U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`
`DOCKET NO.: 0107131-00271US5
`Filed on behalf of Intel Corporation
`By: Richard Goldenberg, Reg. No. 38,895
`David L. Cavanaugh, Reg. No. 36,476
`Wilmer Cutler Pickering Hale and Dorr LLP
`1875 Pennsylvania Ave., NW
`Washington, DC 20006
`Tel: (202) 663-6000
`Email: Richard.Goldenberg@wilmerhale.com
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` David.Cavanaugh@wilmerhale.com
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`
`INTEL CORPORATION
`Petitioner
`
`v.
`
`ZOND, INC.
`Patent Owner
`
`Case IPR2014-00498
`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 6,853,142
`CHALLENGING CLAIMS 40 and 41
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
`
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`
`TABLE OF CONTENTS
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`
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`I.  Mandatory Notices ........................................................................................ - 1 - 
`A.  Real Party-in-Interest ............................................................................... - 1 - 
`B.  Related Matters ......................................................................................... - 1 - 
`C.  Counsel ..................................................................................................... - 1 - 
`D.  Service Information .................................................................................. - 1 - 
`II.  Certification of Grounds for Standing .......................................................... - 2 - 
`III.  Overview of Challenge and Relief Requested ............................................ - 2 - 
`A.  Prior Art Patents and Printed Publications ............................................... - 2 - 
`B.  Grounds for Challenge ............................................................................. - 3 - 
`IV.  Brief Description of Technology ................................................................. - 3 - 
`A.  Plasma ....................................................................................................... - 3 - 
`B. 
`Ions and Excited Atoms ........................................................................... - 5 - 
`V.  Overview of the ‘142 Patent ......................................................................... - 6 - 
`A.  Summary of Alleged Invention of the ’142 Patent .................................. - 6 - 
`B.  Prosecution History .................................................................................. - 6 - 
`VI.  Overview of the Primary Prior Art References ........................................... - 7 - 
`A.  Summary of the Prior Art ......................................................................... - 7 - 
`B.  Overview of Mozgrin ............................................................................... - 7 - 
`C.  Overview of Kudryavtsev ........................................................................ - 9 - 
`D.  Overview of Wang ................................................................................. - 10 - 
`E.  Overview of Lantsman ........................................................................... - 11 - 
`VII.  Claim Construction ................................................................................. - 12 - 
`A. 
`“weakly-ionized plasma” and “strongly-ionized plasma” ..................... - 12 - 
`B. 
`“means for ionizing a feed gas…” (claims 40 and 41) .......................... - 14 - 
`C. 
`“means for supplying power…” (claim 40) and “means for applying an
`electric field…” (claim 41) ............................................................................. - 15 - 
`D. 
`“means for diffusing…” (claim 40) ....................................................... - 16 - 
`VIII.  Specific Grounds for Petition ................................................................. - 16 - 
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`A.  Ground I: Claim 41 is obvious in view of the combination of Mozgrin and
`Kudryavtsev .................................................................................................... - 17 - 
`B.  Ground II: Claim 41 is obvious in view of the combination of Wang and
`Kudryavtsev .................................................................................................... - 33 - 
`C.  Ground III: Claim 40 is obvious in view of the combination of Mozgrin
`and Lantsman .................................................................................................. - 43 - 
`D.  Ground IV: Claim 40 is obvious in view of the combination of Wang and
`Lantsman ......................................................................................................... - 53 - 
`IX.  Conclusion ................................................................................................. - 60 - 
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`TABLE OF AUTHORITIES
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`
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`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007).
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`37 C.F.R. §42.22(a)(1)
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`37 C.F.R. § 42.100(b)
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`37 C.F.R. §42.104(a)
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`37 C.F.R. §42.104(b)(1)-(5)
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`77 Fed. Reg. 48764 (Aug. 14, 2012).
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`
`I. MANDATORY NOTICES
`A. Real Party-in-Interest
`Intel Corporation (“Petitioner”) is the real party-in-interest.
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`B. Related Matters
`Zond has asserted U.S. Patent No. 6,853,142 (“’142 Patent”) (Ex. 1401)
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`against numerous parties in the District of Massachusetts, 1:13-cv-11570-RGS
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`(Zond v. Intel); 1:13-cv-11577-DPW (Zond v. AMD, Inc., et al); 1:13-cv-11581-
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`DJC (Zond v. Toshiba Am. Elec. Comp. Inc.); 1:13-cv-11591-RGS (Zond v. SK
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`Hynix, Inc.); 1:13-cv-11625-NMG (Zond v. Renesas Elec. Corp.); 1:13-cv-11634-
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`WGY (Zond v. Fujitsu, et al.); and 1:13-cv-11567-DJC (Zond v. Gillette,
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`Co.). Petitioner is also filing additional Petitions for Inter Partes review in several
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`patents related1 to the ’142 Patent.
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`C. Counsel
`Lead Counsel: Richard Goldenberg (Registration No. 38,895)
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`Backup Counsel: David L. Cavanaugh (Registration No. 36,476)
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`Service Information
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`D.
`E-mail:
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`David.Cavanaugh@wilmerhale.com;
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`Richard.Goldenberg@wilmerhale.com
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`Post and hand delivery: Wilmer, Cutler, Pickering, Hale and Dorr, LLP
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`1 The related patents, e.g., name the same alleged inventor.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`1875 Pennsylvania Ave., NW
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`Washington, DC 20006
`
`Telephone: 202-663-6000
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`
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`Fax: 202-663-6363
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`II. CERTIFICATION OF GROUNDS FOR STANDING
`Petitioner certifies pursuant to Rule 42.104(a) that the patent for which
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`review is sought is available for inter partes review and that Petitioner is not
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`barred or estopped from requesting an inter partes review challenging the patent
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`claims on the grounds identified in this Petition.
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`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED
`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)-(2), Petitioner challenges
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`claims 40 and 41 of the ’142 Patent.
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`Prior Art Patents and Printed Publications
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`A.
`The following references are pertinent to the grounds of unpatentability
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`explained below: 2
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`1.
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`D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research, Plasma Physics Reports,
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`Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1403)), which is prior art under
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`102(b).
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`2 The ‘142 Patent issued prior to the America Invents Act (the “AIA”). Petitioner
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`has chosen to use the pre-AIA statutory framework to refer to the prior art.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1405)), which is prior art under
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`2.
`
`102(a) and (e).
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`3.
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`U.S. Pat. No. 6,190,512 (“Lantsman” (Ex. 1406)), which is prior art under
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`102(b).
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`4.
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`A. A. Kudryavtsev and V.N. Skerbov, Ionization relaxation in a plasma
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`produced by a pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), pp. 30-35,
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`January 1983 (“Kudryavtsev” (Ex. 1404)), which is prior art under 102(b).
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`B. Grounds for Challenge
`Petitioner requests cancellation of claims 40 and 41 of the ’142 Patent as
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`unpatentable under 35 U.S.C. §103. This Petition, supported by the declaration of
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`Dr. Uwe Kortshagen (“Kortshagen Decl.” (Ex. 1402)) filed herewith, demonstrates
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`that there is a reasonable likelihood that Petitioner will prevail with respect to at
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`least one challenged claim and that each challenged claim is not patentable.3 See
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`35 U.S.C. § 314(a).
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`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`A.
`Plasma
`A plasma is a collection of ions, free electrons, and neutral atoms.
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`3 The term “challenged claims” as used herein refers to claims 40 and 41 of the
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`‘142 Patent. Petitioner seeks to invalidate the remaining claims of the ‘142 Patent
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`in separate petitions.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`Kortshagen Decl. ¶ 22 (Ex. 1402). The negatively charged free electrons and
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`positively charged ions are present in roughly equal numbers such that the plasma
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`as a whole has no overall electrical charge. The “density” of a plasma refers to the
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`number of ions or electrons that are present in a unit volume. Id. (Ex. 1402).4
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`Plasma had been used in research and industrial applications for decades
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`before the ‘142 patent was filed. Kortshagen Decl. ¶ 23 (Ex. 1402). For example,
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`sputtering is an industrial process that uses plasmas to deposit a thin film of a
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`target material onto a surface called a substrate (e.g., silicon wafer during a
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`semiconductor manufacturing operation). Id. (Ex. 1402). Ions in the plasma strike
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`a target surface causing ejection of a small amount of target material. Id. (Ex.
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`1402). The ejected target material then forms a film on the substrate. Id. (Ex.
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`1402).
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`Under certain conditions, electrical arcing can occur during sputtering. Id. at
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`¶ 24 (Ex. 1402). Arcing is undesirable because it causes explosive release of
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`droplets from the target that can splatter on the substrate. Id. (Ex. 1402). The need
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`to avoid arcing while sputtering was known long before the ‘142 Patent was filed.
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`4 The terms “plasma density” and “electron density” are often used interchangeably
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`because the negatively charged free electrons and positively charged ions are
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`present in roughly equal numbers in plasmas that do not contain negatively
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`charged ions or clusters. Kortshagen Decl. ¶ 22, FN1 (Ex. 1402).
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`
`Id. (Ex. 1402).
`
`Ions and Excited Atoms
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`B.
`Atoms have equal numbers of protons and electrons. Kortshagen Decl. ¶ 25
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`(Ex. 1402). Each electron has an associated energy state. Id. (Ex. 1402). If all of
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`an atom’s electrons are at their lowest possible energy state, the atom is said to be
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`in the “ground state.” Id. (Ex. 1402).
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`On the other hand, if one or more of an atom’s electrons is in a state that is
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`higher than its lowest possible state, then the atom is said to be an “excited atom.”
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`Id. at ¶ 26 (Ex. 1402). Excited atoms are electrically neutral– they have equal
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`numbers of electrons and protons. Id. (Ex. 1402). A collision with a free electron
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`(e-) can convert a ground state atom to an excited atom. Id. (Ex. 1402). For
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`example, the ‘142 Patent uses the following equation to describe production of an
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`excited argon atom, Ar*, from a ground state argon atom, Ar. See ‘142 Patent at
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`10:12 (Ex. 1401).
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`Ar + e-  Ar* + e-
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`An ion is an atom that has become disassociated from one or more of its
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`electrons. Kortshagen Decl. ¶ 27 (Ex. 1402). A collision between a free, high
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`energy, electron and a ground state or excited atom can create an ion. Id. (Ex.
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`1402). For example, the ‘142 Patent uses the following equations to describe
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`production of an argon ion, Ar+, from a ground state argon atom, Ar, or an excited
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`argon atom, Ar*. See ‘142 Patent at 3:1 and 9:14 (Ex. 1401).
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`Ar + e-  Ar+ + 2e-
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`Ar* + e-  Ar+ + 2e-
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`The production of excited atoms and ions was well understood long before
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`the ‘142 patent was filed. Kortshagen Decl. ¶ 28 (Ex. 1402).
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`V. OVERVIEW OF THE ‘142 PATENT
`A.
`Summary of Alleged Invention of the ’142 Patent
`The ‘142 Patent describes generating a plasma by applying an electrical
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`pulse in a manner that allegedly reduces the probability of arcing.
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`More specifically, the claims of the ‘142 Patent are generally directed to
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`generating a so-called, “weakly-ionized plasma” and then applying an electrical
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`pulse to increase the density of that plasma so as to form a “strongly-ionized
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`plasma.” The weakly-ionized plasma is claimed to reduce the probability of
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`forming an electrical breakdown condition.
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`Specific claims are directed to further operational details such as supplying a
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`feed gas to the plasma, characteristics of the electrical pulse, generating a magnetic
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`field and the type of power supply used.
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`Prosecution History
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`B.
`The first substantive office action rejected all independent claims as
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`anticipated. See 10/07/03 Office Action at 3 (Ex. 1407). The applicant then
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`amended every independent claim to require “the weakly-ionized plasma reducing
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`the probability of developing an electrical breakdown condition in the chamber”
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`or similar limitations. See 03/08/04 Resp. (Ex. 1408).
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`Following that amendment, the claims were allowed. The Notice of
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`Allowance explicitly recites these limitations as the examiner’s reasons for
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`allowance. 03/29/04 Allowance at 2 (“The prior art neither discloses nor suggests
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`… the weakly-ionized plasma reducing the probability of developing an electrical
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`breakdown condition in the chamber such as required by claims 1, 22, 43, 44…10
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`and 33.”) (Ex. 1409). However, as explained in detail below, and contrary to the
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`Examiner’s reasons for allowance, the prior art addressed herein teaches those and
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`all other limitations of the challenged claims. Kortshagen Decl. ¶ 33 (Ex. 1402).
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`VI. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the Prior Art
`As explained in detail below, limitation-by-limitation, there is nothing new
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`or non-obvious in the challenged claims of the ‘142 Patent. Id. at ¶ 34 (Ex. 1402).
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`B. Overview of Mozgrin5
`Mozgrin teaches forming a plasma
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`“without forming an arc discharge.” Fig. 7 of
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`Mozgrin, copied here, shows the current-
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`voltage characteristic (“CVC”) of a plasma
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`5 Mozgrin is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`discharge. As shown, Mozgrin divides this CVC into four distinct regions.
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`Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2 (“Part
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`1 in the voltage oscillogram represents the voltage of the stationary discharge (pre-
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`ionization stage).” (emphasis added)) (Ex. 1403). See also Kortshagen Decl. ¶ 38
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`(Ex. 1402).
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`Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin at 409,
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`left col, ¶ 4 (“The implementation of the high-current magnetron discharge
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`(regime 2)…” (emphasis added)) (Ex. 1403). See also Kortshagen Decl. ¶ 39 (Ex.
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`1402). Application of a high voltage to the pre-ionized plasma causes the
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`transition from region 1 to 2. Id. (Ex. 1402). Mozgrin teaches that region 2 is
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`useful for sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was characterized
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`by an intense cathode sputtering…”) (Ex. 1403).
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`Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at 409, left
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`col, ¶ 5, (“The high-current diffuse discharge (regime 3)…” (emphasis added))
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`(Ex. 1403). See also Kortshagen Decl. ¶ 40 (Ex. 1402). Increasing the current
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`applied to the “high-current magnetron discharge” (region 2) causes the plasma to
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`transition to region 3. Id. (Ex. 1402). Mozgrin also teaches that region 3 is useful
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`for etching, i.e., removing material from a surface. Mozgrin at 409, left col, ¶ 5
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`(“The high-current diffuse discharge (regime 3) is useful … Hence, it can enhance
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`the efficiency of ionic etching…”) (Ex. 1403). See also Kortshagen Decl. ¶ 40
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`
`(Ex. 1402).
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`Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, ¶ 3
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`(“…part 4 corresponds to the high-current low-voltage arc discharge…”
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`(emphasis added)) (Ex. 1403). See also Kortshagen Decl. ¶ 41 (Ex. 1402). Further
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`increasing the applied current causes the plasma to transition from region 3 to the
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`“arc discharge” region 4. Id. (Ex. 1402).
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`Within its broad disclosure of a range of issues related to sputtering and
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`etching, Mozgrin describes arcing and how to avoid it. Id. at ¶ 42 (Ex. 1402).
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`C. Overview of Kudryavtsev
`Kudryavtsev is a technical paper that studies the ionization of a plasma with
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`voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1404). See also
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`Kortshagen Decl. ¶ 43 (Ex. 1402). In particular, Kudryavtsev describes how
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`ionization of a plasma can occur via different processes. The first process is direct
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`ionization, in which ground state atoms are converted directly to ions. See, e.g.,
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`Kudryavtsev at Fig. 6 caption (Ex. 1404). See also Kortshagen Decl. ¶ 43 (Ex.
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`1402). The second process is multi-step ionization, which Kudryavtsev calls
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`stepwise ionization. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1404). See also
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`Kortshagen Decl. ¶ 43 (Ex. 1402). Kudryavtsev notes that under certain conditions
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`multi-step ionization can be the dominant ionization process. See, e.g.,
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`Kudryavtsev at Fig. 6 caption (Ex. 1404). See also Kortshagen Decl. ¶ 43 (Ex.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`1402). Mozgrin took into account the teachings of Kudryavtsev when designing
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`his experiments. Mozgrin at 401, ¶ spanning left and right cols. (“Designing the
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`unit, we took into account the dependences which had been obtained in
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`[Kudryavtsev]…”) (Ex. 1403). See also Kortshagen Decl. ¶ 43 (Ex. 1402).
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`Kudryavtsev was not of record during the prosecution of the ‘142 Patent.
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`D. Overview of Wang6
`Wang discloses a pulsed magnetron sputtering device having an anode (24),
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`a cathode (14), a magnet
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`assembly (40), a DC power
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`supply (100) (shown in Fig. 7),
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`and a pulsed DC power supply
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`(80). See Wang at Figs. 1, 7,
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`3:57-4:55; 7:56-8:12 (Ex. 1405).
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`Fig. 6 (annotated and reproduced below) shows a graph of the power Wang applies
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`to the plasma. The lower power level, PB, is generated by the DC power supply
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`100 (shown in Fig. 7) and the higher power level, PP, is generated by the pulsed
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`power supply 80. See Wang 7:56-64 (Ex. 1405); see also Kortshagen Decl. ¶ 45
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`(Ex. 1402). Wang’s lower power level, PB, maintains the plasma after ignition and
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`application of the higher power level, PP, raises the density of the plasma. Wang at
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`6 Wang is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`7:17-31 (“The background power level, PB, is chosen to exceed the minimum
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`power necessary to support a plasma... [T]he application of the high peak power,
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`PP, quickly causes the already existing plasma to spread and increases the density
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`of the plasma.”) (Ex. 1405). See also Kortshagen Decl. ¶ 45 (Ex. 1402). Wang
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`applies the teachings of Mozgrin and Kudryavtsev in a commercial, industrial
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`plasma sputtering device. Id. (Ex. 1402).
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`E. Overview of Lantsman
`Like Mozgrin and Wang, Lantsman relates to plasma sputtering systems.
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`Lantsman at Title (Ex. 1404); 1:6-8 (“This invention relates to reduction of device
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`damage in plasma processes, including DC (magnetron or non-magnetron)
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`sputtering, and RF sputtering.”) (Ex. 1404). See also Kortshagen Decl. ¶ 46 (Ex.
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`1402). Also like Mozgrin and Wang, Lantsman is concerned with generating a
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`plasma while avoiding arcing. Lantsman at 1:51-59 (“Thus, it is advantageous to
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`avoid voltage spikes during processing whenever possible.”) (Ex. 1404). See also
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`Kortshagen Decl. ¶ 46 (Ex. 1402).
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`Lantsman teaches supplying the feed gas during the entirety of the plasma
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`processing. Lantsman at 3:9-13 (“[A]t the beginning of processing, this switch is
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`closed and gas is introduced into the chamber. When the plasma process is
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`completed, the gas flow is stopped….”) (Ex. 1404); 4:36-38 (“To end processing,
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`primary supply 10 is disabled, reducing the plasma current and deposition on the
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`wafer. Then, gas flow is terminated….”) (Ex. 1404). See also Kortshagen Decl. ¶
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`47 (Ex. 1402).
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`Lantsman was not of record during the prosecution of the ‘142 Patent.
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`VII. CLAIM CONSTRUCTION
`A claim in inter partes review is given the “broadest reasonable construction
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`in light of the specification.” 37 C.F.R. § 42.100(b). Any claim term that lacks a
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`definition in the specification is therefore also given a broad interpretation.7 In re
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`ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007). The
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`following discussion proposes constructions of and support therefore of those
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`terms. Any claim terms not included in the following discussion are to be given
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`their broadest reasonable interpretation in light of the specification as commonly
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`understood by those of ordinary skill in the art. Moreover, should the Patent
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`Owner, in order to avoid the prior art, contend that the claim has a construction
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`different from its broadest reasonable interpretation, the appropriate course is for
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`the Patent Owner to seek to amend the claim to expressly correspond to its
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`contentions in this proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
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`A.
`“weakly-ionized plasma” and “strongly-ionized plasma”
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`7 Petitioner adopts the “broadest reasonable construction” standard as required by
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`37 C.F.R. § 42.100(b). Petitioner reserves the right to pursue different
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`constructions in a district court, where a different standard is applicable.
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`The challenged claims recite “weakly-ionized plasma” and “strongly-ionized
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`plasma.” These terms relate to the density of the plasma, i.e., a weakly-ionized
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`plasma has a lower density than a strongly-ionized plasma. Kortshagen Decl. ¶ 51
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`(Ex. 1402). With reference to Fig. 3, the ‘142 Patent describes forming a weakly-
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`ionized plasma between times t1 and t2 by application of the low power 302 and
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`then goes on to describe forming a strongly-ionized plasma by application of
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`higher power 304. ‘142 Patent at 11:32-38; 12:9-16 (Ex. 1401). The ‘142 Patent
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`also provides exemplary densities for the weakly-ionized and strongly-ionized
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`plasmas. See ‘142 Patent at claim 17 (“wherein the peak plasma density of the
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`weakly-ionized plasma is less than about 1012 cm˗3”); claim 18 (“wherein the peak
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`plasma density of the strongly-ionized plasma is greater than about 1012 cm˗3”) (Ex.
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`1401).
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`Thus, the proposed construction for “weakly-ionized plasma” is “a lower
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`density plasma.” Likewise, the proposed construction for “strongly-ionized
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`plasma” is “a higher density plasma.”
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`Petitioner’s proposed construction is consistent with the position the Patent
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`Owner has taken in other jurisdictions. For example, the Patent Owner, when
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`faced with a clarity objection during prosecution of a related European patent
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`application, argued that “it is [sic] would be entirely clear to the skilled man, not
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`just in view of the description, that a reference to a ‘weakly-ionised plasma’ in the
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`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`claims indicates a plasma having an ionisation level lower than that of a ‘strongly-
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`ionized plasma’ and there can be no lack of clarity.” 04/21/08 Response in EP
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`1560943 (Ex. 1415).
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`“means for ionizing a feed gas…” (claims 40 and 41)
`
`B.
`Claim 40 recites “means for ionizing a feed gas to form a weakly-ionized
`
`plasma that reduces the probability of developing an electrical breakdown
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`condition in the chamber.” The claimed function is: “ionizing a feed gas to form a
`
`weakly-ionized plasma that reduces the probability of developing an electrical
`
`breakdown condition in the chamber.”
`
`Claim 41 recites “means for ionizing a feed gas to generate a weakly-ionized
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`plasma proximate to a cathode, the weakly-ionized plasma reducing the probability
`
`of developing an electrical breakdown condition proximate to the cathode.” The
`
`claimed function is “ionizing a feed gas to generate a weakly-ionized plasma
`
`proximate to a cathode, the weakly-ionized plasma reducing the probability of
`
`developing an electrical breakdown condition proximate to the cathode.”
`
`The ‘142 Patent discloses at least the following corresponding structure for
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`the “means for ionizing…” limitations of both claims 40 and 41: a power supply,
`
`generating the voltage, current and power values shown in Fig. 4 (e.g., between t1 –
`
`t2 and t6 – t7), electrically coupled to cathode (e.g., 204), anode (e.g., 216) and/or an
`
`electrode (e.g., 452, 452’), wherein the cathode, anode and/or electrode are
`
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`

`

`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`arranged relative to a sputtering target as shown in Figs. 2A-2D and 6A-6D, and as
`
`described in the text of the ‘142 Patent at 5:5-36, 16:24-40, 17:40-18:12, 18:13-34,
`
`and 18:35-46 (Ex. 1401).
`
`C.
`
`“means for supplying power…” (claim 40) and “means for
`applying an electric field…” (claim 41)
`
`Claim 40 recites “means for supplying power to the weakly-ionized plasma
`
`by applying an electrical pulse across the weakly-ionized plasma, the electrical
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`pulse having a magnitude and a rise-time that is sufficient to increase the density of
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`the weakly-ionized plasma to generate a strongly-ionized plasma.” The claimed
`
`function is “supplying power to the weakly-ionized plasma by applying an
`
`electrical pulse across the weakly-ionized plasma, the electrical pulse having a
`
`magnitude and a rise-time that is sufficient to increase the density of the weakly-
`
`ionized plasma to generate a strongly-ionized plasma.”
`
`Claim 41 recites “means for applying an electric field across the weakly-
`
`ionized plasma in order to excite atoms in the weakly-ionized plasma and to
`
`generate secondary electrons from the cathode, the secondary electrons ionizing
`
`the excited atoms, thereby creating the strongly-ionized plasma.” The claimed
`
`function is “applying an electric field across the weakly-ionized plasma in order to
`
`excite atoms in the weakly-ionized plasma and to generate secondary electrons
`
`from the cathode, the secondary electrons ionizing the excited atoms, thereby
`
`creating the strongly-ionized plasma.”
`
`- 15 -
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`

`

`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`The ‘142 Patent discloses at least the following corresponding structure for
`
`the “means for supplying power…” of claim 40 and the “means for applying…” of
`
`claim 41: pulsed power supply (e.g., 202), generating the voltage, current and
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`power values shown in Fig. 4 (e.g., between t2 – t4), electrically coupled to a
`
`cathode (e.g., 204) and anode (e.g., 216), wherein the cathode and anode are
`
`arranged relative to a sputtering target as shown in Figs. 2A-2D and 6A-6D, and as
`
`described in the text of the ‘142 Patent at 6:57-7:31, 8:16-25, 12:1-16, 13:25-55,
`
`13:63-14:5, 17:12-33, 19:3-14, and 19:22-32 (Ex. 1401).
`
`“means for diffusing…” (claim 40)
`
`D.
`Claim 40 recites “means for diffusing the strongly-ionized plasma with
`
`additional feed gas to allow additional power to be absorbed by the strongly-
`
`ionized plasma.” The claimed function is “diffusing the strongly-ionized plasma
`
`with additional feed gas to allow additional power to be absorbed by the strongly-
`
`ionized plasma.”
`
`The ‘142 Patent discloses at least the following corresponding structure:
`
`feed gas lines 224 as shown in Figs. 2A-2D and 6A-D and as described in the text
`
`of the ‘142 Patent at 4:48-5:4 (Ex. 1401).
`
`VIII. SPECIFIC GROUNDS FOR PETITION
`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in
`
`the Kortshagen Decl. ¶ 62 (Ex. 1402), demonstrate in detail how the prior art
`
`- 16 -
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`

`

`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`discloses each and every limitation of claims 40 and 41 of the ’142 Patent, and
`
`how those claims are rendered obvious by the prior art. The claim charts that
`
`Petitioner served on Feb. 11, 2014 in its ongoing litigation involving the Petitioner
`
`and the Patent Owner, showing that claims 40 and 41 are unpatentable, are
`
`submitted hereto as Exhibits 1416-1419 (Exs. 1416-1419). Dr. Kortshagen has
`
`reviewed those charts and agrees with them. Kortshagen Decl. ¶¶ 63, 64, 102, 131,
`
`155 (Ex. 1402).
`
`A. Ground I: Claim 41 is obvious in view of the combination of
`Mozgrin and Kudryavtsev
`a)
`Claim 41 begins, “[a]n apparatus for generating a strongly-ionized plasma.”
`
`The preamble
`
`As shown in Fig. 1, Mozgrin teaches generating plasma in “two types of devices: a
`
`planar magnetron and a system with specifically shaped hollow electrodes.”
`
`Mozgrin at Fig. 1; 400, right col, ¶ 4. (Ex. 1403). The densities in Mozgrin’s
`
`regions 1-3 are summarized below.
`
` Region 1: 109 – 1011 cm-3.8
`
` Region 2: exceeding 2x1013 cm-3.9
`
` Region 3: 1.5x1015cm-3.10
`
`
`8 Mozgrin at 401, right col, ¶2 (Ex. 1403).
`
`9 Mozgrin at 409, left col, ¶ 4 (Ex. 1403).
`
`- 17 -
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`

`

`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
`
`Kortshagen Decl. ¶ 66 (Ex. 1402). The density in those regions matches the
`
`exemplary density given for a strongly-ionized plasma in the ‘142 Patent. ‘142
`
`Patent at claim 18 (“wherein the peak plasma density of the strongly-ionized
`
`plasma is greater than about 1012 cm˗3”) (Ex. 1401). See also Kortshagen Decl. ¶
`
`66 (Ex. 1402). Mozgrin therefore teaches the preamble. Kortshagen Decl. ¶ 66
`
`(Ex. 1402).
`
`b)
`As explained above in section VII.B, the claimed function of the “means for
`
`“means for ionizing…”: Function
`
`ionizing…” is: “ionizing a feed gas to generate a weakly-ionized plasma proximate
`
`to a cathode, the weakly-ionized plasma reducing the probability of developing an
`
`electrical breakdown condition proximate to the cathode.”
`
`(1)
`“ionizing a feed gas to generate a weakly-ionized
`plasma proximate to a cathode”
`
`The ‘142 Patent uses the terms “weakly-ionized plasma” and “pre-ionized
`
`plasma” synonymously. ‘142 Patent at 5:18-19 (“The weakly-ionized plasma is
`
`also referred to as a pre-ionized plasma.”) (Ex. 1401). Mozgrin’s power supply
`
`(shown in Fig. 2) generates a pre-ionized plasma in Mozgrin’s region 1. Mozgrin
`
`at 402, right col, ¶2 (“Figure 3 shows typical voltage and current oscillograms.…
`
`
`10 Mozgrin at 409, left col, ¶5 (Ex. 1403).
`
`- 18 -
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`

`

`U.S. PATENT 6,853,142
`Petition for Inter Partes Review
`Part I in the voltage oscillogram represents the voltage of the stationary discharge
`
`(pre-ionization stage).”) (Ex. 1403). See also Kortshagen Decl. ¶ 68 (Ex. 1402).
`
`Moreover, the density of Mozgrin’s pre-ionized plasma matches the
`
`exemplary density for weakly-ionized plasma given in the ‘142 Patent. ‘142 Patent
`
`at claim 17 (“wherein the peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm˗3”) (emphasis added) (Ex. 1401); 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˗3 range.”) (Ex. 1403) (emphasis added).
`
`Mozgrin also teaches generating its plasma from feed gasses such as Argon
`
`and Nitrogen. Mozgrin at 400, right col, ¶ 3 (“We investigated the discharge
`
`regimes in various gas mixtures at 10-3 – 10 tor