1:8] Responsive to communication(s) filed on 09 August 2006.
`2a)D This action is FINAL.
`2b)l:8] This action is non-final.
`3)0 Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
`closed in accordance with the practice under Ex parte Quayle, 1935 C.D. 11, 453 0.G. 213.
`
`Disposition of Claims
`
`4)1:8] Claim(s) 41-43.45-62,85 and 87-89 is/are pending in the application.
`4a) Of the above claim(s) __ is/are withdrawn from consideration.
`5)1:8] Claim(s) 61.62 and 85 is/are allowed.
`6)1:8] Claim(s) 41-43.45-60 and 87-89 is/are rejected.
`7)0 Claim(s) __ is/are objected to.
`8)0 Claim(s) __ are subject to restriction and/or election requirement.
`
`Application Papers
`
`9)0 The specification is objected to by the Examiner.
`10)0 The drawing(s) filed on __ is/are: a)O accepted or b)D objected to by the Examiner.
`Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
`
`Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d).
`11 )0 The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PT0-152.
`
`Priority under 35 U.S.C. § 119
`
`12)0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a)O All b)D Some* c)O None of:
`1.0 Certified copies of the priority documents have been received.
`2.0 . Certified copies of the priority documents have been received in Application No. __ .
`3.0 Copies of the certified copies of the priority documents have been received in this National Stage
`application from the International Bureau (PCT Rule 17.2(a)).
`* See the attached detailed Office action for a list of the certified copies not received.
`
`Attachment(s)
`1) 0 Notice of References Cited (PT0-892)
`2) 0 Notice of Draftsperson's Patent Drawing Review (PT0-948)
`3) l:8J Information Disclosure Statement(s) (PTO/SB/08)
`Paper No(s)/Mail Date 819106.
`
`4) D Interview Summary (PT0-413)
`Paper No(s)/Mail Date. __ .
`5) D Notice of Informal Patent Application
`6) 0 Other: __ .
`
`U.S. Patent and Trademark Office
`PTOL-326 (Rev. 08-06)
`
`Office Action Summary
`
`Part of Paper No./Mail Date 20061030
`
`Page 795 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 11 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page2
`
`DETAILED ACTION
`
`Claim Rejections - 35 USC§ 103
`
`The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all
`
`obviousness rejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is not identically disclosed or described as set
`forth in section 102 of this title, if the differences between the subject matter sought to be patented and
`the prior art are such that the subject matter as a whole would have been obvious at the time the
`invention was made to a person having ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the invention was made.
`
`Claims 45, 47, 49, 51, 52, 59 and 60 are rejected under 35 U.S.C. 103(a) as
`
`being unpatentable over Smolanoff et al. (6, 117,279) in view of D'Couto et al.
`
`(6,673,716).
`
`Re claims 59 and 60, Smolanoff et al. disclose providing a process gas between
`
`the target (16) and a substrate (15); providing pulsed DC power to the target (Col. 5,
`
`lines 50-55); providing a magnetic field to the target (Col. 6, lines 1-7); and wherein a
`
`material is deposited on the substrate (Col. 5,- lines 22-26); and an oxide film is formed
`
`by reactive sputtering (Col. 6, lines 15+). Using an specific type of filter (narrow band-
`
`rejection) is a matter of design choice depending on the quality of product needed, and
`
`it is obvious that the filter is going to work at certain frequencies.
`
`Smolanoff et al. do not disclose wherein the material sputtered is in the metallic
`
`mode or in the poison mode.
`
`D'Couto et al. disclose that a material can be sputter neither in the poison mode
`
`or metallic mode (Col. 1, line 65-Col. 2, line 20).
`
`Page 796 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 12 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page3
`
`It would have been within the scope of one of ordinary skill in the art to combine
`
`the teachings of Smolanoff et al. and D'Couto et al. to enable the sputtering mode step
`
`of Smolanoff et al. to be performed according to the teachings of D'Couto et al. because
`
`one of ordinary skill in the art would have been motivated to look to alternative suitable
`
`methods of performing the disclosed sputtering step of Smolanoff et al. and art
`
`recognized suitability for an intended purpose has been recognized to be motivation to
`
`combine. See MPEP 2144.07.
`
`Re claim 45, Smolanoff et al. disclose wherein the magnetic field is provided by a
`
`moving magnetron (Col. 5, lines 39-49).
`
`Re claim 47, Smolanoff et al. disclose wherein the process gas includes a
`
`mixture of oxygen and argon (Col. 7, lines 22-27).
`
`Re claim 49, Smolanoff et al. disclose wherein the process gas further includes
`
`nitrogen (Col. 7, lines 25-26).
`
`Re claim 51, Smolanoff et al. disclose further including uniformly sweeping the
`
`·target with a magnetic field (Col. 6, lines 1-6).
`
`Re claim 52, Smolan off et al. disclose wherein 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 (Col. 6, lines 1-6).
`
`Page 797 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 13 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page4
`
`Claims 41, 42, 46, 48 and 50 are rejected under 35 U.S.C. 103(a) as being
`
`unpatentable over Smolanoff in view of D'Couto et al. as applied to claims 45, 47, 49,
`
`51, 52, 59 and 60 above, and further in view of Chen et al. (2004/0077161 ).
`
`Re claim 41, Smolanoff et al. disclose wherein the process gas includes oxygen.
`
`Re claim 42, Smolanoff et al. disclose wherein the process gas includes N2 or
`
`The combination of Smolanoff et al. and D'Couto et al. does not disclose wherein
`
`the target is a metallic target.
`
`Re claims 41 and 42, Chen et al. disclose forming a coating layer in a substrate;
`
`applying a magnetic field to a target; wherein the target is a metallic target.
`
`It would have been within the scope of one of ordinary skill in the art to combine
`
`the teachings of Smolanoff et al., D'Couto et al. and Chen et al. to enable the target
`
`material of Smolanoff et al. to be the same according to the teachings of Chen et al.
`
`because one of ordinary skill in the art wquld have been motivated to look to alternative
`
`suitable target rriaterials of the disclosed target of Smolanoff et al. and art recognized
`
`suitability for an intended purpose has been recognized to be mo.tivation to combine.
`
`See MPEP 2144.07.
`
`Re claim 46, Chen et al. disclose further including holding the temperature of the
`
`substrate substantially constant (Page 3, Paragraph [0046)).
`
`Re claim 48, Chen et al. disclose wherein the oxygen flow is adjusted by the
`
`mass flow controllers; thereby it will adjust the index refraction of the film.
`
`Page 798 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 14 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: ~823
`
`Pages
`
`Re claim 50, Chen et al. disclose 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 (See fig. 3).
`
`Claims 43, 53-58 and 87-89 are rejected under 35 U.S.C. 103(a) as being
`
`unpatentable over Smolanoff et al. in view of D'Couto et al. as applied to claims 45, 47,
`
`49, 51, 52, 59 and 60 above, and further in view of Milonopoulou et al. (2003/0175142).
`
`Re claim 43, The combination of Smolanoff et al. and D'Couto et al. does not
`
`disclose wherein the target is a ceramic target.
`
`Milonopoulou et al. disclose forming a coating layer on a substrate; providing a
`
`target (12), which is ceramic (Abstract).
`
`It would have been within the scope of one of ordinary skill in the art to combine
`
`the teachings of Smolanoff et al., D'Couto et al. and Chen et al. to enable the target
`
`material of Smolanoff et al. to be the same according to the teachings bf Milonopoulou
`
`et al. because one of ordinary skill in the art would have been motivated to look to
`
`alternative suitable target materials of the disclosed target of Smolanoff et al. and art
`
`recognized suitability for an intended purpose has been recognized to be motivation to
`
`combine. See MPEP 2144.07.
`
`Using an specific type of filter (narrow band-rejection) is a matter of design
`
`choice depending on the quality of product needed, and it is obvious that the filter is
`
`going to work ·at certain frequencies.
`
`Page 799 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 15 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page·6
`
`Re claim 53, Milonopoulou et al. disclose wherein the target is an alloyed target
`
`(Abstract).
`
`Re claim 54, Milonopoulou et al. disclose wherein the alloyed target includes one
`
`or more rare earth ions.
`
`Re claim 55, Milonopoulou et al. disclose wherein the alloyed target includes Si
`
`and Al.
`
`Re claim 56, Milonopoulou et al. disclose wherein the alloyed target includes one
`
`or more elements taken from a set consisting of Si, Al, Er and Yb.
`
`Re claim 57, Milonopoulou et al. disclose wherein the alloyed target is a tiled
`
`target.
`
`Re claim 58, Milonopoulou et al. disclose wherein each tiled target is formed by
`
`prealloy atomization and hot isostatic pressing of a powder (Page 2, Paragraph [0020]).
`
`Re claim 87-89, using an specific type of filter is a matter of design choice
`
`depending on the quality of product needed, and it is obvious that the filter is going to
`
`work at certain frequencies. Furthermore, the limitation "the filter is a narrow-band
`
`rejection filter rejects power at an RF frequency including an RF bias to the substrate at
`
`the RF frequency" is a structural. limitation in a method claim, so no matter what filter is·
`
`used, as long as the same result is achieved, as explained above.
`
`Re claims 88 and 89, one of ordinary skill in the art would have been led to the
`
`recited bandwidth and frequency through routine experimentation to achieve a desired
`
`band rejection in the process. In addition, the serection of bandwidth and frequency, its
`
`obvious because it is a matter of determining optimum process conditions by routine
`
`Page 800 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 16 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page 7
`
`experimentation with a limited number of species of result effective variables. These
`
`claims are prima facie obvious without showing that the claimed ranges achieve
`
`unexpected results relative to the prior art range.
`
`In re Woodruff, 16 USPQ2d 1935,
`
`1937 (Fed. Cir. 1990). See also In re Huang, 40 USPQ2d 1685, 1688 (Fed. Cir.
`
`1996)(claimed ranges or a result effective variable, which do not overlap the prior art
`
`ranges, are unpatentable unless they produce a new and unexpected result which is
`
`different in kind and not merely in degree from the results of the prior art). See also In
`
`re Boesch, 205 USPQ 215 (CCPA) (discovery of optimum value of result effective
`
`variable in known process is ordinarily withir:i skill or art) and In re Aller, 105 USPQ 233
`
`(CCPA 1995) (selection of optimum ranges within prior art general conditions is
`
`obvious).
`
`Note that the specification contains no disclosure of either the critical nature of
`
`the claimed bandwidth and frequency or any unexpected results arising therefrom.
`
`Where patentability is said to be based upon particular chosen bandwidth and .
`
`frequency or upon another variable recited in a claim, the Applicant must show that the
`
`chosen bandwidth and frequency are critical. In re Woodruf, 919 F .2d 1575, 1578, 16
`
`USPQ2d 1934, 1936 (Fed. Cir. 1990).
`
`Allowable Subject Matter
`
`Claims 61, 62 and 85 are allowed.
`
`Page 801 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 17 of 171
`
`Application/Control Number: 10/954, 182
`Art Unit: 2823
`
`Page 8
`
`Conclusion
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Michelle Estrada whose telephone number is 571-272-
`
`1858. The examiner can normally be reached on Monday through Friday.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner's
`
`supervisor, Matthew Smith can be reached on 571-272-1907. The fax phone number
`
`for the organization where this application or proceeding is assigned is 571-273-8300.
`
`Any inquiry of a general nature or relating to the status of this application or
`
`proceeding should be directed to the receptionist whose telephone number is 571-272-
`
`2800.
`
`Information regarding the status of an application may be obtained from the
`
`Patent Application
`
`Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpubiished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
`
`Business Center (EBC) at 866-217-9197 (toll-free).
`
`ME
`October 30, 2006
`
`Page 802 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 18 of 171
`
`IDS Form PTOISB/08: Substitute for form 1449AIPTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use ss many sheets ss necessary)
`of
`1
`
`Sheet
`
`3
`
`App/Jcatlon Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`
`Complete If Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmel
`2823
`ESTRADA, Michelle
`9140.0016--01
`
`I
`I
`\
`
`Cite
`No.'
`
`Examiner
`Initials'
`/} /)
`Vr,.1 -v
`
`.1r111v1
`
`r
`
`12/0111987
`
`Evans, Jr.
`Sipes, Jr.
`
`11/15/1988
`
`Baer
`
`07/25/1995
`
`Sakakibara et al.
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Pages, Columns, Lines. Where
`b.sue or
`Doc:umcnt Nwnbcr
`Name of Patentee or
`Relevant Passages or Relevant
`Publication Date
`Applicaiu of Cited Document
`Number-Kind Code2 l!fbroN!I
`FiguRS 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
`
`Arita
`
`04/30/1996
`
`Bates et al.
`
`10/29/1996
`
`Bates
`
`01/28/1997
`
`Bates et al.
`
`03/18/1997
`
`Bates
`
`07/08/1997
`
`12130/1997
`
`04/04/2000
`
`Edlund et al.
`Paidassi et al.
`Yano et al.
`
`01102/2001
`
`Neudecker et al.
`
`US 6,236,793 Bl
`
`US 6,242,132 Bl
`
`US 6,306,265 B 1
`
`US 6,365,300 Bl
`
`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
`0410212002
`07/06/2004
`
`11116/2004
`
`04/26/2005
`
`Fu et al.
`
`Ota et al.
`
`Medin et al.
`
`Bates
`Pan et al.
`
`US 2001/0031122 Al
`
`10/18/2001
`
`Lackritz et al.
`
`US 2002/0014406 A 1
`
`US 2002/0115252 Al
`
`02/07/2002
`0812212002
`
`Takashima
`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
`03/04/2004
`
`Henrichs
`Haukka et al.
`
`Date
`Considered
`
`I , ,..
`'.fff j
`
`I
`
`¥
`
`•
`
`Examiner
`Signature
`
`EXAMINER: Initial if reference onsldered, whether or not citation Is In confonnance with MPEP 609. Draw lin through
`citation If not In confonnance and not considered. Include copy of this form with next communication to applicant.
`
`Express Mail Label No.
`EV 901562545 US
`
`Page 803 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 19 of 171
`
`,•
`
`IDS Form PTOISB/08: Substitute for form 1449A/PTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use ea 1T1Bny sheets ea necesssryJ
`I
`I
`of
`2
`
`I
`
`App/lest/on Number
`Filing Date
`First Named Inventor
`Art Unit
`Examiner Nsme
`Attorney Docket Number
`
`Complete If Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmel
`2823
`ESTRADA, Michelle
`9140.0016-01
`
`3
`
`Sheet
`,
`'.()
`/Ii 'KV
`
`J
`
`U.S. PATENTS AND PUBLISHED U.S. PATENT APPLICATIONS
`Pan et al.
`US 2005/0183946 Al
`08/25/2005
`Zhang et al.
`US 2006/0054496 Al
`03/16/2006
`Zhang et al.
`US 2006/0057283 A 1
`03/16/2006
`Zhang et al.
`US 2006/0057304 Al
`03/16/2006
`US 2006/0071592 Al
`04/06/2006
`Narasimhan et al.
`06/22/2006
`Zhang et al.
`US 2006/0134522 Al
`p
`Not . Submission of co ies of U.S. Patents and ublished U.S. Patent A plications is not re uired.
`p
`q
`p
`
`, I
`• J
`\J v
`
`(')
`
`Examiner
`Initials'
`
`Cite
`No.1
`
`,. -
`L ,/1. ,/ff
`i ~
`v
`
`/
`
`I.
`
`\ I
`IL.-: "w}7 V
`.,
`
`Foreign Patcnl Document
`
`FOREIGN PATENT DOCUMENTS
`Publication Date
`Name of Patcntcc or
`Applicant of Cited Document
`MM-DD-YYYY
`
`Paga, Columns, Llnes,
`Where Relevant Passages or
`Relevam Figurea Appear
`
`Translation'
`
`Counuy Code' Nmnber4 Kind Code' (I/ bio"")
`
`DE 37 38 738 Cl
`EP I 092 689 Al
`
`JP 5-230642 A
`
`JP 7-224379 A
`WO 99/61674 Al
`WO 2006/063308 A2
`
`09/0.7/1993
`
`01/26/1989 DegussaAG
`BPS Alzenau GmbH
`04/18/2001
`Nissin High Voltage
`Co., Ltd.
`08/22/1995 Ulvac Japan Ltd
`12/02/1999 Universiteit Gent
`06/15/2006
`Symmorphix, Inc.
`
`Abstract
`
`Abstract
`
`Translation6
`
`Examina-
`Initials.
`
`Cite
`No. 1
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPrT AL LETTERS), title of the article (when appropriate), title of the item (book.
`magazine, journal, serial, symposium, catalog, etc.), date, pagc(s), volume-issue numbcr(s), publisha-, city and/or
`countJy where published.
`
`,u ~ 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. 2/(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).
`
`~ I -
`~- ,\ff(
`
`Examiner
`Signature
`
`EXAMINER: Initial If reference cons ered, 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
`
`Date
`Considered
`
`Page 804 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 20 of 171
`
`IDS Form PTO/SB/08: Substitute for form 1449AIPTO
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`(Use es many sheets es necessaryJ
`I
`I
`of
`3
`
`I
`
`Sheet
`
`Appl/cation Number
`Filing Date
`First Named Inventor
`MUnlt
`Examiner Name
`Attorney Docket Number
`
`Complete If Known
`10/954,182
`October 1, 2004
`ZHANG, Hongmei
`2823
`ESTRADA, Michelle
`9140.0016-01
`
`3
`
`(_. JfJ ¥1
`v , '""
`
`. . ....
`
`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 August 6, 2002, for US Patent No. 6,506,289 (Atty. Docket No.
`09140.0002-01).
`" '
`Response to Office Action filC'd-I:ebruary 28, 2006 in U.S. Application No. 09/903,081 (Atty .
`............
`Docket No. 09140-0014-00).
`Final Office Action mailed May 8, 2006 in U.S. Application No. 09/903,081 (Atty. Docket No.
`09140-0014-00).
`Final Office Action mailed June 9, 2006 in U.S. Appl. No. 11/100,856 (Atty. Docket No.
`09140.0015-01).
`. ......... •.
`Office Action mailed March 22, 2006, in U.S. Appl. No. 10/101,863 {Atty. Docket No.
`09140.0016-00).
`Response to Office Action filed June 12, 2006, in U.S. Appl. No. 10/101,863 (Atty. Docket No.
`09140.0016-00).
`Response to Office Action filed on May 15, 2006, in U.S. Application No. 10/101,341 (Atty.
`Docket No. 09140-0017-00).
`Office Action issued on August 2, 2006, in U.S. Application No. 10/101,341 (Atty. Docket No.
`09140-0017-00).
`Office Action issued on March 23, 2006, in U.S. Application No. 10/650,461 (Atty. Docket
`No. 09140-0025-00).
`Response to Office Action filed on July 24, 2006, in U.S. Application No. 10/650,461 (Atty.
`Docket No. 09140-0025-00).
`Response to Office Action filed March 2, 2006 in U.S. Application No. 10/789,953 (Atty.
`Docket No. 09140.0030-00).
`Final Office Action issued on May 19, 2006 in U.S. Application No. 10/789,953 (Atty. Docket
`No. 09140.0030-00).
`Office Action from Singapore Patent Office in Appl. No. 200505388-9, dated March 20, 2006
`(Atty. Docket No. 9140.0030-00256).
`Office Action mailed April 19, 2006 in U.S. Application No. 10/851,542 (Atty. Docket No.
`09140.0033-00).
`Response to Office Action filed July 26, 2006 in U.S. Application No. 10/851,542 (Atty.
`Docket No. 09140.0033-00).
`Specification as filed September 2, 2005, for U.S. Appl. No. 11/218,652 (Atty. Docket No.
`09140.0052-00.Yl
`. ,.
`( ;,; .J--
`/}
`Examlner ~ 11ir/AIJI JM wt A/) LJl<.
`I lo '~/nf11
`'l
`I
`I~
`.
`' .
`-
`EXAMINER: Initial if referen
`considered, whether or not citation is in confonnance with MPEP 609. Draw line throu h g
`citation if not In confonnance and not considered. Include copy of this fonn with next communication to applicant.
`
`'\/
`(~ '/
`
`/
`
`I
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`Sianature
`
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`JI
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`
`Page 805 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 21 of 171
`
`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
`Al~xandria, VA 22313-1450
`
`Sir:
`
`AMENDMENT AND RESPONSE TO OFFICE ACTION
`
`In reply to the Office Action mailed October 31, 2006, 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 806 of 1053
`
`

`

`Case 6:20-cv-00636-ADA Document 76 Filed 03/10/21 Page 22 of 171
`
`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 (Currently amended): The method of claims 59, 00, fil_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, 00, fil_or 85, wherein the
`
`target is a metallic target and the process gas includes one or more of a set consisting of N2, NH3,
`
`CO, NO, C02, halide containing gasses.
`
`Claim 43 (Currently amended): A methea ef a~J3esitiag a film ea a sl:lhst:Fate,
`
`eemJ3risiag:
`
`J3F0Yiaiag a J:JF06eSS gas aetweeH a taFget ana a sl:lhstf'ate;
`
`pFeviaiag palsea DC pe·.veF te the taFget thi=eagh a aar-Faw bane Fejeetiea filteF;
`
`fJF0Viaiag a magaetie fiela te the taFget; ana
`
`·.vheFeia a material is aepesitea ea the sl:lhst:Fate, The method of claims 61 or 85
`
`wherein the target is a ceramic target.
`
`Claim 45 (Currently amended): The method of claims 43, 59, 00, fil_or 85, wherein the
`
`magnetic field is provided by a moving magnetron.
`
`Claim 46 (Currently amended) The method of claims 43, 59, 00, fil_or 85, further
`
`including holding the temperature of the substrate substantially constant.
`
`Claim 47 (Currently amended): The method of claims 43, 59, 00, §1or8