U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
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`DOCKET NO.: 0110198-00193 US2
`Filed on behalf of Procter & Gamble Company
`By: Michael A. Diener, Reg. No. 37,122
`Larissa B. Park, Reg. No. 59,051
`Wilmer Cutler Pickering Hale and Dorr LLP
`60 State Street
`Boston, MA 02109
`Tel: (617) 526-6000
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`Email: michael.diener@wilmerhale.com
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` larissa.park@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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`THE GILLETTE COMPANY
`Petitioner
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`v.
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`Patent Owner of
`U.S. Patent No. 6,896,775 to Roman Chistyakov
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`IPR Trial No. TBD
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`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 6,896,775
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
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`

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`
`I. 
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`II. 
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`III. 
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`
`TABLE OF CONTENTS
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`MANDATORY NOTICES ..................................................................................................1 
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`A. 
`
`B. 
`
`C. 
`
`D. 
`
`Real Party-in-Interest ...............................................................................................1 
`
`Related Matters ........................................................................................................1 
`
`Counsel ....................................................................................................................1 
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`Service Information .................................................................................................1 
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`CERTIFICATION OF GROUNDS FOR STANDING .......................................................2 
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`OVERVIEW OF CHALLENGE AND RELIEF REQUESTED ........................................2 
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`A. 
`
`B. 
`
`Prior Art Patents and Printed Publications ...............................................................2 
`
`Grounds for Challenge .............................................................................................3 
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`IV. 
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`BRIEF DESCRIPTION OF TECHNOLOGY .....................................................................4 
`
`A. 
`
`Sputtering and etching .............................................................................................4 
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`V. 
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`VI. 
`
`OVERVIEW OF THE ‘775 PATENT .................................................................................6 
`
`OVERVIEW OF CERTAIN PRIOR ART REFERENCES ................................................7 
`
`A. 
`
`B. 
`
`C. 
`
`D. 
`
`E. 
`
`Summary of the prior art ..........................................................................................7 
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`References Are Not Cumulative ..............................................................................7 
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`Overview of Mozgrin (Ex. 1102).............................................................................8 
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`Overview of Kudryavtsev (Ex. 1103) ....................................................................10 
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`Overview of Wang (Ex. 1108) ...............................................................................11 
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`VII.  CLAIM CONSTRUCTION ...............................................................................................12 
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`A. 
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`B. 
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`C. 
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`“means for ionizing a feed gas …” (claim 36) and “means for ionizing a
`volume of feed gas…” (claim 37) ..........................................................................13 
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`“means for generating a magnetic field…” (claims 36 and 37) .............................14 
`
`“means for applying an electrical field…” (claim 36) and “means for
`applying an electrical pulse…” (claim 37) ............................................................14 
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`“means for exchanging the strongly-ionized plasma with a second volume of
`feed gas…” (claim 37) ...........................................................................................14 
`
`“means for applying a bias voltage…” (claims 36 and 37) ...................................15 
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`D. 
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`E. 
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`VIII.  SPECIFIC GROUNDS FOR PETITION ..........................................................................15 
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`A. 
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`B. 
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`C. 
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`D. 
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`E. 
`
`F. 
`
`Ground 1: Claims 30-34 and 37 would have been obvious in view of the
`combination of Mozgrin, Mozgrin Thesis, and Lantsman .....................................15 
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`Ground 2: Claim 35 would have been obvious over Mozgrin, the Mozgrin
`Thesis, and Lantsman, and further in view of Kudryavtsev ..................................29 
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`Ground 3: Claim 36 would have been obvious in view of the combination of
`Mozgrin and Kudryavtsev......................................................................................33 
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`Ground 3: Claims 30-35 and 37 would have been obvious in view of the
`combination of Wang, Mozgrin, and Lantsman ....................................................38 
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`Ground 5: Claim 35 would have been obvious over Wang, Mozgrin,
`Lantsman, and Kudryavtsev ...................................................................................51 
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`Ground 6: Claim 36 would have been obvious in view of the combination of
`Wang and Mozgrin ................................................................................................53 
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`IX. 
`
`CONCLUSION ..................................................................................................................59 
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`TABLE OF AUTHORITIES
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`
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`FEDERAL CASES
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`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007) .................................. 13
`In re Yamamoto, 740 F.2d 1569, 1572 (Fed. Cir. 2004) ............................................................... 12
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`FEDERAL STATUTES
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`35 U.S.C. § 314(a) .......................................................................................................................... 3
`35 U.S.C. §103 ................................................................................................................................ 3
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`RULES
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`Rule 42.104(a)................................................................................................................................. 2
`Rule 42.104(b)(4)-(5) .................................................................................................................... 15
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`REGULATIONS
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`37 C.F.R. § 42.100(b) ................................................................................................................... 12
`77 Fed. Reg. 48764 (Aug. 14, 2012)............................................................................................. 13
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`iii
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`I. MANDATORY NOTICES
`A. Real Party-in-Interest
`The Gillette Company (“Petitioner”), a wholly-owned subsidiary of the
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`Procter & Gamble Co., is the real party-in-interest.
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`B. Related Matters
`Zond, Inc. v. The Gillette Co. and The Procter and Gamble Co., Civil Action
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`No. 1:13-CV. 11567-DJC (D. Mass. 2013) would affect or be affected by a
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`decision in the proceeding. Additionally, the Patent Owner is suing Petitioner
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`and/or other parties under other patents. IPR2014-00578, provisionally filed April
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`4, 2014, relates to claims 1-29 of the same patent.
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`C. Counsel
`Lead Counsel: Michael A. Diener (Registration No. 37,122)
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`Backup Counsel: Larissa B. Park (Registration No. 59,051)
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`Service Information
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`D.
`E-mail:
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`michael.diener@wilmerhale.com
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`
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`larissa.park@wilmerhale.com
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`Post and hand delivery: Wilmer, Cutler, Pickering, Hale and Dorr, LLP
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`60 State Street
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`Boston, Massachusetts 02109
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`Telephone: 617-526-6000
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`Fax: 617-526-5000
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`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 30-37 of U.S. Patent No. 6,896,775 (the ’775 Patent) (Ex. 1101).
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`Prior Art Patents and Printed Publications
`
`A.
`The following references and others listed in the Table of Exhibits and at
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`DeVito Decl. ¶ 12 (Ex. 1111) are pertinent to the grounds of unpatentability
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`explained below:
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`1.
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`D.V. Mozgrin, et al., High-Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research, Plasma Physics Reports,
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`Vol. 21, No. 5, 1995 (“Mozgrin” (Ex. 1102)), which is prior art under §102(b).
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`2.
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`A. A. Kudryavtsev, et al., Ionization relaxation in a plasma produced by a
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`pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), January 1983
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`(“Kudryavtsev” (Ex. 1103)), which is prior art under § 102(b).
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`3.
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`Lantsman, U.S. Pat. No. 6,190,512 (“Lantsman” (Ex. 1104)), which is prior
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`art under at least § 102(a) and (e).
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`D.V. Mozgrin, High-Current Low-Pressure Quasi-Stationary Discharge in a
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`4.
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`Magnetic Field: Experimental Research, Thesis at Moscow Engineering Physics
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`Institute, 1994 (“Mozgrin Thesis” (Ex. 1105)), which is prior art under §102(b).
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`Ex. 1105 is a certified English translation of the original Mozgrin Thesis, attached
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`as Ex. 1106. A copy of the catalogue entry for the Mozgrin Thesis at the Russian
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`State Library is attached as Exhibit 1107.
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`5. Wang, U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1108)), which is prior art
`
`under at least §§ 102(a) and (e).
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`6.
`
`Gopalraja, U.S. Patent No. 6,277,249 (“Gopalraja”(Ex. 1109)), which is
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`prior art under § 102(b).
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`B. Grounds for Challenge
`Petitioner requests cancellation of claims 30-37 of the ’775 Patent as
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`unpatentable under 35 U.S.C. §103 (“challenged claims”). This Petition, supported
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`by the declaration of Richard DeVito (“DeVito Declaration” or “DeVito Decl.”
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`(Ex. 1111)), filed herewith, demonstrates that there is a reasonable likelihood that
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`Petitioner will prevail with respect to at least one challenged claim and that each
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`challenged claim is not patentable. See 35 U.S.C. § 314(a).
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`A.
`Sputtering and etching
`Sputtering is a technique for depositing a thin film of a material onto a
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`surface called a substrate. This technology is widely used in thin film deposition
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`processes, including in semiconductor wafer processing and razor blade
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`manufacturing. DeVito Decl. ¶ 22 (Ex. 1111).
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`Sputtering is performed in a plasma chamber under low pressure, e.g.,
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`between 1-100 mTorr, and typically with an inert feed gas, such as argon. The
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`material to be deposited is typically provided in the form of a solid disk, or a plate,
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`and is referred to as a target. A plasma of ground state argon atoms, excited argon
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`atoms, positive argon ions, and electrons is created by applying an electric field to
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`electrodes near the feed gas. The target develops a negative potential, Vb, related
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`to the applied field. Positive argon ions in the plasma are attracted to the target and
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`are accelerated at a potential Vb. These ions strike the target and cause target
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`atoms to be dislodged through momentum exchange. These atoms can themselves
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`become ionized. The dislodged target atoms are then deposited on the substrate
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`surface, often by providing a bias signal on the substrate to attract the ionized
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`sputtered atoms. A magnet system or “magnetron” is often used to control the
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`location of the plasma relative to the target by trapping electrons close to the target.
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`DeVito Decl. ¶¶ 23-25 (Ex. 1111).
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`High voltages or currents can be useful in the sputtering process to increase
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`the plasma density, but the use of higher power makes it more likely that arcing
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`will occur in the plasma. Arcing is an uncontrolled collapse of the plasma to a
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`localized region. It is generally considered undesirable during the sputtering
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`process because it can cause larger portions of the target to be deposited on the
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`substrate, potentially causing defects. DeVito Decl. ¶¶ 28-69 (Ex. 1111).
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`Further detail about plasma sputtering, including sputtering with high power
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`pulses for providing an electric field is provided at DeVito Decl. ¶ 25-66 (Ex.
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`1111).
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`Etching is a process that can be performed with a plasma to remove a thin
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`layer of material from a substrate. Similar to sputtering for deposition, when a
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`voltage is applied to a plasma for etching, ions in the plasma strike the surface of
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`the substrate to cause a thin layer of material to be removed. Etching has
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`numerous applications, but it is widely used in semiconductor manufacturing to
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`remove thin layers of material on a silicon wafer, often according to a pattern.
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`DeVito Decl. ¶¶ 28, 67-69 (Ex. 1111).
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`It is well known in the art that sputter deposition and sputter etching can
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`typically be performed using the same type of reaction chamber because both
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`processes involve generating a plasma, applying a bias voltage to a substrate and
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`bombarding ions at the substrate. With sputter deposition, the goal is for atoms
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`sputtered from a target to stick to the substrate; with sputter etching, the ions
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`sputter material from the substrate. Examples of sputtering and etching described
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`as using the same or similar processes include: Mozgrin (Ex. 1102); Lantsman
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`6:12-20 (Ex. 1104); Gopalraja (Ex. 1109); and Bobbio 1:13-16, 1:43-47, 5:3-9,
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`5:44-47, 7:19-25, 8:56-61 (Ex. 1110). See DeVito Decl. ¶ 69 (Ex. 1111).
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`V. OVERVIEW OF THE ‘775 PATENT
`The ’775 Patent describes an etching technique in which a strongly-ionized
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`plasma is generated from a weakly-ionized plasma in a manner that purports to
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`increase uniformity and etch rate. More specifically, the ’775 Patent relates to a
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`magnetron system that applies an electric field across the weakly-ionized plasma to
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`excite atoms in the weakly-ionized plasma to generate secondary electrons from
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`the cathode. The secondary electrons ionize the excited atoms to generate a
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`strongly-ionized plasma. A voltage supply then applies a bias voltage to a
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`substrate proximate to the cathode. Ions in the strongly-ionized plasma strike the
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`substrate in a manner that causes etching of the surface of the substrate. See also
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`DeVito Decl. ¶¶ 71-72 (Ex. 1111).
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`VI. OVERVIEW OF CERTAIN PRIOR ART REFERENCES
`A.
`Summary of the prior art
`As explained in detail below, there is nothing new or non-obvious in Zond’s
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`claims. Engineers had been working with industrial plasmas for decades before the
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`‘775 Patent was filed. Ionization processes also had been researched extensively
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`before the ‘775 Patent. In addition, using the same type of reaction chamber for
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`both sputtering and etching was well understood before the ‘775 Patent.
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`B. References Are Not Cumulative
`Mozgrin and Wang relate to similar subject matter of high power pulsing to
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`achieve a high density plasma, but are otherwise quite different in viewpoint.
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`Mozgrin is an academic paper, which sometimes omits the most obvious
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`structures. For example, Mozgrin shows an anode and a cathode, but does not
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`show a substrate, even though a substrate is necessary for sputter deposition. A
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`reader would naturally assume there was a substrate. The Wang patent is assigned
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`to Applied Materials, a major supplier of semiconductor processing equipment and
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`relates to a practical system, but does not discuss plasma science in the same detail
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`as a paper like Mozgrin would. DeVito Decl. ¶ 73 (Ex. 1111)
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
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`C. Overview of Mozgrin (Ex. 1102)
`Mozgrin teaches using “weakly-ionized plasmas” and “strongly-ionized
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`plasmas” for the purpose of “sputtering” and “etching.” Fig. 7 of Mozgrin shows
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`the current-voltage characteristic (“CVC”) of a plasma discharge.
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`FIG. 7 of Mozgrin (Ex. 1102)
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`
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`Mozgrin divides this CVC into four distinct regions: (1) “pre-ionization”
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`(Mozgrin at 402, right col, ¶ 2); (2) “high current magnetron discharge” (Mozgrin
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`at 409, left col, ¶ 4), in which application of a high voltage to the pre-ionized
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`plasma causes the transition from region 1 to 2; (3) “high current diffuse
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`discharge” (Mozgrin at 409, left col, ¶ 5), where continued application of current to
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`the “high-current magnetron discharge” (regime 2) causes the plasma to transition
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`to region 3; and (4) “arc discharge” (Mozgrin at 402, right col, ¶ 3), where
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`application of higher current can cause the plasma to transition from region 3 to the
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`“arc discharge” region 4. (Ex. 1102). DeVito Decl. ¶ 76 (Ex. 1111)
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`Mozgrin teaches that region 2 is useful for sputtering. Mozgrin at 403, right
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`col, ¶ 4 (Ex. 1102). Region 3 is useful for etching, i.e., removing material from a
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`surface. Mozgrin at 409, left col, ¶ 5 (Ex. 1102). Within its broad disclosure of a
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`range of issues related to both sputtering and etching, Mozgrin describes how this
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`is achieved using “weakly-ionized plasma” and “strongly-ionized plasma.”
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`DeVito Decl. ¶ 77 (Ex. 1111).
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`In Fig. 1 of Mozgrin, the magnets are labeled “3.” The field generated by
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`those magnets extends through the cathode 2, anode 1, and the space or gap
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`between them. Mozgrin at 401, left col, ¶ 1 (“The electrodes were immersed in a
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`magnetic field of annular permanent magnets.”) (Ex. 1102). Further, Mozgrin’s
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`magnetic field is proximate to the weakly-ionized plasma, i.e., a plasma with a
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`density of less than 1012 cm-3. Mozgrin at 401, right col, ¶ 2 (Ex. 1102) (“We
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`found out that only the regimes with magnetic field strength not lower than 400 G
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`provided the initial plasma density in the 109-1011 cm-3 range.”). Also, Mozgrin’s
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`magnetic field traps electrons thereby enhancing collisions between electrons and
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`gas particles. Mozgrin at 407, left col, ¶ 3 (Ex. 1102) (“The action of the magnetic
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`field serves…to provide collisions sufficient for efficient energy transfer from
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`electrons to heavy particles.”)1. See also DeVito Decl. ¶ 78 (Ex. 1111).
`
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`1 Emphasis on citations that is bolded and italicized is added throughout.
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`By applying a voltage pulse, Mozgrin generates a strongly-ionized plasma,
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`e.g., a plasma with a density that is above 1012 cm-3. For example, in Mozgrin’s
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`regime 2, the plasma density exceeded 1013 cm-3. Mozgrin at 409, left col, ¶ 4 (Ex.
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`1102) (“The implementation of the high-current magnetron discharge (regime 2) in
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`sputtering … plasma density (exceeding 2x1013 cm-3”). Moreover, in Mozgrin’s
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`regime 3, i.e., the regime useful for etching, the plasma density is even higher.
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`Mozgrin at 409, left col, ¶5 (Ex. 1102) (“The high-current diffuse discharge
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`(regime 3) is useful for producing large-volume uniform dense plasmas ni 
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`1.5x1015cm-3….”). See also DeVito Decl. ¶ 76 (Ex. 1111). Mozgrin also teaches
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`that the plasma goes through an ionization process that involves exciting atoms.
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`Mozgrin states that in “[d]esigning the [pulsed supply] unit, we took into account
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`the dependences which had been obtained in [8] of ionization relaxation on pre-
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`ionization parameters, pressure, and pulse voltage amplitude.” Mozgrin at 401, ¶
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`spanning left and right columns (Ex. 1102). In Mozgrin, the voltage and current
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`are applied long enough to create a large population of excited atoms as part of the
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`ionization process. DeVito Decl. ¶ 79 (Ex. 1111).
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`D. Overview of Kudryavtsev (Ex. 1103)
`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. 1103). In particular,
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`Kudryavtsev describes how ionization of a plasma can occur via different
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`processes. The first process is direct ionization, in which ground state atoms are
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`converted directly to ions. See, e.g., id. FIG. 6 caption (Ex. 1104). The second
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`process is the ionization of excited atoms, which Kudryavtsev calls stepwise
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`ionization. See, e.g., id. Kudryavtsev notes that under certain conditions multi-
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`step ionization can be the dominant ionization process. See, e.g., id. Mozgrin took
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`into account the teachings of Kudryavtsev when designing his experiments.
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`Mozgrin at 401, ¶ spanning left and right cols (“Designing the unit, we took into
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`account the dependenc[i]es which had been obtained in [Kudryavtsev]….”) (Ex.
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`1102). DeVito Decl. ¶ 81 (Ex. 1111).
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`E. Overview of Wang (Ex. 1108)
`Wang discloses a pulsed magnetron device having an anode (24), a cathode
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`(14), a magnet assembly (40), a DC power supply (100) (Fig. 7) and a pulsed DC
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`power supply (80). Wang Figs. 1, 7, 3:57-4:55; 7:56-8:12 (Ex. 1108).
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`Fig. 6 shows a graph of the power Wang applies to the plasma. A lower
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`power level, PB, is generated by the DC power supply 100 (shown in Fig. 7), and
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`the higher power level, PP, is generated by the pulsed power supply 80. See Wang
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`7:56-64 (Ex. 1108). Wang’s lower power level, PB, “is chosen to exceed the
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`minimum power necessary to support a plasma.... Instead, the application of the
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`high peak power, PP, quickly causes the already existing plasma to spread and
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`increases the density of the plasma.” Wang 7:17-31 (Ex. 1108); 8:2-5
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`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`(“Advantageously, the plasma may be ignited by the DC power supply 100 before
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`the pulsed power supply 80 is even turned on….”). DeVito Decl. ¶ 83 (Ex. 1111).
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`FIG. 6 of Wang (Ex. 1108)
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`VII. CLAIM CONSTRUCTION
`A claim in Inter Partes Review is given the “broadest reasonable
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`construction in light of the specification in which it appears.” 37 C.F.R. §
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`42.100(b). The broadest reasonable construction is the broadest reasonable
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`interpretation of the claim language.2 See In re Yamamoto, 740 F.2d 1569, 1572
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`(Fed. Cir. 2004). Any claim term which lacks a definition in the specification is
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`2 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 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`therefore also given a broad interpretation. In re ICON Health & Fitness, Inc., 496
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`F.3d 1374, 1379 (Fed. Cir. 2007). Moreover, should the Patent Owner contend
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`that the claims have a construction different from their broadest reasonable
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`construction in order to avoid the prior art, the appropriate course is for the Patent
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`Owner to seek to amend the claims to expressly correspond to its contentions in
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`this proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
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`
`
`A.
` “means for ionizing a feed gas …” (claim 36) and “means for
`ionizing a volume of feed gas…” (claim 37)
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`The claimed function is: “generating/forming a weakly-ionized plasma
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`proximate to a cathode.” The ’775 Patent discloses the following corresponding
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`structure: a power supply that is electrically coupled to an anode and a cathode, as
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`shown in FIGS. 2, 3, 7, 10, or 11 and as described in the text of the ‘775 Patent at
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`4:42-67, 6:1-4, 8:27-31 (Ex. 1101).3
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`3
`The ’775 Patent discloses that “other techniques including UV radiation
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`techniques, X-ray techniques, electron beam techniques, ion beam techniques, or
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`ionizing filament techniques” can ionize a gas, but fails to describe any structure
`
`for these “techniques.” See ’775 Patent, 7:9-13. The “means for ionizing…”
`
`cannot be construed to include any techniques that lack corresponding structure in
`
`the specification.
`
`
`
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`- 13 -
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`

`
`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`“means for generating a magnetic field…” (claims 36 and 37)
`
`B.
`The claimed function is: “generating a magnetic field proximate to the
`
`weakly-ionized plasma.” The ’775 Patent discloses the following corresponding
`
`structure: one or more magnets arranged as shown in Figs. 2, 3, 6A-6D, 7, 10, or
`
`11 and as described in the text of the ‘775 Patent at 5:31-46, 8:27-40, 13:37-15:31
`
`(Ex. 1101).
`
`C.
`“means for applying an electrical field…” (claim 36) and “means
`for applying an electrical pulse…” (claim 37)
`
`The claimed function is: “applying an electrical pulse / electrical field across
`
`the weakly-ionized plasma voltage pulse to a weakly-ionized plasma to generate a
`
`strongly-ionized plasma.” The ’775 Patent discloses the following corresponding
`
`structure: power supply, generating the voltage and power values shown in Figs.
`
`4-5, and 8, that is electrically coupled to an anode and a cathode, wherein the
`
`anode and cathode are arranged relative to the cathode as shown Figs. 2, 3, 7, 10,
`
`or 11 and as described in the text of the ‘775 Patent at 4:42-67, 6:1-4, 8:27-31 (Ex.
`
`1101).
`
`D.
`“means for exchanging the strongly-ionized plasma with a second
`volume of feed gas…” (claim 37)
`
`The claimed function is: “exchanging the strongly-ionized plasma with a
`
`second volume of feed gas while applying the electrical pulse across the second
`
`volume of feed gas to generate a strongly-ionized plasma comprising a second
`
`
`
`
`- 14 -
`
`

`
`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`plurality of ions.” The ’775 Patent discloses the following corresponding
`
`structure: a gas inlet, e.g., from gas source 208, as shown in Figs. 2, 3, 7, 10, or 11
`
`and as described in the text of the ‘775 Patent at 4:14-17 (Ex. 1101).
`
`“means for applying a bias voltage…” (claims 36 and 37)
`
`E.
`The claimed function is: “applying a bias voltage to a substrate… causing
`
`ions in the first and the second plurality of ions to impact a surface of the substrate
`
`in a manner that causes etching of the surface of the substrate.” The ’775 Patent
`
`discloses the following corresponding structure: bias voltage source, electrically
`
`coupled to the substrate via a substrate support as shown in Figs. 2, 3, 7, 10, or 11
`
`and as described in the text of the ‘775 Patent at 4:31-41, 7:66-8:8 (Ex. 1101).
`
`VIII. SPECIFIC GROUNDS FOR PETITION
`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in
`
`the Declaration of Richard DeVito (Ex. 1111), demonstrate in detail how the prior
`
`art discloses each and every limitation of the claims of the ’775 Patent, and how
`
`those claims are rendered obvious by the prior art.
`
`
`
`A. Ground 1: Claims 30-34 and 37 would have been obvious in view
`of the combination of Mozgrin, Mozgrin Thesis, and Lantsman
`1.
`
`Independent claims 30 and 37
`
`- 15 -
`
`
`
`

`
`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`The preambles: “A method of magnetically
`a)
`enhanced plasma processing comprising;” and “A
`magnetically enhanced plasma processing apparatus
`comprising.”
`
`Mozgrin discloses a plasma processing apparatus and methods for sputtering
`
`and etching. For example, Mozgrin teaches that region 2 is useful for sputtering
`
`and region 3 is useful for etching. Mozgrin at 403, right col, ¶ 4 and at 409, left
`
`col, ¶ 5 (Ex. 1102). The processing apparatus includes a magnet “3” for a quasi-
`
`stationary discharge in crossed fields with high-power. See, e.g., Mozgrin at 400-
`
`401, right col. ¶¶ 3-5, 404, left col. ¶ 3, Figures 1 and 5 (Ex. 1102). DeVito Decl. ¶
`
`92 (Ex. 1111).
`
`Limitation (a) of claim 30: “ionizing a volume of
`b)
`feed gas to form a weakly-ionized plasma proximate to a
`cathode;” and limitation (a) of claim 37: “means for ionizing
`a volume of feed gas to form a weakly-ionized plasma
`proximate to a cathode”
`
`
`Mozgrin teaches using the power supply shown in Fig. 2 to generate a
`
`weakly ionized plasma, such as a plasma with a density less than 1012 cm-3. For
`
`example, Mozgrin states:
`
`For pre-ionization, we used a stationary magnetron discharge; the
`discharge current ranged up to 300 mA…. We found out that only the
`regimes with magnetic field strength not lower than 400 G provided
`the initial plasma density in the 109 – 1011 cm-3 range.
`
`
`
`
`- 16 -
`
`

`
`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`See Mozgrin at 401, right col, ¶2 (emphasis added) (Ex. 1102). DeVito
`Decl. ¶ 96 (Ex. 1111).
`
`Mozgrin’s plasma is generated between and proximate to the cathode “2”
`
`and the anode “1” as shown in Mozgrin’s Figures 1 and 6. Mozgrin teaches using
`
`feed gases such as argon and nitrogen for forming its plasmas. Mozgrin at 400,
`
`right col, ¶ 3 (“We investigated the discharge regimes in various gas mixtures at
`
`10-3 – 10 torr…”); 402, ¶ 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…”).
`
`DeVito Decl. ¶ 94 (Ex. 1111).
`
`Additionally, regarding claim 37, Fig. 2 of Mozgrin discloses an example of
`
`a power supply in the form of a discharge supply unit:
`
`
`
`The discharge supply unit ionizes a feed gas to generate a pre-ionized plasma
`
`having a density between 107 – 1011 cm-3. Indeed, the voltage and power values
`
`and waveform applied by the discharge supply unit are very similar to those shown
`
`in the ’775 Patent. Compare FIG. 3(b) of Mozgrin to FIG. 5 of the ’775 Patent:
`
`DeVito Decl. ¶¶ 95-96 (Ex. 1111).
`
`
`
`
`
`
`- 17 -
`
`

`
`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`
`Fig 3(b) of Mozgrin (Ex. 1102)
`
`Excerpt of FIG 5 of ’775 Patent
`(Ex. 1101)
`
`Moreover, Mozgrin’s discharge supply unit is coupled to an anode and
`
`
`
`cathode that are arranged relative to a sputtering target as shown in, e.g., Fig. 3 of
`
`the ’775 Patent. For example, referring to Fig. 1(a) of Mozgrin, portions of anode
`
`2 are arranged relative to cathode 1 to create a configuration as shown in Figure 3
`
`of the ’775 Patent. Indeed, the configuration of the anode and cathode in Mozgrin
`
`generate the same electric field (noted in green) as the ’775 Patent. Mozgrin thus
`
`discloses the recited function using the same or equivalent structure. DeVito Decl.
`
`¶ 97 (Ex. 1111).
`
`Annotated Figure 3 of ’775 Patent
`(Ex. 1101)
`
`Annotated Figure 1 of Mozgrin
`
`
`
`
`- 18 -
`
`

`
`U.S. PATENT 6,896,775 – Claims 30-37
`Petition for Inter Partes Review
`(Ex. 1102)
`
`Limitation (b) of claim 30: “generating a
`c)
`magnetic field proximate to the weakly-ionized plasma, the
`magnetic field substantially trapping electrons in the weakly-
`ionized plasma proximate to the cathode;” and limitation (b)
`of claim 37: “means for generating a magnetic field
`proximate to the weakly-ionized plasma, the magnetic field
`substantially trapping electrons in the weakly-ionized plasma
`proximate to the cathode”
`
`
`Fig. 1 of Mozgrin discloses magnets, e.g., “annular permanent magnets,”
`
`labeled “3.” The generated magnetic field, as shown in Fig. 1(a) of Mozgrin,
`
`extends through the cathode “2,” anode “1,” and the space between them. Mozgrin
`
`at 401, left col, ¶ 1 (Ex. 1102). Further, Mozgrin’s magnetic field is proximate to
`
`the weakly-ionized plasma, i.e., a plasma with a density of less than 1012 cm-3,
`
`specifically “in the 109-1011 cm-3 range.” Mozgrin at 401, right col, ¶ 2 (Ex. 1102).
`
`Mozgrin’s magnetic field traps electrons thereby enhancing collisions between
`
`electrons and gas particles. Mozgrin at 407, left col, ¶ 3 (Ex. 1102). Mozgrin thus
`
`shows the method of generating of claim 30 and the means for generating of claim
`
`37, using the same or equivalent structure. DeVito Decl. ¶ 98 (Ex. 1111).
`
`Limitation (c) of claim 30: “applying an electrical
`d)
`pulse across ionized plasma to generate a strongly-i