`Petition for Inter Partes Review
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`DOCKET NO.: 0107131-00273US4
`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
`____________________________________________
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`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
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`
`
`INTEL CORPORATION
`Petitioner
`
`v.
`
`ZOND, INC.
`Patent Owner
`
`Case No. IPR2014-00523
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`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 7,604,716
`CHALLENGING CLAIMS 19-24
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`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 ................................................................. - 4 -
`A. Plasma ....................................................................................................... - 4 -
`B.
`Ions and Excited Atoms ........................................................................... - 5 -
`V. Overview of the ‘716 Patent ......................................................................... - 6 -
`A. Summary of Alleged Invention of the ’716 Patent .................................. - 6 -
`B. Prosecution History .................................................................................. - 7 -
`VI. Overview of the Primary Prior Art References ........................................... - 8 -
`A. Summary of the Prior Art ......................................................................... - 8 -
`B. Overview of Mozgrin ............................................................................... - 8 -
`C. Overview of Kudryavtsev ...................................................................... - 10 -
`D. Overview of Wang ................................................................................. - 11 -
`VII. Claim Construction ................................................................................. - 13 -
`A.
`“weakly-ionized plasma” and “strongly-ionized plasma” ..................... - 13 -
`VIII. Specific Grounds for Petition ................................................................. - 15 -
`A. Ground I: Claims 22-24 are obvious in view of the combination of
`Mozgrin and Kudryavtsev ............................................................................... - 15 -
`1.
`Independent claim 14 is obvious in view of the combination of Mozgrin
`and Kudryavtsev ......................................................................................... - 15 -
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`2. Dependent claims 22-24 are obvious in view of the combination of
`Mozgrin and Kudryavtsev ........................................................................... - 27 -
`B. Ground II: Claims 19 and 20 are obvious over Mozgrin in view of
`Kudryavtsev and Lantsman ............................................................................. - 28 -
`C. Ground III: Claim 21 is obvious over Mozgrin in view of Kudryavtsev and
`Mozgrin Thesis ............................................................................................... - 37 -
`D. Ground IV: Claim 21 is obvious over Wang in view of Kudryavtsev .. - 39 -
`1.
`Independent claim 14 is obvious in view of the combination of Wang and
`Kudryavtsev ................................................................................................ - 39 -
`2. Dependent claim 21 is obvious in view of the combination of Wang and
`Kudryavtsev ................................................................................................ - 47 -
`E. Ground V: Claims 19 and 20 are obvious over Wang in view of
`Kudryavtsev and Lantsman ............................................................................. - 48 -
`F. Ground VI: Claims 22-24 are obvious over Wang in view of Kudryavtsev
`and Mozgrin .................................................................................................... - 53 -
`IX. Conclusion ................................................................................................. - 57 -
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`U.S. PATENT 7,604,716
`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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`iii
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`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. 7,604,716 (“’716 Patent”) (Ex. 1301)
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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 ’716 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 7,604,716
`Petition for Inter Partes Review
`1875 Pennsylvania Ave., NW
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`Washington, DC 20006
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`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 19-24 of the ’716 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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`2 The ‘716 Patent issued prior to the America Invents Act (the “AIA”).
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`Accordingly, Petitioner has chosen to use the pre-AIA statutory framework to refer
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`to the prior art.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1303)), which is prior art under
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`102(b).
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`2.
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`U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1304)), which is prior art under
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`102(a) and (e).
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`3.
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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. 1305)), which is prior art under 102(b).
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`4.
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`U.S. Pat. No. 6,190,512 (“Lantsman” (Ex. 1306)), which is prior art under
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`102(b).
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`5. D.V. Mozgrin, High-Current Low-Pressure Quasi-Stationary Discharge in a
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`Magnetic Field: Experimental Research, Thesis at Moscow Engineering Physics
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`Institute, 1994 (“Mozgrin Thesis” (Ex. 1307)), which is prior art under 102(b).
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`Exhibit 1307 is a certified English translation of the original Mozgrin Thesis,
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`attached as Exhibit 1308. A copy of the catalogue entry for the Mozgrin Thesis at
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`the Russian State Library is attached as Exhibit 1309.
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`B. Grounds for Challenge
`Petitioner requests cancellation of claims 19-24 of the ’716 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. 1302)) 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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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`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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`Kortshagen Decl. ¶ 21 (Ex. 1302). 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. Kortshagen Decl. ¶
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`21 (Ex. 1302).4
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`Plasmas had been used in research and industrial applications for decades
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`before the ‘716 patent was filed. Kortshagen Decl. ¶ 22 (Ex. 1302). For example,
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`sputtering is an industrial process that uses plasma to deposit a thin film of a target
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`3 The term “challenged claims” as used herein refers to claims 19-24 of the ‘716
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`Patent. Petitioner seeks to invalidate the remaining claims of the ‘716 Patent in
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`separate petitions.
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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. ¶ 21, FN 1 (Ex. 1302).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`material onto a surface called a substrate (e.g., silicon wafer during a
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`semiconductor manufacturing operation). Kortshagen Decl. ¶ 22 (Ex. 1302). Ions
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`in the plasma strike a target surface causing ejection of a small amount of target
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`material. Kortshagen Decl. ¶ 22 (Ex. 1302). The ejected target material then
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`forms a film on the substrate. Kortshagen Decl. ¶ 22 (Ex. 1302).
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`Under certain conditions, electrical arcing can occur during sputtering.
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`Kortshagen Decl. ¶ 23 (Ex. 1302). Arcing is undesirable because it causes
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`explosive release of droplets from the target that can splatter on the substrate.
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`Kortshagen Decl. ¶ 23 (Ex. 1302). The need to avoid arcing while sputtering was
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`known long before the ‘716 patent was filed. Kortshagen Decl. ¶ 23 (Ex. 1302).
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`Ions and Excited Atoms
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`B.
`Atoms have equal numbers of protons and electrons. Kortshagen Decl. ¶ 24
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`(Ex. 1302). Each electron has an associated energy state. Kortshagen Decl. ¶ 24
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`(Ex. 1302). If all of an atom’s electrons are at their lowest possible energy state,
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`the atom is said to be in the “ground state.” Kortshagen Decl. ¶ 24 (Ex. 1302).
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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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`Kortshagen Decl. ¶ 25 (Ex. 1302). Excited atoms are electrically neutral– they
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`have equal numbers of electrons and protons. Kortshagen Decl. ¶ 25 (Ex. 1302).
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`A collision with a free electron (e-) can convert a ground state atom to an excited
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`atom. Kortshagen Decl. ¶ 25 (Ex. 1302). For example, the ‘716 Patent uses the
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`following equation to describe production of an excited argon atom, Ar*, from a
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`ground state argon atom, Ar. See ‘716 Patent at 9:7 (Ex. 1301).
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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. ¶ 26 (Ex. 1302). A collision between a free, high
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`energy, electron and a ground state or excited atom can create an ion. Kortshagen
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`Decl. ¶ 26 (Ex. 1302). For example, the ‘716 Patent uses the following equations
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`to describe production of an argon ion, Ar+, from a ground state argon atom, Ar, or
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`an excited argon atom, Ar*. See ‘716 Patent at 2:65 and 9:9 (Ex. 1301).
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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 ‘716 patent was filed. Kortshagen Decl. ¶ 27 (Ex. 1302).
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`V. OVERVIEW OF THE ‘716 PATENT
`A.
`Summary of Alleged Invention of the ’716 Patent
`The ‘716 Patent describes generating a plasma by applying a electrical pulse
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`in a manner that allegedly reduces the probability of arcing. Kortshagen Decl. ¶ 28
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`(Ex. 1302).
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`More specifically, the claims of the ‘716 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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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`pulse to increase the density of that plasma so as to form a “strongly-ionized
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`plasma.” Kortshagen Decl. ¶ 29 (Ex. 1302). The weakly-ionized plasma is
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`claimed to reduce the probability of forming an electrical breakdown condition.
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`Kortshagen Decl. ¶ 29 (Ex. 1302).
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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. Kortshagen Decl. ¶ 30 (Ex. 1302).
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`Prosecution History
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`B.
`The ‘716 patent is a continuation of U.S. Pat. App. No. 10/065,629 (now
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`U.S. Pat. No. 6,853,142) (Ex. 1310). See ‘716 Patent at Certificate of Correction
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`(Ex. 1301).
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`The first substantive office action rejected all independent claims as
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`anticipated. See 03/27/08 Office Action at 2 (Ex. 1311). The applicant then
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`amended every independent claim to require “substantially eliminating the
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`probability of developing an electrical breakdown condition in the chamber” and
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`“without developing an electrical breakdown condition in the chamber” or similar
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`limitations. See 09/24/08 Resp. (Ex. 1312).
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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. 06/11/09 Allowance at 2 (“The closest prior art of record Kouznetsov
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`WO 98/40532 fails to teach the claimed elements including ‘substantially
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`eliminating the probability of developing an electrical breakdown condition in the
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`chamber’ and ‘without developing an electrical breakdown condition in the
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`chamber.”) (Ex. 1313). 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. 1302).
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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 ‘716 Patent. Kortshagen Decl. ¶ 34
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`(Ex. 1302).
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`B. Overview of Mozgrin5
`Mozgrin teaches forming a plasma “without forming an arc discharge.”
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`Kortshagen Decl. ¶ 35 (Ex. 1302). Fig. 7 of Mozgrin, copied below, shows the
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`current-voltage characteristic (“CVC”) of a plasma discharge.
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`5 Mozgrin is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`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. 1303). Kortshagen Decl. ¶ 38 (Ex.
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`1302).
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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. 1303). See also Kortshagen Decl. ¶ 39 (Ex.
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`1302). Application of a high voltage to the pre-ionized plasma causes the
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`transition from region 1 to 2. Kortshagen Decl. ¶ 39 (Ex. 1302). Mozgrin teaches
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`that region 2 is useful for sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2
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`was characterized by an intense cathode sputtering…”) (Ex. 1303). See also
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`Kortshagen Decl. ¶ 39 (Ex. 1302).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`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. 1303). Kortshagen Decl. ¶ 40 (Ex. 1302). Increasing the current applied to
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`the “high-current magnetron discharge” (region 2) causes the plasma to transition
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`to region 3. Kortshagen Decl. ¶ 40 (Ex. 1302). Mozgrin also teaches that region 3
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`is useful for etching, i.e., removing material from a surface. Mozgrin at 409, left
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`col, ¶ 5 (“The high-current diffuse discharge (regime 3) is useful … Hence, it can
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`enhance the efficiency of ionic etching…”) (Ex. 1303). See also Kortshagen Decl.
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`¶ 40 (Ex. 1302).
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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. 1303). Kortshagen Decl. ¶ 41 (Ex. 1302). 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. Kortshagen Decl. ¶ 41 (Ex. 1302).
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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. Kortshagen Decl. ¶ 42 (Ex.
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`1302).
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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. 1305). See also
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Kortshagen Decl. ¶ 43 (Ex. 1302). In particular, Kudryavtsev describes how
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`ionization of a plasma can occur via different processes. Kortshagen Decl. ¶ 43
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`(Ex. 1302). The first process is direct ionization, in which ground state atoms are
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`converted directly to ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1305). See
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`also Kortshagen Decl. ¶ 43 (Ex. 1302). The second process is multi-step
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`ionization, which Kudryavtsev calls stepwise ionization. See, e.g., Kudryavtsev at
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`Fig. 6 caption (Ex. 1305). See also Kortshagen Decl. ¶ 43 (Ex. 1302).
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`Kudryavtsev notes that under certain conditions multi-step ionization can be the
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`dominant ionization process. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1305).
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`See also Kortshagen Decl. ¶ 43 (Ex. 1302). Mozgrin took into account the
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`teachings of Kudryavtsev when designing his experiments. Mozgrin at 401, ¶
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`spanning left and right cols. (“Designing the unit, we took into account the
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`dependences which had been obtained in [Kudryavtsev]…”) (Ex. 1303). See also
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`Kortshagen Decl. ¶ 43 (Ex. 1302).
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`Kudryavtsev was not of record during the prosecution of the ‘716 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 assembly (40), a DC power supply (100) (shown in Fig.
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`7), and a pulsed DC power supply (80). See Wang at Figs. 1, 7, 3:57-4:55; 7:56-
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`6 Wang is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`8:12 (Ex. 1304). See also Kortshagen Decl. ¶ 45 (Ex. 1302). Fig. 6 (annotated and
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`reproduced below) shows a graph of the power Wang applies to the plasma.
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`Kortshagen Decl. ¶ 45 (Ex. 1302). The lower power level, PB, is generated by the
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`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. 1304); see also
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`Kortshagen Decl. ¶ 45 (Ex. 1302). Wang’s lower power level, PB, maintains the
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`plasma after ignition and application of the higher power level, PP, raises the
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`density of the plasma. Wang at 7:17-31 (“The background power level, PB, is
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`chosen to exceed the minimum power necessary to support a plasma... [T]he
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`application of the high peak power, PP, quickly causes the already existing plasma
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`to spread and increases the density of the plasma.”) (Ex. 1304). See also
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`Kortshagen Decl. ¶ 45 (Ex. 1302). Wang applies the teachings of Mozgrin and
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`Kudryavtsev in a commercial, industrial plasma sputtering device. Kortshagen
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`Decl. ¶ 45 (Ex. 1302).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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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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`“weakly-ionized plasma” and “strongly-ionized plasma”
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`A.
`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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`7 Petitioner adopts the “broadest reasonable construction” standard as required by
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`the governing regulations. 37 C.F.R. § 42.100(b). Petitioner reserves the right to
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`pursue different constructions in a district court, where a different standard is
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`applicable.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`plasma has a lower density than a strongly-ionized plasma. Kortshagen Decl. ¶ 47
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`(Ex. 1302). With reference to Fig. 3, the ‘716 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. ‘716 Patent at 11:24-30; 11:66-12:6 (Ex. 1301). See also
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`Kortshagen Decl. ¶ 47 (Ex. 1302). The ‘716 Patent also provides exemplary
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`densities for the weakly-ionized and strongly-ionized plasmas. See ‘716 Patent at
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`claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
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`than about 1012 cm˗3”); claim 24 (“wherein the peak plasma density of the strongly-
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`ionized plasma is greater than about 1012 cm˗3”) (Ex. 1301). See also Kortshagen
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`Decl. ¶ 47 (Ex. 1302).
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`Thus, the proposed construction for “weakly-ionized plasma” is “a lower
`
`density plasma.” Likewise, the proposed construction for “strongly-ionized
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`plasma” is “a higher density plasma.”
`
`Petitioner’s proposed construction is consistent with the position the Patent
`
`Owner has taken in other jurisdictions. For example, the Patent Owner, 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-
`
`- 14 -
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`ionized plasma’ and there can be no lack of clarity.” 04/21/08 Response in EP
`
`1560943 (Ex. 1314).
`
`VIII. SPECIFIC GROUNDS FOR PETITION
`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in
`
`the Kortshagen Decl. ¶ 51 (Ex. 1302), demonstrate in detail how the prior art
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`discloses each and every limitation of claims 19-24 of the ’716 Patent, and how
`
`those claims are rendered obvious by the prior art.
`
`A. Ground I: Claims 22-24 are obvious in view of the combination of
`Mozgrin and Kudryavtsev8
`The claim chart that Petitioner served on Feb. 11, 2014 in its ongoing
`
`litigation involving the Petitioner and the Patent Owner, showing that claims 22-24
`
`are obvious in view of the combination of Mozgrin and Kudryavtsev, is submitted
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`hereto as Exhibit 1322 (Ex. 1322). Dr. Kortshagen reviewed that chart and agrees
`
`with it. Kortshagen Decl. ¶ 52 (Ex. 1302).
`
`1.
`Independent claim 14 is obvious in view of the combination of
`Mozgrin and Kudryavtsev
`a)
`Claim 14 begins, “[a] method for generating a strongly-ionized plasma”
`
`The preamble
`
`
`8 Petitioner establishes invalidity of claim 14 in another petition. Claim 14 is
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`addressed herein for the purpose of demonstrating invalidity of claims that depend
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`from claim 14.
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`- 15 -
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
` As shown in Fig. 1, Mozgrin teaches generating plasma in “two types 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. 1303). See also
`
`Kortshagen Decl. ¶ 54 (Ex. 1302). The densities in Mozgrin’s regions 1-3 are
`
`summarized below.
`
` Region 1: 109 – 1011 cm-3.9
`
` Region 2: exceeding 2x1013 cm-3.10
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` Region 3: 1.5x1015 cm-3.11
`
`Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
`
`Kortshagen Decl. ¶ 55 (Ex. 1302). The density in those regions matches the
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`exemplary density given for a strongly-ionized plasma in the ‘716 Patent. ‘716
`
`
`9 Mozgrin at 401, right col, ¶2 (“For pre-ionization … the initial plasma density in
`
`the 109 – 1011 cm-3 range.”) (Ex. 1303).
`
`10 Mozgrin at 409, left col, ¶ 4 (“The implementation of the high-current
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`magnetron discharge (regime 2) in sputtering … plasma density (exceeding
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`2x1013 cm-3).”) (Ex. 1303).
`
`11 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. 1303).
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`- 16 -
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Patent at claim 24 (“wherein the peak plasma density of the strongly-ionized
`
`plasma is greater than about 1012 cm˗3”) (Ex. 1301). See also Kortshagen Decl. ¶
`
`55 (Ex. 1302). Mozgrin therefore teaches the preamble. Kortshagen Decl. ¶ 55
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`(Ex. 1302).
`
`b)
`
`Limitation (a)
`(1)
`“ionizing a feed gas in a chamber to form a
`weakly-ionized plasma”
`
`The ‘716 Patent uses the terms “weakly-ionized plasma” and “pre-ionized
`
`plasma” synonymously. ‘716 Patent at 5:14-15 (“The weakly-ionized plasma 232
`
`is also referred to as a pre-ionized plasma.”) (Ex. 1301). See also Kortshagen
`
`Decl. ¶ 56 (Ex. 1302). 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.… Part 1 in the voltage
`
`oscillogram represents the voltage of the stationary discharge (pre-ionization
`
`stage).”) (Ex. 1303). See also Kortshagen Decl. ¶ 56 (Ex. 1302).
`
`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
`
`at claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm˗3”) (emphasis added) (Ex. 1301); Mozgrin at 401, right col, ¶2
`
`(“[f]or pre-ionization, we used a stationary magnetron discharge; … provided the
`
`- 17 -
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`initial plasma density in the 109 – 1011 cm˗3 range.”) (Ex. 1303) (emphasis added).
`
`See also Kortshagen Decl. ¶ 57 (Ex. 1302).
`
`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 torr…”) (emphasis added); 402, ¶
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`spanning left and right cols (“We studied the high-current discharge in wide ranges
`
`of discharge current…and operating pressure…using various gases (Ar, N2, SF6,
`
`and H2) or their mixtures of various composition…”) (emphasis added) (Ex.
`
`1303). See also Kortshagen Decl. ¶ 58 (Ex. 1302).
`
`Finally, Mozgrin’s weakly-ionized plasma was generated between the anode
`
`and cathode, both of which reside within a chamber. See also Kortshagen Decl. ¶
`
`59 (Ex. 1302). For example, Mozgrin states “[t]he gas from the discharge volume
`
`was pumped out; minimal residual gas pressure was about 8 x 10-6 torr.” Mozgrin
`
`at 401, left col, ¶ 3 (Ex. 1303). That is, Mozgrin pumped the gas out to achieve a
`
`desired pressure within the chamber. See also Mozgrin at Figs. 1 and 6 (Ex. 1303).
`
`See also Kortshagen Decl. ¶ 59 (Ex. 1302).
`
`(2)
`“that substantially eliminates the probability of
`developing an electrical breakdown condition in the
`chamber”
`
`Mozgrin states “pre-ionization was not necessary; however, in this case, the
`
`probability of discharge transferring to arc mode increased.” Mozgrin at 406, right
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`- 18 -
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`col, ¶3 (Ex. 1303). Thus, Mozgrin teaches that failing to make the weakly-ionized
`
`plasma increases the probability of arcing and that creation of the weakly-ionized
`
`plasma (Mozgrin’s region 1) reduces “the probability of developing an electrical
`
`breakdown condition proximate to the cathode.” Kortshagen Decl. ¶ 60 (Ex.
`
`1302).
`
`(a) The Patent Owner mischaracterized Mozgrin
`during prosecution of the related U.S. Pat. No.
`7,147,759
`
`The ‘716 Patent (Ex. 1301) and the ’759 Patent (Ex. 1315) name the same
`
`inventor and are owned by a common assignee. Both patents are asserted in
`
`related litigation identified in Section I.B. During prosecution of the ‘759 Patent,
`
`the Patent Owner argued that Mozgrin does not teach “without forming an arc.”
`
`See 05/02/06 Resp. of ‘759 Patent file history at 2, 5, 7 and 13-16 (Ex. 1316).
`
`However, the Patent Owner was wrong. Kortshagen Decl. ¶ 61 (Ex. 1302).
`
`Mozgrin does teach “without forming an arc” as required by the ‘759 Patent as
`
`well as “substantially eliminat[ing] the probability of developing an electrical
`
`breakdown condition in the chamber” as required by the ‘716 Patent. Kortshagen
`
`Decl. ¶ 61 (Ex. 1302).
`
`As shown in Mozgrin’s Fig. 7, if voltage is steadily applied, and current is
`
`allowed to grow, the plasma will eventually transition to the arc discharge region
`
`(Mozgrin’s region 4). Kortshagen Decl. ¶ 62 (Ex. 1302).However, if the current is
`
`- 19 -
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`limited, the plasma will remain in the arc-free regions 2 (sputtering) or 3
`
`(etching). Kortshagen Decl. ¶ 62 (Ex. 1302).
`
`Mozgrin is an academic paper and it explores all regions, including the arc
`
`discharge region, so as to fully characterize the plasma. Kortshagen Decl. ¶ 63
`
`(E