EXHIBIT C.06
`U.S. Patent No. 7,811,421
`
`References cited herein:
`(cid:120) U.S. Pat. No. 7,811,421 (“’421 Patent”)
`
`(cid:120) D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary Discharge in a
`Magnetic Field: Experimental Research, Plasma Physics Reports, Vol. 21, No. 5, 1995
`(“Mozgrin”)
`
`(cid:120) U.S. Pat. No. 6,190,512 (“Lantsman”)
`
`(cid:120) U.S. Pat. No. 5,958,155 (“Kawamata”)
`
`(cid:120) Dennis M. Manos & Daniel L. Flamm, Plasma Etching: An Introduction, Academic Press
`1989 (“Manos”)
`
`(cid:120) Milton Ohring, The Material Science of Thin Films, Academic Press, 1992 (“Ohring”)
`
`(cid:120) Donald L. Smith, Thin-Film Deposition: Principles & Practice, McGraw Hill, 1995
`(“Smith”)
`
`
`
`‘421 Claims 7, 18-20, and 32
`
`Mozgrin in view of Lantsman and Kawamata
`
`[1pre]. A sputtering source comprising: Mozgrin discloses a sputtering source.
`
`Mozgrin 403, right col, ¶4 (“Regime 2 was
`characterized by intense cathode sputtering…”)
`(emphasis added)
`
`[1a] a) a cathode assembly comprising a
`sputtering target that is positioned
`adjacent to an anode; and
`
`Mozgrin discloses a cathode assembly comprising
`a sputtering target that is positioned adjacent to an
`anode.
`
`‘421 Patent at 3:39-4:2 (“FIG. 1 illustrates a
`cross-sectional view of a known magnetron
`sputtering apparatus 100 having a pulsed power
`source 102. … The magnetron sputtering
`apparatus 100 also includes a cathode assembly
`114 having a target 116. … An anode 130 is
`positioned in the vacuum chamber 104 proximate
`to the cathode assembly 114.”)
`
`Mozgrin at Fig. 1
`
`Mozgrin at 403, right col., ¶4 (“Regime 2 was
`characterized by an intense cathode
`sputtering….”)
`
`Mozgrin at 403, right col, ¶ 4 (“…The pulsed
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`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`[1b] b) a power supply that generates a
`voltage pulse between the anode and the
`cathode assembly that creates a weakly-
`ionized plasma and then a strongly-
`ionized plasma from the weakly-ionized
`plasma without an occurrence of arcing
`between the anode and the cathode
`assembly, an amplitude, a duration and a
`rise time of the voltage pulse being
`chosen to increase a density of ions in the
`strongly-ionized plasma.
`
`
`ActiveUS 122667960v.1
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`deposition rate of the cathode material…”)
`
`Mozgrin discloses a power supply that generates a
`voltage pulse between the anode and the cathode
`assembly that creates a weakly-ionized plasma
`and then a strongly-ionized plasma from the
`weakly-ionized plasma without an occurrence of
`arcing between the anode and the cathode
`assembly, an amplitude, a duration and a rise time
`of the voltage pulse being chosen to increase a
`density of ions in the strongly-ionized plasma.
`
`‘421 Patent at Fig. 6
`
`‘421 Patent at 8:22-23 (“The weakly-ionized
`plasma is also referred to as a pre-ionized
`plasma.”)
`
`Mozgrin at Figs. 2 and 3
`
`Mozgrin at 401, left col, ¶ 4 (“It was possible to
`form the high-current quasi-stationary regime by
`applying a square voltage pulse to the discharge
`gap which was filled up with either neutral or pre-
`ionized gas.”)
`
`Mozgrin at 402, right col, ¶2 (“Figure 3 shows
`typical voltage and current oscillograms.… Part I
`in the voltage oscillogram represents the voltage
`of the stationary discharge (pre-ionization
`stage).”)
`
`Mozgrin at 401, right col, ¶2 (“[f]or pre-
`ionization, we used a stationary magnetron
`discharge; … provided the initial plasma density
`in the 109 – 1011 cm(cid:1956)3 range.”)
`
`Mozgrin at 409, left col, ¶ 4 (“The
`implementation of the high-current magnetron
`discharge (regime 2) in sputtering … plasma
`density (exceeding 2x1013 cm-3).)” (emphasis
`added)
`
`Mozgrin at 400, left col, ¶ 3 (“Some experiments
`on magnetron systems of various geometry
`showed that discharge regimes which do not
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`

`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`transit to arcs can be obtained even at high
`currents.”)
`
`Mozgrin at Fig. 7
`
`Mozgrin explicitly notes that arcs can be avoided.
`See Mozgrin at 400, left col, ¶ 3 (“Some
`experiments on magnetron systems of various
`geometry showed that discharge regimes which
`do not transit to arcs can be obtained even at high
`currents.”) (emphasis added)
`
`Mozgrin at 400, right col, ¶ 1 (“A further increase
`in the discharge currents caused the discharges to
`transit to the arc regimes…”)
`
`Mozgrin at 404, left col, ¶ 4 (“The parameters of
`the shaped-electrode discharge transit to regime 3,
`as well as the condition of its transit to arc regime
`4, could be well determined for every given set of
`the discharge parameters.”)
`
`Mozgrin at 406, right col, ¶ 3 (“Moreover, pre-
`ionization was not necessary; however, in this
`case, the probability of discharge transferring to
`the arc mode increased.”)
`
`Mozgrin at 404, left col, ¶ 2 (“[t]he density turned
`out to be about 3 x 1012 cm-3 in the regime of Id =
`60A and Ud = 900 V.”)
`
`Mozgrin at 403 left col, ¶ 4 (“[t]ransferring to
`regime 3, the discharge occupied a significantly
`larger cathode surface than in the stationary
`regime.”)
`
`Mozgrin at 404, right col, ¶ 2 (“The density
`ranged from (2 – 2.5) x 1014 cm-3 at 360 - 540A
`current up to (1-1.5) x 1015 cm-3 at 1100-1400 A
`current.”)
`
`Background:
`
`Manos at 231 (“…arcs… are a problem…”)
`(emphasis added)
`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`3. The sputtering source of claim 1
`wherein the increase of the density of ions
`in the strongly-ionized plasma is enough
`to generate sufficient thermal energy in a
`surface of the sputtering target to cause a
`sputtering yield to be related to a
`temperature of the sputtering target.
`
`The combination of Mozgrin and Kawamata
`discloses the increase of the density of ions in the
`strongly-ionized plasma is enough to generate
`sufficient thermal energy in a surface of the
`sputtering target to cause a sputtering yield to be
`related to a temperature of the sputtering target.
`
`‘421 Patent at 2:9-10 (“In general, the deposition
`rate is proportional to the sputtering yield.”)
`
`Kawamata at 3:18-20 (“[G]enerat[ing] plasma
`over the film source material to thereby cause the
`surface of the film source material to have its
`temperature raised by the plasma.”)
`
`Kawamata at 7:53 (“When the input power is 400
`W or higher, it is seen that the surface temperature
`of granules 3 rises to about 650ºC or higher…
`When the input power is 800 W, the surface
`temperature of the granules 3 rises to about 1100
`ºC.”)
`
`Kawamata at 7:51-53 (“FIG. 2 shows what
`changes of the surface temperature of granules 3
`and the rate of film formation on the substrate 2
`are brought about by changes of the input power”)
`
`Kawamata at Fig. 2
`
`One of ordinary skill would have been motivated
`to incorporate the teachings of Kawamata in
`Mozgrin, e.g., using input power to control the
`density of the plasma and thereby control the
`temperature of the sputtering material so as to
`control the sputtering yield.
`
`Also, one of ordinary skill reading Mozgrin would
`have looked to Kawamata. Mozgrin teaches that
`“[t]he implementation of the high-current
`magnetron discharge (regime 2) in sputtering or
`layer-deposition technologies provides an
`enhancement in the flux of deposited materials
`and plasma density.” Mozgrin at 409, left col, ¶ 4
`(emphasis added). Kawamata similarly notes that
`“[o]bjects of the present invention are to provide a
`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`6. The sputtering source of claim 1 further
`comprising a gas flow controller that
`controls a flow of the feed gas so that the
`feed gas diffuses the strongly-ionized
`plasma.
`
`process for producing a thin film…by sputtering
`at a high speed and a thin film produced
`thereby…” Kawamata at 2:6-9 (emphasis added).
`Both provide ways to enhance the sputtering rate
`and one of ordinary skill reading Mozgrin would
`have looked to Kawamata to learn additional
`details of controlling sputtering rate.
`
`Also, using Kawamata’s teachings of temperature
`control in Mozgrin would have been a
`combination of old elements in which each
`element behaved as expected.
`
`The combination of Mozgrin and Lantsman
`discloses a gas flow controller that controls a flow
`of the feed gas so that the feed gas diffuses the
`strongly-ionized plasma.
`
`Mozgrin at 401, left col, ¶ 4 (“… applying a
`square voltage pulse to the discharge gap which
`was filled up with either neutral or pre-ionized
`gas.”) (emphasis added)
`
`Lantsman at 3:9-13 (“… at the beginning of
`processing, this switch is closed and gas is
`introduced into the chamber. When the plasma
`process is completed, the gas flow is stopped…”)
`
`Lantsman at 4:36-38 (“To end processing,
`primary supply 10 is disabled, reducing the
`plasma current and deposition on the wafer.
`Then, gas flow is terminated…”)
`
`Lantsman at Fig. 6
`
`Lantsman at 5:39-42 (“Sometime thereafter, gas
`flow is initiated and the gas flow and pressure
`(trace 48) begin to ramp upwards toward normal
`processing levels.”)
`
`Lantsman at 5:42-45 (“After a delay time (54), a
`normal pressure and flow rate are achieved, and
`primary supply 10 is enabled, causing a ramp
`increase in the power produced by the primary
`supply (trace 52).)
`
`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`Lantsman at 2:48-51 (“This secondary power
`supply ‘pre-ignites’ the plasma so that when the
`primary power supply is applied, the system
`smoothly transitions to final plasma development
`and deposition.”)
`
`One of ordinary skill would have been motivated
`to use Lantsman’s gas flow controllers in
`Mozgrin’s sputtering systems so that the feed gas
`diffuses the strongly-ionized plasma. First, both
`Mozgrin and Lantsman are directed to sputtering
`using plasma. See Mozgrin at 409, left col, ¶ 4
`(“The implementation of the high-current
`magnetron discharge (regime 2) in sputtering or
`layer-deposition technologies provides an
`enhancement in the flux of deposited materials
`and plasma density…”); see also Lantsman at 1:6-
`8 (“This invention relates to reduction of device
`damage in plasma processes, including DC
`(magnetron or non-magnetron) sputtering, and RF
`sputtering.”). Accordingly, one of ordinary skill
`in the art would have been motivated to
`continually feed in the feed gas to diffuse the
`plasma and allow continued deposition to occur.
`See Mozgrin at 403, right col. ¶ 4.
`
`Also, both references relate to sputtering systems
`that use two power supplies, one for pre-
`ionization and one for deposition. See Mozgrin at
`Fig. 2; see also Lantsman at 4:45-47 (“…the
`secondary [power] supply 32 is used to pre-ignite
`the plasma, whereas the primary [power] supply
`10 is used to generate deposition.”)
`
`Moreover, both Mozgrin and Lantsman are
`concerned with generating plasma while avoiding
`arcing. See Mozgrin at 400, right col, ¶ 3 (“The
`main purpose of this work was to study
`experimentally a high-power noncontracted quasi-
`stationary discharge in crossed fields of various
`geometry and to determine their parameter
`ranges.”); see also Lantsman 1:51-59
`(“Furthermore, arcing which can be produced by
`overvoltages can cause local overheating of the
`target, leading to evaporation or flaking of target
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`material into the processing chamber and causing
`substrate particle contamination and device
`damage… Thus, it is advantageous to avoid
`voltage spikes during processing whenever
`possible.”)
`
`Summarizing, Mozgrin and Lantsman relate to the
`same application. Further, incorporating
`Lantsman’s gas flow controllers into Mozgrin
`would have been a combination of old elements
`according to known methods to yield predictable
`results.
`
`Background:
`
`Ohring at Fig. 3-13
`
`Smith at Fig. 3-1
`
`Smith at 35, ¶2 (, “Process gasses and vapors are
`metered into the chamber through mass flow-
`controlled supply lines…”)
`
`The combination of Mozgrin, Lantsman, and
`Kawamata discloses the gas flow controller
`controls the flow of the feed gas to allow
`additional power to be absorbed by the strongly
`ionized plasma, thereby generating additional
`thermal energy in the sputtering target.
`
`One of ordinary skill would have been motivated
`to combine Mozgrin, Lantsman and Kawamata.
`The reasons for using Lantsman’s gas flow in
`Mozgrin were explained with respect to claim 6.
`One of ordinary skill would have further been
`motivated to use Kawamata’s teachings of
`temperature control of the target and the
`relationship between target temperature and
`sputtering rate in Mozgrin as explained with
`respect to claim 3. Finally, using Lantsman’s gas
`flow and Kawamata’s temperature control in
`Mozgrin would have been a combination of old
`elements according to known methods to yield
`predictable results.
`
`7. The sputtering source of claim 6
`wherein the gas flow controller controls
`the flow of the feed gas to allow
`additional power to be absorbed by the
`strongly ionized plasma, thereby
`generating additional thermal energy in
`the sputtering target.
`
`
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`

`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`[17pre]. A sputtering source comprising: The combination of Mozgrin and Lantsman
`discloses a sputtering source.
`
`[17a] a) a cathode assembly comprising a
`sputtering target that is positioned
`adjacent to an anode;
`
`[17b] b) a power supply that generates a
`voltage pulse between the anode and the
`cathode assembly that creates a weakly-
`ionized plasma and then a strongly-
`ionized plasma from the weakly-ionized
`plasma without an occurrence of arcing
`between the anode and the cathode
`assembly, an amplitude and a rise time of
`the voltage pulse being chosen to increase
`a density of ions in the strongly-ionized
`plasma; and
`
`The combination of Mozgrin and Lantsman
`discloses a cathode assembly comprising a
`sputtering target that is positioned adjacent to an
`anode.
`
`The combination of Mozgrin and Lantsman
`discloses a power supply that generates a voltage
`pulse between the anode and the cathode
`assembly that creates a weakly-ionized plasma
`and then a strongly-ionized plasma from the
`weakly-ionized plasma without an occurrence of
`arcing between the anode and the cathode
`assembly, an amplitude and a rise time of the
`voltage pulse being chosen to increase a density
`of ions in the strongly-ionized plasma.
`
`[17c] c) a substrate support that is
`positioned adjacent to the sputtering
`target; and
`
`The combination of Mozgrin and Lantsman
`discloses a substrate support that is positioned
`adjacent to the sputtering target.
`
`Lantsman at Fig. 1
`
`Lantsman at 1:12-14 (“The semiconductor
`substrate 16 (also known as the wafer) rests on a
`back plane 18….”)
`
`One of ordinary skill would have been motivated
`to use Lantsman’s substrate support in Mozgrin’s
`sputtering systems. First, both Mozgrin and
`Lantsman are directed to sputtering using plasma.
`See Mozgrin at 409, left col, ¶ 4 (“The
`implementation of the high-current magnetron
`discharge (regime 2) in sputtering or layer-
`deposition technologies provides an enhancement
`in the flux of deposited materials and plasma
`density…”); see also Lantsman at 1:6-8 (“This
`invention relates to reduction of device damage in
`plasma processes, including DC (magnetron or
`non-magnetron) sputtering, and RF sputtering.”).
`Accordingly, rather than using a “probecollector”
`described in Mozgrin, one of ordinary skill in the
`
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`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`art would have been motivated to use a substrate
`support that can support a substrate to allow
`deposition onto a substrate, such as wafer 16. See
`Mozgrin at 403, right col. ¶ 4.
`
`Also, both references relate to sputtering systems
`that use two power supplies, one for pre-
`ionization and one for deposition. See Mozgrin at
`Fig. 2; see also Lantsman at 4:45-47 (“…the
`secondary [power] supply 32 is used to pre-ignite
`the plasma, whereas the primary [power] supply
`10 is used to generate deposition.”)
`
`Moreover, both Mozgrin and Lantsman are
`concerned with generating plasma while avoiding
`arcing. See Mozgrin at 400, right col, ¶ 3 (“The
`main purpose of this work was to study
`experimentally a high-power noncontracted quasi-
`stationary discharge in crossed fields of various
`geometry and to determine their parameter
`ranges.”); see also Lantsman 1:51-59
`(“Furthermore, arcing which can be produced by
`overvoltages can cause local overheating of the
`target, leading to evaporation or flaking of target
`material into the processing chamber and causing
`substrate particle contamination and device
`damage… Thus, it is advantageous to avoid
`voltage spikes during processing whenever
`possible.”)
`
`Summarizing, Mozgrin and Lantsman relate to the
`same application. Further, incorporating
`Lantsman’s substrate support into Mozgrin would
`have been a combination of old elements
`according to known methods to yield predictable
`results.
`
`The combination of Mozgrin and Lantsman
`discloses a bias voltage source having an output
`that is electrically plasma. coupled to the substrate
`support.
`
`Lantsman at Fig. 5
`
`Lantsman at 1:14-17 (“The back plane may be
`
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`
`[17d] d) a bias voltage source having an
`output that is electrically plasma. coupled
`to the substrate support.
`
`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`driven by radio frequency (RF) AC voltage
`signals, produced by an RF power supply 20,
`which drives the back plane through a
`compensating network 22.”)
`
`The combination of Mozgrin, Lantsman, and
`Kawamata discloses the increase of the density of
`ions in the strongly-ionized plasma is enough to
`generate sufficient thermal energy in a surface of
`the sputtering target to cause a sputtering yield to
`be related to a temperature of the sputtering target.
`
`See evidence cited in claim 17
`
`See evidence cited in claim 7
`
`‘421 Patent at 2:9-10 (“In general, the deposition
`rate is proportional to the sputtering yield.”)
`
`Kawamata at 3:18-20 (“[G]enerat[ing] plasma
`over the film source material to thereby cause the
`surface of the film source material to have its
`temperature raised by the plasma.”)
`
`Kawamata at 7:53 (“When the input power is 400
`W or higher, it is seen that the surface temperature
`of granules 3 rises to about 650ºC or higher…
`When the input power is 800 W, the surface
`temperature of the granules 3 rises to about 1100
`ºC.”)
`
`Kawamata at 7:51-53 (“FIG. 2 shows what
`changes of the surface temperature of granules 3
`and the rate of film formation on the substrate 2
`are brought about by changes of the input power”)
`
`Kawamata at Fig. 2
`
`One of ordinary skill would have been motivated
`to incorporate the teachings of Kawamata in
`Mozgrin, e.g., using input power to control the
`density of the plasma and thereby control the
`temperature of the sputtering material so as to
`control the sputtering yield.
`
`Also, one of ordinary skill reading Mozgrin would
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`
`18. The sputtering source of claim 17
`wherein the increase of the density of ions
`in the strongly-ionized plasma is enough
`to generate sufficient thermal energy in a
`surface of the sputtering target to cause a
`sputtering yield to be related to a
`temperature of the sputtering target.
`
`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`have looked to Kawamata. Mozgrin teaches that
`“[t]he implementation of the high-current
`magnetron discharge (regime 2) in sputtering or
`layer-deposition technologies provides an
`enhancement in the flux of deposited materials
`and plasma density.” Mozgrin at 409, left col, ¶ 4
`(emphasis added). Kawamata similarly notes that
`“[o]bjects of the present invention are to provide a
`process for producing a thin film…by sputtering
`at a high speed and a thin film produced
`thereby…” Kawamata at 2:6-9 (emphasis added).
`Both provide ways to enhance the sputtering rate
`and one of ordinary skill reading Mozgrin would
`have looked to Kawamata to learn additional
`details of controlling sputtering rate.
`
`Also, using Kawamata’s teachings of temperature
`control in Mozgrin would have been a
`combination of old elements in which each
`element behaved as expected.
`
`19. The sputtering source of claim 18
`wherein the sputtering yield is related to a
`temperature of a surface of the sputtering
`target.
`
`The combination of Mozgrin, Lantsman, and
`Kawamata discloses the sputtering yield is related
`to a temperature of a surface of the sputtering
`target.
`
`See evidence cited in claim 18
`
`Kawamata at Fig. 2
`
`20. The sputtering source of claim 18
`wherein the thermal energy generated in
`the surface of the sputtering target does
`not substantially increase an average
`temperature of the sputtering target.
`
`The combination of Mozgrin, Lantsman, and
`Kawamata discloses the thermal energy generated
`in the surface of the sputtering target does not
`substantially increase an average temperature of
`the sputtering target.
`
`See evidence cited in claim 18
`
`‘421 Patent at 20:52-56 (“When the temperature
`of the target 220 reaches a certain level, the target
`material is evaporated in an avalanche-like
`manner. In one embodiment, the high-power pulse
`generates thermal energy 516 into only a shallow
`depth of the target 220 so as to not substantially
`increase an average temperature of the target
`
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`

`EXHIBIT C.06
`U.S. Patent No. 7,811,421
`‘421 Claims 7, 18-20, and 32
`Mozgrin in view of Lantsman and Kawamata
`
`220.”)
`
`‘421 Patent at 9:57-61 (“the thermal energy in at
`least one of the cathode assembly… is conducted
`away or dissipated by liquid or gas cooling…”)
`
`Kawamata at 7:36-40 (“The [sputtering target
`was] heated by the plasma with their temperature
`maintained by a balance between plasma heating
`and cooling by cooling water 8 flowing on the
`lower face of the magnetron cathode 5….”)
`
`Kawamata at Fig. 1
`
`Mozgrin at 401, left col, ¶ 1 (“The cathode was
`placed on a cooled surface.”)
`
`The combination of Mozgrin and Lantsman
`discloses a gas flow controller that controls a flow
`of the feed gas so that the feed gas diffuses the
`strongly-ionized plasma.
`
`See evidence cited in claim 17
`
`See evidence cited in claim 6
`
`The combination of Mozgrin, Lantsman, and
`Kawamata discloses the gas flow controller
`controls the flow of the feed gas to allow
`additional power to be absorbed by the strongly
`ionized plasma, thereby generating additional
`thermal energy in the sputtering target.
`
`See evidence cited in claim 31
`
`See evidence cited in claim 7
`
`31. The sputtering source of claim 17
`further comprising a gas flow controller
`that controls a flow of the feed gas so that
`the feed gas diffuses the strongly-ionized
`plasma.
`
`32. The sputtering source of claim 31
`wherein the gas flow controller controls
`the flow of the feed gas to allow
`additional power to be absorbed by the
`strongly ionized plasma, thereby
`generating additional thermal energy in
`the sputtering target.
`
`
`
`
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