`‘716 Patent, Claims 12 and 13
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`DOCKET NO: 0107131.00273US2
`’716 PATENT
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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
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`PATENT: 7,604,716, CLAIMS 12 and 13
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`INVENTOR: ROMAN CHISTYAKOV
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`
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`FILED: JULY 22, 2004
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` ISSUED: OCTOBER 20, 2009
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`TITLE: METHODS AND APPARATUS FOR GENERATING HIGH-
`DENSITY PLASMA
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`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`
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`DECLARATION OF UWE KORTSHAGEN, PH.D., REGARDING
`CLAIMS 12 AND 13 OF U.S. PATENT NO. 7,604,716
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`I, Uwe Kortshagen, declare as follows:
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`1. My name is Uwe Kortshagen.
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`2.
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`I received my Diploma in Physics from the University of Bochum in
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`Germany in 1988. I received my Ph.D. in Physics from University of Bochum in
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`1991 and my Habilitation in Experimental Physics from University of Bochum in
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`1995.
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`INTEL 1102
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`3.
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`I am a Distinguished McKnight University Professor at the University
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`of Minnesota. I have been the Head of the Mechanical Engineering Department at
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`the University of Minnesota since July 2008. I have been a Professor at the
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`Mechanical Engineering Department at the University of Minnesota since August
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`2003. Between August 1999 and August 2003, I was an Associate Professor at the
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`Mechanical Engineering Department at the University of Minnesota. Between July
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`1996 and August 1999, I was an Assistant Professor at the Mechanical Engineering
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`Department at the University of Minnesota. Between April 1996 and July 1996, I
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`was a Lecturer at the Department of Physics and Astronomy at the University of
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`Bochum, Germany. Between August 2006 and June 2008, I was the Director of
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`Graduate Studies at the Mechanical Engineering Department at the University of
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`Minnesota.
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`4.
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`I have taught courses on Introduction to Plasma Technology and
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`Advanced Plasma Technology. These courses include significant amounts of
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`material on plasma technology. In addition, I have taught a Special Topics class
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`on Plasma Nanotechnology.
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`5.
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`Plasma processes for advanced technological applications has been
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`the primary area of my professional research for over 30 years. Most of my Ph.D.
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`students go on to work on plasmas either in academia or the semiconductor
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`industry.
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`6.
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`7.
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`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
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`I have reviewed the specification, claims, and file history of U.S.
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`Patent No. 7,604,716 (the “‘716 patent”) (Ex. 1101). I understand that the ’716
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`patent was filed on July 22, 2004. I understand that, for purposes determining
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`whether a publication will qualify as prior art, the earliest date that the ’716 patent
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`could be entitled to is November 4, 2002.
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`8.
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`I have reviewed the following publications:
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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
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`Reports, Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1103)).
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` U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1104)).
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` U.S. Pat. No. 6,190,512 (“Lantsman” (Ex. 1105)).
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`9.
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`I have read and understood each of the above publications. The
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`disclosure of each of these publications provides sufficient information for
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`someone to make and use the plasma generation and sputtering processes that are
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`described in the above publications.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`10.
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`I have considered certain issues from the perspective of a person of
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`ordinary skill in the art at the time the ‘716 patent application was filed. In my
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`opinion, a person of ordinary skill in the art for the ‘716 patent would have found
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`the ‘716 invalid.
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`11.
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`I have been retained by Intel Corporation (“Intel” or “Petitioner”) as
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`an expert in the field of plasma technology. I am being compensated at my normal
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`consulting rate of $350/hour for my time. My compensation is not dependent on
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`and in no way affects the substance of my statements in this Declaration.
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`12.
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`I have no financial interest in the Petitioner. I similarly have no
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`financial interest in the ’716 patent, and have had no contact with the named
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`inventor of the ’716 patent.
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`I.
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`RELEVANT LAW
`13.
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`I am not an attorney. For the purposes of this declaration, I have been
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`informed about certain aspects of the law that are relevant to my opinions. My
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`understanding of the law is as follows:
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`A. Claim Construction
`14.
`I have been informed that claim construction is a matter of law and
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`that the final claim construction will ultimately be determined by the Board. For
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`the purposes of my invalidity analysis in this proceeding and with respect to the
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`prior art, I have applied the broadest reasonable construction of the claim terms as
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`they would be understood by one skilled in the relevant art.
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`15.
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`I have been informed and understand that a claim in inter partes
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`review is given the “broadest reasonable construction in light of the specification.”
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`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
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`term that lacks a definition in the specification is therefore also given a broad
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`interpretation.
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`B. Anticipation
`16.
`I have been informed and understand that a patent claim can be
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`considered to have been anticipated at the time the application was filed. This
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`means that if all of the requirements of a claim are found in a single prior art
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`reference, the claim is not patentable. I have also been informed that a U.S. Patent
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`can incorporate by reference subject matter from another U.S. Patent or Patent
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`Publication. In such instances, I have been informed that I should consider them to
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`be a single prior art reference. I further understand that a claim is anticipated by a
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`reference when all the limitations of the claim are present in a single embodiment
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`described in the reference, even if there are multiple embodiments disclosed in the
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`reference.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`C. Obviousness
`17.
`I have been informed and understand that a patent claim can be
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`considered to have been obvious to a person of ordinary skill in the art at the time
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`the application was filed. This means that, even if all of the requirements of a
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`claim are not found in a single prior art reference, the claim is not patentable if the
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`differences between the subject matter in the prior art and the subject matter in the
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`claim would have been obvious to a person of ordinary skill in the art at the time
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`the application was filed.
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`18.
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`I have been informed and understand that a determination of whether
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`a claim would have been obvious should be based upon several factors, including,
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`among others:
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` the level of ordinary skill in the art at the time the application was filed;
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` the scope and content of the prior art;
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` what differences, if any, existed between the claimed invention and the
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`prior art.
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`19.
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`I have been informed and understand that the teachings of two or
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`more references may be combined in the same way as disclosed in the claims, if
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`such a combination would have been obvious to one having ordinary skill in the
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`art. In determining whether a combination based on either a single reference or
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`multiple references would have been obvious, it is appropriate to consider, among
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`other factors:
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` whether the teachings of the prior art references disclose known concepts
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`combined in familiar ways, and when combined, would yield predictable
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`results;
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` whether a person of ordinary skill in the art could implement a
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`predictable variation, and would see the benefit of doing so;
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` whether the claimed elements represent one of a limited number of
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`known design choices, and would have a reasonable expectation of
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`success by those skilled in the art;
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` whether a person of ordinary skill would have recognized a reason to
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`combine known elements in the manner described in the claim;
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` whether there is some teaching or suggestion in the prior art to make the
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`modification or combination of elements claimed in the patent; and
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` whether the innovation applies a known technique that had been used to
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`improve a similar device or method in a similar way.
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`20.
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`I understand that one of ordinary skill in the art has ordinary
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`creativity, and is not an automaton.
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`Kortshagen Declaration
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`21.
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`I understand that in considering obviousness, it is important not to
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`determine obviousness using the benefit of hindsight derived from the patent being
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`considered.
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`II. BRIEF DESCRIPTION OF TECHNOLOGY
`A.
`Plasma
`22. A plasma is a collection of ions, free electrons, and neutral atoms.
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`The negatively charged free electrons and positively charged ions are present in
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`roughly equal numbers such that the plasma as a whole has no overall electrical
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`charge. The “density” of a plasma refers to the number of ions or electrons that are
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`present in a unit volume.1
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`23. Plasmas had been used in research and industrial applications for
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`decades before the ‘716 patent was filed. For example, sputtering is an industrial
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`process that uses plasma to deposit a thin film of a target material onto a surface
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`called a substrate (e.g., silicon wafer during a semiconductor manufacturing
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`operation). Ions in the plasma strike a target surface causing ejection of a small
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`1 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.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`amount of target material. The ejected target material then forms a film on the
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`substrate.
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`24. Under certain conditions, electrical arcing can occur during sputtering.
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`Arcing is undesirable because it causes explosive release of droplets from the
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`target that can splatter on the substrate. The need to avoid arcing while sputtering
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`was known long before the ‘716 patent was filed.
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`B.
`Ions and excited atoms
`25. Atoms have equal numbers of protons and electrons. Each electron
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`has an associated energy state. If all of an atom’s electrons are at their lowest
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`possible energy state, the atom is said to be in the “ground state.”
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`26. On the other hand, if one or more of an atom’s electrons is in a state
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`that is higher than its lowest possible state, then the atom is said to be an “excited
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`atom.” Excited atoms are electrically neutral—they have equal numbers of
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`electrons and protons. A collision with a free electron (e-) can convert a ground
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`state atom to an excited atom. For example, the ‘716 Patent uses the following
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`equation to describe production of an excited argon atom, Ar*, from a ground state
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`argon atom, Ar. See ‘716 Patent at 9:7 (Ex. 1101).
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`Ar + e- Ar* + e-
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`27. An ion is an atom that has become disassociated from one or more of
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`its electrons. A collision between a free, high energy, electron and a ground state
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`or excited atom can create an ion. For example, the ‘716 Patent uses the following
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`equations to describe production of an argon ion, Ar+, from a ground state argon
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`atom, Ar, or an excited argon atom, Ar*. See ‘716 Patent at 2:65 and 9:9 (Ex.
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`1101).
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`Ar + e- Ar+ + 2e-
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`Ar* + e- Ar+ + 2e-
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`28. The production of excited atoms and ions was well understood long
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`before the ‘716 patent was filed.
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`III. OVERVIEW OF THE ‘716 PATENT
`A.
`Summary of Alleged Invention of the ’716 Patent
`29. The ‘716 Patent describes generating a plasma by applying an
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`electrical pulse in a manner that allegedly reduces the probability of arcing.
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`30. More specifically, the claims of the ‘716 Patent are generally directed
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`to 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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`31. Specific claims are directed to further operational details such as
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`supplying a feed gas to the plasma, characteristics of the electrical pulse,
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`generating a magnetic field and the type of power supply used.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`B.
`32.
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`Prosecution History
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`I understand that the ‘716 patent is a continuation of U.S. Pat. App.
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`No. 10/065,629 (now U.S. Pat. No. 6,853,142) (Ex. 1106). See ‘716 Patent at
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`Certificate of Correction (Ex. 1101).
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`33.
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`I understand that the first substantive office action rejected all
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`independent claims as anticipated. See 03/27/08 Office Action at 2 (Ex. 1107). I
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`understand that the applicant then amended every independent claim to require
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`“substantially eliminating the probability of developing an electrical breakdown
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`condition in the chamber” and “without developing an electrical breakdown
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`condition in the chamber” or similar limitations. See 09/24/08 Resp. (Ex. 1108).
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`34.
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`I understand that following that amendment, the claims were allowed.
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`I understand that the Notice of Allowance explicitly recites these limitations as the
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`examiner’s reasons for allowance. 06/11/09 Allowance at 2 (“The closest prior art
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`of record Kouznetsov WO 98/40532 fails to teach the claimed elements including
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`‘substantially eliminating the probability of developing an electrical breakdown
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`condition in the chamber’ and ‘without developing an electrical breakdown
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`condition in the chamber.”) (Ex. 1109). However, as explained in detail below,
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`and contrary to the Examiner’s reasons for allowance, the prior art addressed
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`herein teaches those and all other limitations of the challenged claims.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`IV. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the prior art
`35. As explained in detail below, limitation-by-limitation, there is nothing
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`new or non-obvious in the challenged claims of the ‘716 Patent.
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`B. Overview of Mozgrin2
`36. Mozgrin teaches forming a plasma “without forming an arc
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`discharge.”
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`37. Fig. 7 of Mozgrin, copied below, shows the current-voltage
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`characteristic (“CVC”) of a plasma discharge.
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`38. As shown, Mozgrin divides this CVC into four distinct regions.
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`2 I understand that Mozgrin was art of record, but was not substantively applied
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`during prosecution.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`39. Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2
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`(“Part 1 in the voltage oscillogram represents the voltage of the stationary
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`discharge (pre-ionization stage).”) (Ex. 1103).
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`40. Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin
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`at 409, left col, ¶ 4 (“The implementation of the high-current magnetron discharge
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`(regime 2)…”) (Ex. 1103). Application of a high voltage to the pre-ionized plasma
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`causes the transition from region 1 to 2. Mozgrin teaches that region 2 is useful for
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`sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was characterized by an
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`intense cathode sputtering…”) (Ex. 1103).
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`41. Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at
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`409, left col, ¶ 5, (“The high-current diffuse discharge (regime 3)…”) (Ex. 1103).
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`Increasing the current applied to the “high-current magnetron discharge” (region 2)
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`causes the plasma to transition to region 3. Mozgrin also teaches that region 3 is
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`useful for etching, i.e., removing material from a surface. Mozgrin at 409, left col,
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`¶ 5 (“The high-current diffuse discharge (regime 3) is useful … Hence, it can
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`enhance the efficiency of ionic etching…”) (Ex. 1103).
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`42. 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…”) (Ex.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`1103). Further increasing the applied current causes the plasma to transition from
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`region 3 to the “arc discharge” region 4.3
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`43. Within its broad disclosure of a range of issues related to sputtering
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`and etching, Mozgrin describes arcing and how to avoid it.
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`C. Overview of Wang4
`44. Wang discloses a pulsed magnetron sputtering device having an anode
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`(24), a cathode (14), a magnet assembly (40), a DC power supply (100) (shown in
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`Fig. 7), and a pulsed DC power supply (80). See Wang at Figs. 1, 7, 3:57-4:55;
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`7:56-8:12 (Ex. 1104). Fig. 6 (annotated and reproduced below) shows a graph of
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`3 As one of ordinary skill would have understood, the oscillogram shown in
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`Mozgrin’s Fig. 3 when taken as a whole corresponds to region 3 on Mozgrin’s
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`Figs. 4 and 7, i.e., Fig. 3 represents currents and voltages used to reach stable
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`operation in region 3. Further, as one of ordinary skill would have understood, an
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`oscillogram corresponding to region 2 on Mozgrin’s Figs. 4 and 7 (i.e., stable
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`operation in region 2) would have a different shape, e.g., the voltage would not
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`drop as low as shown in Fig. 3b and the current would be lower than what is shown
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`in Fig. 3a.
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`4 I understand that Wang was art of record, but was not substantively applied
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`during prosecution.
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`the power Wang applies to the plasma. The lower power level, PB, is generated by
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`the DC power supply 100 (shown in Fig. 7) and the higher power level, PP, is
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`generated by the pulsed power supply 80. See Wang 7:56-64 (Ex. 1104). Wang’s
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`lower power level, PB, maintains the plasma after ignition and application of the
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`higher power level, PP, raises the density of the plasma. Wang at 7:17-31 (“The
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`background power level, PB, is chosen to exceed the minimum power necessary to
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`support a plasma... [T]he application of the high peak power, PP, quickly causes
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`the already existing plasma to spread and increases the density of the plasma.”)
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`(Ex. 1104). Wang applies the teachings of Mozgrin in a commercial, industrial
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`plasma sputtering device.
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`V. CLAIM CONSTRUCTION
`45.
`I have been informed and understand that a claim in inter partes
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`review is given the “broadest reasonable construction in light of the specification.”
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`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
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`term that lacks a definition in the specification is therefore also given a broad
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`interpretation. The following discussion proposes constructions of and support
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`therefore of those terms. I have been informed and understand that any claim
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`terms not included in the following discussion are to be given their broadest
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`reasonable interpretation in light of the specification as commonly understood by
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`those of ordinary skill in the art. Moreover, should the Patent Owner, in order to
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`avoid the prior art, contend that the claim has a construction different from its
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`broadest reasonable interpretation, I have been informed and understand that the
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`appropriate course is for the Patent Owner to seek to amend the claim to expressly
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`correspond to its contentions in this proceeding.
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`A.
`“weakly-ionized plasma” and “strongly-ionized plasma”
`46. The challenged claims recite “weakly-ionized plasma” and “strongly-
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`ionized plasma.” These terms relate to the density of the plasma, i.e., a weakly-
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`ionized plasma has a lower density than a strongly-ionized plasma. With reference
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`to Fig. 3, the ‘716 Patent describes forming a weakly-ionized plasma between
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`times t1 and t2 by application of the low power 302 and then goes on to describe
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`forming a strongly-ionized plasma by application of higher power 304. ‘716
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`Patent at 11:24-30; 11:66-12:6 (Ex. 1101). The ‘716 Patent also provides
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`exemplary densities for the weakly-ionized and strongly-ionized plasmas. See
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`‘716 Patent at claim 23 (“wherein a peak plasma density of the weakly-ionized
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`plasma is less than about 1012 cm˗3”); claim 24 (“wherein the peak plasma density
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`of the strongly-ionized plasma is greater than about 1012 cm˗3”) (Ex. 1101).
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`47. Therefore, I have used the following constructions:
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` “weakly-ionized plasma” means “a lower density plasma” and
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` “strongly-ionized plasma” means “a higher density plasma.”
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`48. The constructions proposed above are consistent with the position the
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`Patent Owner has taken in other jurisdictions. For example, the Patent Owner,
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`when 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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`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. 1110).
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`VI. SPECIFIC GROUNDS FOR REJECTION
`49. The below sections demonstrate in detail how the prior art discloses
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`each and every limitation of claims 12 and 13 of the ’716 Patent, and how those
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`claims are rendered obvious by the prior art.
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`50.
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`I have further reviewed and understand the claim charts submitted by
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`Petitioner in the above-captioned inter partes review (Exs. 1116-1117), showing
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
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`that each limitation in the foregoing claims is taught in the art. I understand these
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`claim charts were submitted in an ongoing litigation involving the Petitioner and
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`the Patent Owner. Those charts present in summary form the analysis below and I
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`agree with them.
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`A. Ground I: Claims 12 and 13 are obvious in view of the
`combination of Mozgrin and Lantsman5
`51.
`I have further reviewed and understand the claim chart submitted by
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`Petitioner in the above-captioned inter partes review (Ex. 1116), showing that
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`claims 12 and 13 are obvious in view of the combination of Mozgrin and
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`Lantsman. I understand this claim chart was submitted in an ongoing litigation
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`involving the Petitioner and the Patent Owner. This chart presents in summary
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`form the analysis below and I agree with it.
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`1.
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`Independent claim 1 is anticipated by Mozgrin
`a)
`The preamble
`52. Claim 1 begins, “[a]n apparatus for generating a strongly-ionized
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`plasma.”
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`5 I understand that petitioner establishes invalidity of claim 1 in another petition.
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`Claim 1 is addressed herein for the purpose of demonstrating invalidity of claims
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`that depend from claim 1.
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`Kortshagen Declaration
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`53. As shown in Fig. 1, Mozgrin teaches generating plasma in “two types
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`of devices: a planar magnetron and a system with specifically shaped hollow
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`electrodes.” Mozgrin at Fig. 1; 400, right col, ¶ 4. (Ex. 1103). The densities in
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`Mozgrin’s regions 1-3 are summarized below.
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` Region 1: 109 – 1011 cm-3.6
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` Region 2: exceeding 2x1013 cm-3.7
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` Region 3: 1.5x1015 cm-3.8
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`54. Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
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`The density in those regions matches the exemplary density given for a strongly-
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`ionized plasma in the ‘716 Patent. ‘716 Patent at claim 24 (“wherein the peak
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`6 Mozgrin at 401, right col, ¶2 (“For pre-ionization … the initial plasma density in
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`the 109 – 1011 cm-3 range.”) (Ex. 1103).
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`7 Mozgrin at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
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`discharge (regime 2) in sputtering … plasma density (exceeding 2x1013 cm-3).”)
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`(Ex. 1103).
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`8 Mozgrin at 409, left col, ¶5 (“The high-current diffuse discharge (regime 3) is
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`useful for producing large-volume uniform dense plasmas ni 1.5x1015cm-3…”).
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`(Ex. 1103).
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`Kortshagen Declaration
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`plasma density of the strongly-ionized plasma is greater than about 1012 cm˗3”) (Ex.
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`1101).
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`b)
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`Limitation (a)
`(1) “an ionization source that generates a weakly-
`ionized plasma from a feed gas contained in a chamber”
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`55. The ‘716 Patent uses the terms “weakly-ionized plasma” and “pre-
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`ionized plasma” synonymously. ‘716 Patent at 5:14-15 (“The weakly-ionized
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`plasma 232 is also referred to as a pre-ionized plasma.”) (Ex. 1101). Mozgrin’s
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`power supply (shown in Fig. 2) generates a pre-ionized plasma in Mozgrin’s region
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`1. Mozgrin at 402, right col, ¶2 (“Figure 3 shows typical voltage and current
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`oscillograms.… Part I in the voltage oscillogram represents the voltage of the
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`stationary discharge (pre-ionization stage).”) (Ex. 1103).
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`56. Moreover, the density of Mozgrin’s pre-ionized plasma matches the
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`exemplary density for weakly-ionized plasma given in the ‘716 Patent. ‘716 Patent
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`at claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
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`than about 1012 cm˗3”) (Ex. 1101); Mozgrin at 401, right col, ¶2 (“[f]or pre-
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`ionization, we used a stationary magnetron discharge; … provided the initial
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`plasma density in the 109 – 1011 cm˗3 range.”) (Ex. 1103).
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`57. Mozgrin also teaches generating its plasma from feed gasses such as
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`Argon and Nitrogen. Mozgrin at 400, right col, ¶ 3 (“We investigated the
`
`- 20 -
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`
`
`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`discharge regimes in various gas mixtures at 10-3 – 10 torr…”); 402, ¶ spanning
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`left and right cols (“We studied the high-current discharge in wide ranges of
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`discharge current…and operating pressure…using various gases (Ar, N2, SF6, and
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`H2) or their mixtures of various composition…”) (Ex. 1103).
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`58. Fig. 2 of Mozgrin discloses a power supply in the form of a discharge
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`supply unit:
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`
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`59. The “discharge supply unit” ionizes a feed gas to generate a weakly-
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`ionized plasma and does so with voltage, current and power very similar to those
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`used in the ‘716 Patent.9 Compare Fig. 4 of the ’716 Patent (Ex. 1101) to Fig. 3(b)
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`of Mozgrin (Ex. 1103).
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`60. Finally, Mozgrin’s weakly-ionized plasma was generated between the
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`anode and cathode, both of which reside within a chamber. For example, Mozgrin
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`states “[t]he gas from the discharge volume was pumped out; minimal residual gas
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`pressure was about 8 x 10-6 torr.” Mozgrin at 401, left col, ¶ 3 (Ex. 1103). That is,
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`
`9 Although Mozgrin’s Fig. 3 does not show power, the Fig. discloses power
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`because power is the product of voltage and current, both of which are shown.
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`- 21 -
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`
`Mozgrin pumped the gas out to achieve a desired base pressure within the
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`chamber. See also Mozgrin at Figs. 1 and 6 (Ex. 1103).
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`(2) “the weakly-ionized plasma substantially
`eliminating the probability of developing an electrical
`breakdown condition in the chamber”
`
`61. Mozgrin states “pre-ionization was not necessary; however, in this
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`case, the probability of discharge transferring to arc mode increased.” Mozgrin at
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`406, right col, ¶3 (Ex. 1103). Thus, Mozgrin teaches that failing to make the
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`weakly-ionized plasma increases the probability of arcing and that creation of the
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`weakly-ionized plasma (Mozgrin’s region 1) reduces “the probability of
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`developing an electrical breakdown condition proximate to the cathode.”
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`(a) The Patent Owner mischaracterized Mozgrin
`during prosecution of the related U.S. Pat. No.
`7,147,759
`
`62. The ‘716 Patent (Ex. 1101) and the ’759 Patent (Ex. 1111) name the
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`same inventor and are owned by a common assignee. Both patents are asserted in
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`related litigation. I understand that during prosecution of the ‘759 Patent, the
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`Patent Owner argued that Mozgrin does not teach “without forming an arc.” See
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`05/02/06 Resp. of ‘759 Patent file history at 2, 5, 7 and 13-16 (Ex. 1112).
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`However, the Patent Owner was wrong. Mozgrin does teach “without forming an
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`arc” as required by the ‘759 Patent as well as “substantially eliminat[ing] the
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`- 22 -
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`
`
`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`
`probability of developing an electrical breakdown condition in the chamber” as
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`required by the ‘716 Patent.
`
`63. As shown in Mozgrin’s Fig. 7, if voltage is steadily applied, and
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`current is allowed to grow, the plasma will eventually transition to the arc
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`discharge region (Mozgrin’s region 4). However, if the current is limited, the
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`plasma will remain in the arc-free regions 2 (sputtering) or 3 (etching).
`
`64. Mozgrin is an academic paper and it explores all regions, including
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`the arc discharge region, so as to fully characterize the plasma. But Mozgrin’s
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`discussion of arcing does not mean that arcing is inevitable. Rather, Mozgrin’s
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`explanation of the conditions under which arcing occurs provides a recipe for
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`avoiding arcs. Mozgrin explicitly notes that arcs can be avoided. See Mozgrin at
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`400, left col, ¶ 3 (“Some experiments on magnetron systems of various geometry
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`showed that discharge regimes which do not transit to arcs can be obtained even at
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`high currents.”) (Ex. 1103).
`
`65. One of ordinary skill would have understood that the arc discharge
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`region should be avoided during plasma generation that is used for applications
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`such as sputtering or etching. For example, Plasma Etching: An Introduction, by
`
`Manos and Flamm (“Manos”), a well-known textbook on plasma processing,
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`- 23 -
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`
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`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`
`which was published in 1989, over a decade before the ‘716 Patent was filed, states
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`that “arcs…are a problem…” Manos at 231 (Ex. 1113).
`
`66. One of ordinary skill would further have understood that Mozgrin’s
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`arc region can be avoided, such as by generating a weakly-ionized plasma as
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`explained above. Mozgrin’s determination of conditions that cause transition to
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`the arc regime is useful because it teaches one of ordinary skill how to avoid arcs.
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`67. Specifically, one of ordinary skill reading Mozgrin would have
`
`understood that controlling discharge parameters, such as by generating the
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`weakly-ionized plasma, causes the plasma to remain in the arc-free regions 2
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`(sputtering) or 3 (etching). See Mozgrin at 406, right col, ¶3 (Ex. 1103).
`
`c)
`
`Limitation (b)
`(1) “power supply that supplies power to the weakly-
`ionized plasma though [sic] an electrical pulse that is
`applied across the weakly-ionized plasma,”
`
`68. Figs. 3(b) and 3(a) of Mozgrin shows the voltage and current,
`
`respectively (both of which are nearly identical to that of Fig. 4 of the ‘716
`
`Patent)10, generated by the power supply and applied to the plasma in Mozgrin’s
`
`
`10 Mozgrin’s Fig. 3 represents measured data from an actual experiment, so the
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`traces are not perfectly horizontal, as shown in the idealized Fig. 4 of the ‘716
`
`Patent.
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`- 24 -
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`
`
`Kortshagen Declaration
`‘716 Patent, Claims 12 and 13
`
`Region 1 (Mozgrin’s power supply is shown in Fig. 2). Mozgrin’s Fig. 3 does not
`
`have a separate graph for power, but because power equals voltage times current,
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`Mozgrin’s Fig. 3 discloses the power generated by the supply.
`
`69. Mozgrin’s electrical pulse is generated by the “high-voltage supply
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`unit” of Mozgrin’s power supply (shown in Mozgrin’s Fig. 2 (Ex. 1103)). Region
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`1 of Mozgrin’s Fig. 3(b) represents the voltage used for pre-ionization,
`
`corresponding to generation of the weakly-ionized plasma. Mozgrin at 402, right
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`col, ¶ 2 (“Part 1 in the voltage oscillogram represents the voltage of the stationary
`
`discharge (pre-ionization stage).”) (Ex. 1103). Region 2a of Mozgrin’s Fig. 3(b)
`
`represents a voltage pulse that is applied to the weakly-ionized plasma between
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`Mozgrin’s anode and cathode. Mozgrin at 401, left col, ¶ 4 (“[A]pplying a square
`
`voltage pulse to the discharge gap which was filled up with either neutral or pre-
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`ionized gas.