`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`________________
`
`FUJITSU SEMICONDUCTOR LIMITED,
`FUJITSU SEMICONDUCTOR AMERICA, INC.,
`ADVANCED MICRO DEVICES, INC., RENESAS ELECTRONICS
`CORPORATION, RENESAS ELECTRONICS AMERICA, INC.,
`GLOBALFOUNDRIES U.S., INC., GLOBALFOUNDRIES DRESDEN
`MODULE ONE LLC & CO. KG, GLOBALFOUNDRIES DRESDEN
`MODULE TWO LLC & CO. KG, TOSHIBA AMERICA ELECTRONIC
`COMPONENTS, INC., TOSHIBA AMERICA INC., TOSHIBA
`AMERICA INFORMATION SYSTEMS, INC.,
`TOSHIBA CORPORATION, and
`THE GILLETTE COMPANY,
`Petitioners,
`
`v.
`
`ZOND, LLC,
`Patent Owner
`________________
`
`IPR2014-008611
`Patent 6,806,652 B2
`
`________________
`
`PETITIONER’S REPLY TO PATENT OWNER’S RESPONSE
`
`Claims 18-34
`
`
`
`
`1 Cases IPR2014-00864, IPR2014-01003, and IPR2014-01066 have been joined
`with the instant proceeding.
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`TABLE OF CONTENTS
`
`PETITIONER’S EXHIBIT LIST ............................................................................ iv
`
`I.
`
`INTRODUCTION ............................................................................................... 1
`
`II. ZOND’S FLAWED INTERPRETATIONS OF THE PRIOR ART FAIL ......... 2
`
`A. Mozgrin explicitly teaches that the ionization fraction of its high-
`density plasma exceeds the 75% required by the ’652 Patent ...................... 2
`
`B. Mozgrin discloses process parameters that “super-ionize” the initial
`plasma in the same manner as taught by the ’652 Patent ............................. 3
`
`C. Patent Owner’s criticism of Dr. Kortshagen’s calculation has no effect
`on Mozgrin’s disclosure of “super-ionizing” the initial plasma .................. 9
`
`D. Patent Owner is incorrect in concluding that Mozgrin does not control
`its sputtering chamber pressure .................................................................. 11
`
`E. Even if Mozgrin does not control its sputtering chamber pressure, Dr.
`Kortshagen’s analysis remains correct and demonstrates Mozgrin’s
`disclosure of “super-ionizing” its initial plasma. ....................................... 13
`
`III. CLAIMS 18-34 ARE UNPATENTABLE OVER THE CITED PRIOR
`ART .......................................................................................................................... 16
`
`A. Mozgrin teaches super-ionizing an initial plasma to generate a high-
`density plasma as claimed by claim 18. ..................................................... 16
`
`B. Iwamura further suggests the combination of Mozgrin and Kudryavtsev
`with Fahey in order to (1) create an initial plasma, then (2) super-ionize
`the initial plasma to create a high-density plasma, as claimed by claim
`18. ............................................................................................................... 18
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`C. Claims 31-34 are unpatentable over the prior art cited in the instituted
`grounds. ...................................................................................................... 21
`
`IV. CONCLUSION .................................................................................................. 22
`
`Certificate of Service ............................................................................................... 23
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`PETITIONER’S EXHIBIT LIST
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`
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`June 26, 2015
`
`Description
`U.S. Patent No. 6,806,652 (“’652 Patent”)
`
`Kortshagen Declaration (“Kortshagen Decl.”)
`
`D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-
`Stationary Discharge in a Magnetic Field: Experimental
`Research, Plasma Physics Reports, Vol. 21, No. 5, 1995
`
`Wang, U.S. Pat. No. 6,413,382 (“Wang)
`
`D. W. Fahey, et al., High flux beam source of thermal rare-
`gas metastable atoms, J. Phys. E; Sci. Insrum., Vol. 13, 1980
`(“Fahey”)
`
`A. A. Kudryavtsev, et al, Ionization relaxation in a plasma
`produced by a pulsed inert-gas discharge, Sov. Phys. Tech.
`Phys. 28(1), January 1983
`
`Chistyakov, U.S. Patent No. 7,147,759
`
`Iwamura, U.S. Patent No. 5,753,886
`
`Röepcke et al, Comparison of Optical Emission Spectrometric
`Measurements of the Concentration and Energy of Species in
`Low-pressure Microwave and Radiofrequency Plasma
`Sources, J. Analytical Atomic Spectrometry, September 1993,
`Vol. 8, pp. 803-808
`
`J. Hopwood and J. Asmussen, Neutral gas temperatures in a
`multipolar electron cyclotron resonance plasma, Appl. Phys.
`Let. 58 (22), 2473-2475 (1991)
`
`Exhibit
`1101
`
`1102
`
`1103
`
`1104
`
`1105
`
`1106
`
`1107
`
`1108
`
`1109
`
`1110
`
`1111
`
`G. A. Hebner, Spatially resolved, excited state densities and
`
`iv
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`1112
`
`1113
`
`1114
`
`1115
`
`1116
`
`1117
`
`1118
`
`1119
`
`1120
`
`neutral and ion temperatures in inductively coupled argon
`plasmas, J. Appl. Physics, 80 (5), 2624- 2636 (1996)
`
`Clarenbach, Time-dependent gas density and temperature
`measurements in pulsed helicon discharges in argon, Plasma
`Sources Sci. Technol. 12 (2003) 345–357
`
`Plasma Etching: An Introduction, by Manos and Flamm, pp.
`185-258, Academic Press (1989) (“Manos”)
`
`Campbell, U.S. Pat. No. 5,429,070 (“Campbell” )
`
`Affidavit of Mr. Fitzpatrick in Support of Motion for Pro
`Hac Vice Admission
`
`Stipulation of Dismissals
`
`CONFIDENTIAL BOARD ONLY – Zond TSMC Settlement
`Agreement
`
`Affidavit of Brett C Rismiller in Support of Petitioner’s
`Motion for Pro Hac Vice Admission
`
`Supplemental Kortshagen Declaration (“Supp. Kortshagen
`Decl.”)
`
`Deposition Transcript of Larry D. Hartsough Ph.D. for U.S.
`Patent No. 6,806,652 dated May 15, 2015 (“’652 Hartsough
`Depo. Tr.”)
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`I.
`
`INTRODUCTION
`
`In its Decision on Institution (“DI”), the Board recognized that there is a
`
`reasonable likelihood that claims 18-34 of the ’652 Patent are unpatentable. DI at
`
`pp. 30-31 (Paper No. 12).
`
`Of the challenged claims, Zond and Zond’s declarant, Dr. Hartsough, failed
`
`to address individual elements of claims 19-30, effectively conceding that these
`
`claim elements are unpatentable with a combination of the cited references. Of the
`
`remaining challenged claims (claims 18 and 31-34), Zond’s Patent Owner
`
`Response offers flawed interpretations of the prior art and in some cases
`
`mischaracterizes Petitioner’s argument, in a vain attempt to distinguish the cited
`
`prior art.
`
`The Petition, supported by Dr. Kortshagen’s declaration, clearly
`
`demonstrates why one of ordinary skill in the art would have combined the
`
`teachings of the cited references. In fact, the cross-examination of Dr. Hartsough
`
`demonstrates many areas of agreement between Dr. Kortshagen and Dr. Hartsough
`
`and contrary to the arguments in Zond’s Patent Owner Response. Petitioner
`
`provides a supplemental declaration of Dr. Korthshagen to respond to positions
`
`raised in Zond’s Patent Owner Response and the declaration by Dr. Hartsough.
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`II. ZOND’S FLAWED INTERPRETATIONS OF THE PRIOR ART FAIL
`A. Mozgrin explicitly teaches that the ionization fraction of its high-
`density plasma exceeds the 75% required by the ’652 Patent
`
`Speaking dispositively, Mozgrin explicitly states that the ionization degree
`
`of its high-density plasma ranges from 70-100%. Given that the ’652 Patent
`
`requires that at least 75% of the neutral atoms in the plasma are ionized, a person
`
`of ordinary skill in the art would certainly understand that Mozgrin’s high-density
`
`plasma having an ionization degree approaching 100% ionization would qualify as
`
`“super-ionization.”
`
`Specifically, Mozgrin discloses that “for the discharge transit from regime 2
`
`to regime 3 … the ionization degree α = ne / (ng + ni) ranges from α ≈ 1 (p = 0.01
`
`torr) to α ≈ 0.7 (p = 1 torr).” See Mozgrin at p. 407, left col. ¶ 2; right col. ¶ 3
`
`(emphasis added). As explained by Dr. Kortshagen, the density of electrons (ne) is
`
`equal to the density of ions (ni) as both ions and electrons are byproducts of
`
`ionizing a feed gas atom. Supp. Kortshagen Decl. at ¶ 32 (Ex. 1119). Similarly,
`
`because one gas atom is required to generate one ion, as the density of ions (ni)
`
`increases, the corresponding density of gas atoms (ng) decreases. Supp.
`
`Kortshagen Decl. at ¶ 33 (Ex. 1119). Looking at Mozgrin’s disclosed equation for
`
`its ionization degree, α, an increase in the density of gas atoms (ng) will result in a
`
`decrease by the same amount in the density of ions (ni), and vice versa, such that
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`the denominator (ng + ni) will remain constant regardless of the plasma density. Id.
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`This is true even as the density of ions (ni) increases due to more ground state
`
`atoms becoming ionized. Id.
`
` Looking at the situation in which α approaches 1, the density of neutral gas
`
`atoms (ng) approaches zero and 100% of the neutral gas atoms are ionized. Supp.
`
`Kortshagen Decl. at ¶¶ 32-34 (Ex. 1119). Accordingly, Mozgrin’s determination
`
`that α approaches 1 when the system pressure is 0.01 torr represents a situation
`
`where the initial plasma is super-ionized to generate a high-density plasma as
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`required by the ’652 Patent. Id. Dr. Hartsough likewise testified that he
`
`understands that a situation where α = 1 represents 100% ionization. See
`
`Hartsough Dep. Tr. at p. 124:12-23 (Ex. 1120). Thus, Mozgrin explicitly teaches
`
`a person of ordinary skill in the art that its high-density plasma has an ionization
`
`degree above and beyond what is required to be considered “super-ionized” by the
`
`’652 Patent.
`
`B. Mozgrin discloses process parameters that “super-ionize” the
`initial plasma in the same manner as taught by the ’652 Patent
`
`The ’652 Patent discloses that it super-ionizes the initial plasma in two steps.
`
`First, the initial plasma is generated from initial feed gas by applying power from a
`
`first power supply sufficient to at least partially ionize the gas. ’652 Patent at
`
`17:66-18:5 (Ex. 1101); Supp. Kortshagen Decl. at ¶ 21 (Ex. 1119). Second, a
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`second power supply applies a high-power pulse to the initial plasma whose
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`electric field imparts additional energy which super-ionizes the initial plasma to
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`generate a high-density plasma. ’652 Patent at 18:10-15 (Ex. 1101); Supp.
`
`Kortshagen Decl. at ¶ 22 (Ex. 1119). Figure 4 of the ’652 Patent provides a
`
`graphical representation of these two steps. ’652 Patent at 17:53-56 (Ex. 1101).
`
`Dr. Kortshagen provides an annotated version of Figure 4 of the ’652 Patent which
`
`shows the relative power and timing of both steps:
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`Figure 4 demonstrates that the ’652 Patent generates an initial plasma at t1
`
`by applying power in the range of 0.01kW to 100kW to the feed gas. Supp.
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`Kortshagen Decl. at ¶ 21 (Ex. 1119). According to the ’652 Patent, this initial
`
`plasma can be a “weakly-ionized plasma” and may have a plasma density of about
`
`107 cm-3 to 1012 cm-3. Id. (Ex. 1119). After creating the weakly-ionized initial
`
`plasma, a second power supply delivers a high-power pulse 404 to the initial
`
`plasma wherein the pulse has a power in the range of 1kW to 10MW. ’652 Patent
`
`at 18:10-15 (Ex. 1101); Supp. Kortshagen Decl. at ¶ 22 (Ex. 1119). This high-
`
`power pulse “super-ionizes the initial plasma to generate a high-density plasma.”
`
`Id. The high-density plasma formed by super-ionizing the initial plasma may have
`
`a plasma density in excess of 1012 cm-3. ’652 Patent at 10:57-63 (Ex. 1101); Supp.
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`Kortshagen Decl. at ¶ 22 (Ex. 1119). The only information provided by the ’652
`
`Patent about the power used to super-ionize the initial plasma as demonstrated in
`
`Figure 4 relates to the rise-time and duration of the high-power pulse. Supp.
`
`Kortshagen Decl. at ¶ 23 (Ex. 1119). More specifically, the ’652 Patent states that
`
`the high-power pulse 404 represented in Figure 4 has a rise-time from t2 to t3 of
`
`approximately 0.1μs to 10s. ’652 Patent at 18:15-24 (Ex. 1101). Also, the ’652
`
`Patent teaches that the pulse width of the high-power pulse 404 is in the range of
`
`1μs to 10s. Id.
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`In the exact same manner as the ’652 Patent, Mozgrin discloses generating a
`
`high-density plasma from an initial plasma in two stages. First, Mozgrin generates
`
`an initial plasma by applying power from a pre-ionization system comprising a
`
`stationary discharge supply unit. Mozgrin at p. 401, left col. ¶¶ 4-5 (Ex. 1103);
`
`Kortshagen Decl. at ¶ 75 (Ex. 1102). Second, Mozgrin utilizes a pulsed discharge
`
`supply unit to apply a high-power pulse to the initial plasma in order to generate a
`
`high-density plasma. Mozgrin at p. 402, right col. ¶ 2 (Ex. 1103); Kortshagen
`
`Decl. at ¶ 76 (Ex. 1102).
`
`Not only does Mozgrin disclose the same two-stage process, it also discloses
`
`power ranges and pulse characteristics that fall exactly within the ranges disclosed
`
`by the ’652 Patent when describing super-ionization. Supp. Kortshagen Decl. at ¶¶
`
`24-28 (Ex. 1119). Mozgrin’s stationary discharge unit creates its initial plasma by
`
`applying power in the range of 52W-56W. See Supp. Kortshagen Decl. at ¶ 26
`
`(Ex. 1119); see also Mozgrin at p. 402, right col. ¶ 3 (Ex. 1103). Mozgrin’s initial
`
`plasma has a density ranging from 107 - 109 cm-3. Mozgrin at p. 401, left col. ¶ 4
`
`(Ex. 1103); Supp. Kortshagen Decl. at ¶ 26 (Ex. 1119). After generating the initial
`
`plasma, Mozgrin’s high-voltage supply unit applies a high-power pulse having
`
`power in the range of 1.35kW and 126kW to increase the plasma density. See
`
`Supp. Kortshagen Decl. at ¶ 27 (Ex. 1119); see also Mozgrin at p. 403, left col. ¶ 1;
`
`p. 404, right col. ¶ 2 (Ex. 1103). Mozgrin notes that its maximum Ar plasma
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`density was measured to be 1.5 x 1015 cm-3 corresponding to a high-power pulse of
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`100kW. Mozgrin at p. 404, right col. ¶ 2 (Ex. 1103); Supp. Kortshagen Decl. at ¶
`
`27 (Ex. 1119). Finally, Mozgrin’s high-current diffuse discharge generated from
`
`the initial plasma has a rise time of 5 - 60µs and pulse durations of up to 1.5ms.
`
`See Supp. Kortshagen Decl. at ¶ 28 (Ex. 1119); see also Mozgrin at p. 401, right
`
`col. ¶ 1 (Ex. 1103). In the case where the pre-ionization plasma comprises argon
`
`having a plasma density of 109 - 1011 cm-3, Mozgrin specifically discloses the pulse
`
`duration is about 50µs. Id. All of Mozgrin’s disclosed plasma densities and power
`
`pulse characteristics overlap with those disclosed by the ’652 Patent when
`
`describing super-ionization:
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`’652 Patent
`Applied Power: 10W to 100kW.
`’652 Patent at 17:67-18:1.
`
`Resulting Plasma Density: 107
`to 1012 cm-3. ’652 Patent at
`8:60-62.
`High-Power Pulse: 1kW to
`1MW. ’652 Patent at 18:10-12.
`
`Pulse Rise Time: 0.1µs to 10s.
`’652 Patent at 18:16-18.
`
`Pulse Duration: 0.1µs to 10s.
`’652 Patent at 18:22-24.
`
`Resulting Plasma Density:
`Greater than 1012 cm-3. ’652
`Patent at 10:57-63.
`
`Mozgrin
`Applied Power: 52W to 56W.
`Mozgrin at p. 402, right col. ¶ 3.
`
`Resulting Plasma Density: 109 –
`1011 cm-3. Mozgrin at p. 402,
`right col. ¶ 2.
`High-Power Pulse: 100kW.
`Mozgrin at p. 404, right col. ¶ 2.
`
`Pulse Rise Time: 5µs to 60µs.
`Mozgrin at p. 401, right col. ¶ 1.
`
`Pulse Duration: 50µs. Mozgrin
`at Fig. 3; p. 401, right col. ¶ 1.
`
`Resulting Plasma Density: 1.5 x
`1015 cm-3. Mozgrin at p. 404,
`right col. ¶ 2.
`
`
`Generating
`the initial
`plasma
`
`Generating
`the high-
`density
`plasma
`
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`Supp. Kortshagen Decl. at ¶ 29 (Ex. 1119).
`
`
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`Thus, to the extent that the two-stage application of power disclosed by the
`
`’652 Patent “super-ionizes” the initial plasma to create a high-density plasma,
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`Mozgrin discloses the exact same process. Mozgrin first generates an initial
`
`plasma then applies a high-power pulse to increase the plasma density. Moreover,
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`Mozgrin discloses power levels and pulse characteristics that fall within the range
`
`disclosed by the ’652 Patent. As a result, Mozgrin “super-ionizes” its initial
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`plasma to create high-density plasma.
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`C.
`Patent Owner’s criticism of Dr. Kortshagen’s calculation has no
`effect on Mozgrin’s disclosure of “super-ionizing” the initial plasma
`
`As a threshold matter, neither Patent Owner nor its declarant, Dr. Hartsough,
`
`dispute that Mozgrin discloses super-ionizing its initial plasma in order to generate
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`a high-density plasma. In his initial supporting declaration, Dr. Kortshagen
`
`analyzed Mozgrin’s disclosed process parameters in view of the ideal gas law and
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`showed how a person of ordinary skill in the art would understand that Mozgrin
`
`does indeed “super-ionize” its plasma when creating its higher-density plasma.
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`Kortshagen Dec. at ¶¶ 76-86 (Ex. 1102). Notably absent from both the Patent
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`Owner Response and the supporting expert declaration is the conclusion that
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`Mozgrin does not disclose super-ionization; instead, both the Patent Owner and
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`Dr. Hartsough focus on one small portion of Dr. Kortshagen’s analysis and
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`criticize his declaration for failing to consider the number of ions in the initial
`
`plasma when concluding that Mozgrin’s high-density plasma has a degree of
`
`ionization in excess of 75%. Patent Owner Response at p. 3 (“ Dr. Kortshagen’s
`
`argument can only possibly demonstrate the percentage of ions in the final, high-
`
`density plasma, and is silent on what percentage of those ions were generated from
`
`the neutral atoms in the initial plasma.”) (Paper No. 33) (emphasis in original).
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`Dr. Kortshagen, in his initial declaration, contemplated the ions present in
`
`the initial plasma and concluded that the relatively few number of ions present in
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`the initial plasma did not affect his conclusion that Mozgrin super-ionized its initial
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`plasma. This is evidenced by his conclusion that “if Mozgrin’s neutral gas density
`
`were about 2.0 x 1015 atoms cm-3, then at least 75% of the neutral argon gas would
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`have been ionized. . .” Kortshagen Decl. at ¶ 77 (Ex. 1102).
`
`What Patent Owner fails to acknowledge is that the number of ions present
`
`in the initial plasma is so much less than the number of ions present in the high-
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`density plasma. Mozgrin discloses that for its high-current diffuse regime 3, the
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`necessary pre-ionized plasma density is 107 - 109 cm-3 while the maximum density
`
`for the high-density plasma was measured to be 1.5 x 1015 cm-3. Supp. Kortshagen
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`Decl. at ¶ 37 (Ex. 1119); see also Mozgrin at p. 401, left col. ¶ 3; p. 404, right col.
`
`¶ 2 (Ex. 1103). Thus, when Mozgrin’s high-power pulse increases the plasma
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`density, the density increase spans some six to eight orders of magnitude as it
`
`increases from 107 - 109 cm-3 (initial plasma) to 1.5 x 1015 cm-3 (high-density
`
`plasma).
`
`In order to examine the maximum number of ions contributed by Mozgrin’s
`
`initial plasma, Dr. Kortshagen assumed Mozgrin’s densest disclosed initial plasma
`
`having a density of 109 cm-3. Looking at this scenario, an additional 1.499999 x
`
`1015 cm-3 of neutral gas atoms in the initial plasma must be ionized in order to
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`generate the final high-density plasma in Mozgrin’s regime 3 having a measured
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`plasma density of 1.5 x 1015 cm-3. Supp. Kortshagen Decl. at ¶ 38 (Ex. 1119).
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`This is because the 1.499999 x 1015 cm-3 of ions generated during the high-power
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`pulse, when added to the 109 cm-3 of ions already present in the initial plasma,
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`results in a high-density plasma having a density of 1.5 x 1015 cm-3 as disclosed by
`
`Mozgrin. Given that Mozgrin’s pre-ionization plasma would contribute
`
`0.000067% of the ions in the high-density plasma, the contribution is so small as to
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`be immaterial to Dr. Kortshagen’s initial conclusion that Mozgrin converts at least
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`75% of the neutral gas atoms in the pre-ionization plasma to generate the final
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`high-density plasma. See Kortshagen Dec. at ¶ 83 (Ex. 1102); Supp. Kortshagen
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`Decl. at ¶ 39 (Ex. 1119). As a result, Patent Owner’s criticism of Dr. Kortshagen’s
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`analysis in his initial declaration is unfounded and ultimately immaterial to the fact
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`that Mozgrin discloses “super-ionization” as claimed in the ’652 Patent.
`
`D.
`Patent Owner is incorrect in concluding that Mozgrin does not
`control its sputtering chamber pressure
`
`In a thinly-veiled attempt to further discredit Dr. Kortshagen’s analysis,
`
`Patent Owner unilaterally concludes that Mozgrin does not control the pressure in
`
`his chamber such that when the gas temperature increases upon application of the
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`high-power pulse, the chamber pressure will likewise increase. Patent Owner
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`Response at pp. 2-3 (Paper No. 33). Based on this unsupported conclusion, Patent
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`Owner suggests that Dr. Kortshagen’s calculation of the gas temperature via the
`
`ideal gas law does not account for this effect and is accordingly unreliable. This is
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`nothing more than an attorney-argument as Dr. Hartsough did not address
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`Mozgrin’s pressure control in his declaration. Nevertheless, Dr. Hartsough
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`testified in his deposition that he believes that Mozgrin does not control its
`
`pressure based on his reading of how the experiment is described in the Mozgrin
`
`Thesis, but not based on the Mozgrin reference itself. ’652 Hartsough Dep. Tr. at p.
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`99:23-100:7 (Ex. 1120).
`
`Unsurprisingly, Patent Owner’s bare conclusion that Mozgrin discloses a
`
`closed system with uncontrolled pressure is contrary to what a person of ordinary
`
`skill in the art reading Mozgrin would conclude. Mozgrin notes that the residual
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`gas pressure of his system is 8 x 10-6 torr, which – as Dr. Kortshagen explains – a
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`person of ordinary skill in the art would understand represents the system’s leak
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`rate. Mozgrin at p. 401, left col. ¶ 3 (Ex. 1103); Supp. Kortshagen Decl. at ¶ 44
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`(Ex. 1119). Armed with the knowledge of Mozgrin’s leak rate, a person of
`
`ordinary skill in the art would conclude that Mozgrin does not use a closed system
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`because if he did then the pressure would fluctuate as soon as the feed gas is turned
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`off and impurities would begin to leak into the system. Supp. Kortshagen Decl. at
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`¶ 45 (Ex. 1119). The pressure fluctuations and growing presence of impurities
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`would have a profound effect on Mozgrin’s measurements and would render his
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`experiment highly irreproducible. Supp. Kortshagen Decl. at ¶ 45 (Ex. 1119).
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`12
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`Accordingly, a person of ordinary skill in the art would understand that
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`Mozgrin controls the pressure of its chamber by utilizing a continuous feed gas in
`
`combination with a vacuum pump. Moreover, to the extent that Mozgrin’s
`
`experimental setup is described by the Mozgrin Thesis, Figure 2.3 of the Mozgrin
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`Thesis illustrates a schematic of an experimental setup utilizing a continuous gas
`
`feed in combination with a pump and a series of valves. Supp. Kortshagen Decl. at
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`23, fn. 2 (Ex. 1119). Mozgrin’s leak rate, along with the schematic in the Mozgrin
`
`Thesis, does not in any way suggest that Mozgrin uses a closed system. Id.
`
`Instead, a person of ordinary skill in the art would understand that Mozgrin uses a
`
`continuous gas flow in order to control the level of impurities and obtain accurate,
`
`reproducible measurements. Supp. Kortshagen Decl. at ¶ 46 (Ex. 1119). Thus, Dr.
`
`Kortshagen’s analysis in his initial declaration remains accurate and correct.
`
`E.
`Even if Mozgrin does not control its sputtering chamber pressure,
`Dr. Kortshagen’s analysis remains correct and demonstrates Mozgrin’s
`disclosure of “super-ionizing” its initial plasma.
`
`Notwithstanding the litany of evidence that would suggest to a person of
`
`ordinary sill in the art that Mozgrin utilizes a continuous gas feed which regulates
`
`chamber pressure, Dr. Kortshagen’s initial conclusion that Mozgrin super-ionizes
`
`its initial plasma remains correct even if Mozgrin utilized a closed vacuum
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`chamber system as suggested by Patent Owner. See IPR2014-00861, Patent
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`13
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`Owner’s Response at pp. 2-3 (Paper No. 33) (“Mozgrin does not control pressure
`
`of his fill gas, so as temperature rises, pressure will rise.”).
`
`As a threshold matter, a person of ordinary skill in the art would understand
`
`that the increase in gas temperature occurs only in the volume of the high-density
`
`plasma which comprises a small fraction of the overall chamber volume. Supp.
`
`Kortshagen Decl. at ¶ 48 (Ex. 1119). Moreover, a person of ordinary skill in the
`
`art would understand that the remaining volume of gas in the chamber will act as a
`
`pressure buffer such that the chamber pressure will remain relatively constant
`
`notwithstanding any localized pressure changes in the region of high-density
`
`plasma. Supp. Kortshagen Decl. at ¶ 49 (Ex. 1119). Finally, the chamber wall
`
`serves as a large heat sink which will keep the chamber wall temperature
`
`essentially constant notwithstanding any changes in gas temperature, and likewise,
`
`gas pressure. Id. As a result, a person of ordinary skill in the art would understand
`
`that any pressure increase due to generation of high-density plasma will be
`
`minimal.
`
`In order to demonstrate the relatively little impact of any pressure change,
`
`Dr. Kortshagen calculated the requisite gas temperature required to super-ionize
`
`Mozgrin’s initial plasma under the unlikely dramatic circumstances in which
`
`Mozgrin’s pressure is doubled from 0.2 torr to 0.4 torr when creating the high-
`
`density plasma. Supp. Kortshagen Decl. at ¶ 50 (Ex. 1119). As gas temperature
`14
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`and pressure are directly related, a twofold increase in pressure will require twice
`
`as high a gas temperature to super-ionize Mozgrin’s initial plasma (in this case, the
`
`requisite gas temperature is 1932 K). Supp. Kortshagen Decl. at ¶ 51 (Ex. 1119).
`
`As Dr. Kortshagen stated in his initial declaration, a person of ordinary skill in the
`
`art would understand that Mozgrin’s disclosed application of 100kW of power to
`
`generate its high-density plasma will result in a gas temperature of 2000 K which
`
`is in excess of the 1932 K temperature required to super-ionize Mozgrin’s initial
`
`plasma in the presence of a twofold pressure increase. Kortshagen Dec. at ¶ 81
`
`(Ex. 1102); Supp. Kortshagen Decl. at ¶ 52 (Ex. 1119).
`
`Thus, not only would a person of ordinary skill in the art understand that any
`
`change in Mozgrin’s pressure during creation of the high-density plasma will be
`
`minimal, but they would further understand that even if Mozgrin’s system
`
`experienced a dramatic pressure change, its application of 100kW to generate its
`
`high-density plasma will result in a gas temperature in excess of 2000 K. Supp.
`
`Kortshagen Decl. at ¶ 53 (Ex. 1119). This gas temperature corresponds to a
`
`neutral atom density of less than 2.0 x 1015 atoms cm-3 by virtue of the ideal gas
`
`law, indicating that Mozgrin super-ionizes the initial pre-ionization plasma as
`
`explained in the original Petition.
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`15
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`III. CLAIMS 18-34 ARE UNPATENTABLE OVER THE CITED PRIOR
`ART
`A. Mozgrin teaches super-ionizing an initial plasma to generate a
`high-density plasma as claimed by claim 18.
`
`In its Response, Patent Owner concludes that claim 18 and its dependent
`
`claims are patentable over Mozgrin because Petitioners failed to demonstrate that
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`Mozgrin “teach[es] or suggest[s] super-ionizing an initial plasma and excited
`
`atoms so as to generate a high-density plasma, as required by claim 18.” Patent
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`Owner Response at 26 (Paper No. 33). The only support for this conclusion
`
`offered by Patent Owner is that Dr. Kortshagen’s analysis suggests “that 75% of all
`
`the atoms in the final-high density plasma are ions, without regard to the
`
`percentage of neutral atoms in the initial plasma.” Id. (Paper No. 33) (emphasis in
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`original). Put another way, the only argument against Mozgrin’s disclosure of
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`super-ionizing an initial plasma put forth by both Patent Owner and its expert, Dr.
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`Hartsough, is that Dr. Kortshagen does not explicitly include in his calculation the
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`ions and neutral atoms present in the initial plasma.
`
`As explained above in Section II.C, the number of ions present in the initial
`
`plasma is so much less than the number of ions present in the high-density plasma
`
`as to make the initial plasma’s ion contribution negligible when calculating the
`
`degree of ionization of the high-density plasma. Dr. Kortshagen understood this
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`when he concluded in his initial declaration that “[a] person of ordinary skill in the
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`16
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`art would have understood that if Mozgrin’s neutral gas density were about 2.0 x
`
`1015 atoms cm-3, then at least 75% of the neutral argon gas would have been
`
`ionized. . .” Kortshagen Decl. at ¶ 77 (Ex. 1102) (emphasis added). Thus, given
`
`that the amount of ions present in the initial plasma is some six to eight orders of
`
`magnitude less than the amount of ions present in the high-density plasma, the ion
`
`contribution from the initial plasma is negligible and immaterial to the calculation
`
`and the ultimate conclusion – that Mozgrin converts at least 75% of the neutral gas
`
`atoms in the initial plasma to generate the final high-density plasma. Supp.
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`Kortshagen Decl. at ¶ 89 (Ex. 1102).
`
`Further, as explained earlier in sections II.A, B, D, and E, a person of
`
`ordinary skill in the art would understand that Mozgrin super-ionizes its initial
`
`plasma notwithstanding any calculations based on the ideal gas law. Mozgrin
`
`discloses the same two-step process for generating high-density plasma, including
`
`use of power pulse characteristics that fall in the ranges disclosed by the ’652
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`Patent. Supp. Kortshagen Decl. at ¶ 88 (Ex. 1119). Secondly, Mozgrin explicitly
`
`states that it observed a degree of ionization – embodied by the α value – ranging
`
`from 0.7 to 1 which indicates that Mozgrin’s initial plasma was super-ionized to
`
`create high-density plasma. Id. Finally, even if a person of ordinary skill in the art
`
`reading Mozgrin would understand it to disclose a closed system susceptible to a
`
`pressure increase during application of its high-power pulse, Mozgrin’s initial
`17
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-00861
` Patent No. 6,806,652
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`plasma is super-ionized to create a high-density plasma. Supp. Kortshagen Decl. at
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`¶ 90 (Ex. 1119).
`
`B.
`Iwamura further suggests the combination of Mozgrin and
`Kudryavtsev with Fahey in order to (1) create an initial plasma, then (2)
`super-ionize the initial plasma to create a high-density plasma, as
`claimed by claim 18.
`
`In its Response, Patent Owner does not contest that Iwamura suggests to one
`
`of ordinary skill in the art the benefits of first creating an initial plasma followed
`
`by a second energy providing step in order to increase the density of the initial
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`plasma. Instead, Patent Owner contends that Iwamura teaches a preference for
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`using only excited neutral atoms/molecules (e.g., no plasma) to treat a substrate
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`and also that Iwamura teac
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