throbber
DOCKET NO: 0107131-00270 US1
`‘652 Patent
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
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`PATENT:
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`6,806,652, CLAIMS 1-17
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`INVENTOR: ROMAN CHISTYAKOV
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`
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`FILED:
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`MAY 12, 2003
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`ISSUED: OCTOBER 19, 2004
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`HIGH-DENSITY PLASMA SOURCE USING EXCITED ATOMS
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`TITLE:
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`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`DECLARATION OF UWE KORTSHAGEN, PH.D., REGARDING
`CLAIMS 1-17 OF U.S. PATENT NO. 6,806,652
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`I, Uwe Kortshagen, declare as follows:
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`1. My name is Uwe Kortshagen.
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`2.
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`I received my Diploma in Physics from the University of Bochum in
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`Germany in 1988. I received my Ph.D. in Physics from University of Bochum in
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`1991 and my Habilitation in Experimental Physics from University of Bochum in
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`1995.
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`3.
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`I am a Distinguished McKnight University Professor at the University
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`of Minnesota. I have been the Head of the Mechanical Engineering Department at
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`INTEL 1002
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`the University of Minnesota since July 2008. I have been a Professor at the
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`Mechanical Engineering Department at the University of Minnesota since August
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`2003. Between August 1999 and August 2003, I was an Associate Professor at the
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`Mechanical Engineering Department at the University of Minnesota. Between July
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`1996 and August 1999, I was an Assistant Professor at the Mechanical Engineering
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`Department at the University of Minnesota. Between April 1996 and July 1996, I
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`was a Lecturer at the Department of Physics and Astronomy at the University of
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`Bochum, Germany. Between August 2006 and June 2008, I was the Director of
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`Graduate Studies at the Mechanical Engineering Department at the University of
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`Minnesota.
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`4.
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`I have taught courses on Introduction to Plasma Technology and
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`Advanced Plasma Technology. These courses include significant amounts of
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`material on plasma technology. In addition, I have taught a Special Topics class
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`on Plasma Nanotechnology.
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`5.
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`Plasma processes for advanced technological applications has been
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`the primary area of my professional research for over 30 years. Most of my Ph.D.
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`students go on to work on plasmas either in academia or the semiconductor
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`industry.
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`6.
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`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
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`7.
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`I have reviewed the specification, claims, and file history of U.S.
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`Patent No. 6,806,652 (the “‘652 Patent”) (Ex. 1001). I understand that the ‘652
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`Patent was filed on May 12, 2003. I understand that, for purposes determining
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`whether a publication will qualify as prior art, the earliest date that the ‘652 Patent
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`could be entitled to is May 12, 2003.
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`8.
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`I have reviewed the following publications and others listed in the
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`Table of Exhibits:
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` D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research, Plasma Physics
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`Reports, Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1003)).
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` D. W. Fahey, et al., High flux beam source of thermal rare-gas
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`metastable atoms, J. Phys. E; Sci. Insrum., Vol. 13, 1980 (“Fahey” Ex.
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`1005)).
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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. 1006)).
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` U.S. Patent No. 5,753,886 (“Iwamura” (Ex. 1007)).
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`Of these, I understand that only Mozgrin was of record during prosecution of
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`the ‘652 Patent.
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`9.
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`I have read and understood each of the above publications. The
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`disclosure of each of these publications provides sufficient information for
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`someone to make and use the plasma generation and sputtering processes that are
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`described in the above publications. I have considered certain issues from the
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`perspective of a person of ordinary skill in the art at the time the ‘652 Patent
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`application was filed. In my opinion, a person of ordinary skill in the art for the
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`‘652 Patent would have found the ‘652 invalid.
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`10.
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`I have been retained by Intel Corporation (“Intel” or “Petitioner”) as
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`an expert in the field of plasma technology. I am being compensated at my normal
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`consulting rate of $350/hour for my time. My compensation is not dependent on
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`and in no way affects the substance of my statements in this Declaration.
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`11.
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`I have no financial interest in the Petitioner. I similarly have no
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`financial interest in the ‘652 Patent, and have had no contact with the named
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`inventor of the ‘652 Patent.
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`I.
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`RELEVANT LAW
`12.
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`I am not an attorney. For the purposes of this declaration, I have been
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`informed about certain aspects of the law that are relevant to my opinions. My
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`understanding of the law is as follows:
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`A. Claim Construction
`13.
`I have been informed that claim construction is a matter of law and
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`that the final claim construction will ultimately be determined by the Board. For
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`the purposes of my invalidity analysis in this proceeding and with respect to the
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`prior art, I have applied the broadest reasonable construction of the claim terms as
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`they would be understood by one skilled in the relevant art.
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`14.
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`I have been informed and understand that a claim in inter partes
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`review is given the “broadest reasonable construction in light of the specification.”
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`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
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`term that lacks a definition in the specification is therefore also given a broad
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`interpretation.
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`B. Anticipation
`15.
`I have been informed and understand that a patent claim can be
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`considered to have been anticipated at the time the application was filed. This
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`means that if all of the requirements of a claim are found in a single prior art
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`reference, the claim is not patentable. I have also been informed that a U.S. Patent
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`can incorporate by reference subject matter from another U.S. Patent or Patent
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`Publication. In such instances, I have been informed that I should consider them to
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`be a single prior art reference. I further understand that a claim is anticipated by a
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`reference when all the limitations of the claim are present in a single embodiment
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`described in the reference, even if there are multiple embodiments disclosed in the
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`reference.
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`C. Obviousness
`16.
`I have been informed and understand that a patent claim can be
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`considered to have been obvious to a person of ordinary skill in the art at the time
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`the application was filed. This means that, even if all of the requirements of a
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`claim are not found in a single prior art reference, the claim is not patentable if the
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`differences between the subject matter in the prior art and the subject matter in the
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`claim would have been obvious to a person of ordinary skill in the art at the time
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`the application was filed.
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`17.
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`I have been informed and understand that a determination of whether
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`a claim would have been obvious should be based upon several factors, including,
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`among others:
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` the level of ordinary skill in the art at the time the application was filed;
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` the scope and content of the prior art;
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` what differences, if any, existed between the claimed invention and the
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`prior art.
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`18.
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`I have been informed and understand that the teachings of two or
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`more references may be combined in the same way as disclosed in the claims, if
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`such a combination would have been obvious to one having ordinary skill in the
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`art. In determining whether a combination based on either a single reference or
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`multiple references would have been obvious, it is appropriate to consider, among
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`other factors:
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` whether the teachings of the prior art references disclose known concepts
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`combined in familiar ways, and when combined, would yield predictable
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`results;
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` whether a person of ordinary skill in the art could implement a
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`predictable variation, and would see the benefit of doing so;
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` whether the claimed elements represent one of a limited number of
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`known design choices, and would have a reasonable expectation of
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`success by those skilled in the art;
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` whether a person of ordinary skill would have recognized a reason to
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`combine known elements in the manner described in the claim;
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` whether there is some teaching or suggestion in the prior art to make the
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`modification or combination of elements claimed in the patent; and
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` whether the innovation applies a known technique that had been used to
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`improve a similar device or method in a similar way.
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`19.
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`I understand that one of ordinary skill in the art has ordinary
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`creativity, and is not an automaton.
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`20.
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`I understand that in considering obviousness, it is important not to
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`determine obviousness using the benefit of hindsight derived from the patent being
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`considered.
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`II. BRIEF DESCRIPTION OF TECHNOLOGY
`21. The ‘652 Patent, entitled “High-Density Plasma Source Using Excited
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`Atoms,” generally relates to the field of plasma processing. Plasma processing
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`involves using plasma to modify the chemical and physical properties of the
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`surface of a material.
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`22. Plasma processing had been used in research and industrial
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`applications for decades before the ‘652 Patent was filed. For example, sputtering
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`is an industrial process that uses plasmas to deposit a thin film of a target material
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`onto a surface called a substrate (e.g., silicon wafer during a semiconductor
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`manufacturing operations). Ions in the plasma strike a target surface causing
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`ejection of a small amount of target material. The ejected target material then
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`forms a film on the substrate.
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`23. The use of high-density plasmas and excited atoms in plasma
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`processing was also well-understood before the filing of the ‘652 Patent. For
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`example, as discussed further below, Mozgrin (Ex. 1003) and Kudryavtsev (Ex.
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`1006), developed high-density plasma processing techniques using excited atoms.
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`A.
`Plasma
`24. A plasma is a collection of ions, free electrons, and neutral atoms.
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`The negatively charged free electrons and positively charged ions are present in
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`roughly equal numbers such that the plasma as a whole has no overall electrical
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`charge.
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`25. The “density” of a plasma refers to the number of ions or electrons
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`that are present in a unit volume, e.g., 1012 ions per cubic centimeter, or 1012 ions
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`cm-3. By way of comparison, there are approximately 1019 atoms in a cubic
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`centimeter of air at atmospheric pressure and room temperature. The terms
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`“plasma density” and “electron density” are often used interchangeably because
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`the negatively charged free electrons and positively charged ions are present in
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`roughly equal numbers in plasmas that do not contain negatively charged ions or
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`clusters.
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`B.
`Excited atoms
`26. Atoms have equal numbers of protons and electrons. Each electron
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`has an associated energy state. If all of an atom’s electrons are at their lowest
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`possible energy state, the atom is said to be in the “ground state.”
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`27.
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`If one or more of an atom’s electrons is in a state that is higher than its
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`lowest possible state, but the atom is not ionized, then the atom is said to be an
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`“excited atom.” Excited atoms are electronically neutral – they have equal
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`numbers of electrons and protons. A ground state atom can be converted to an
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`excited atom as a result of a collision with a free electron (e-) of sufficiently high
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`energy.
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`28. An ion is an atom that has become disassociated from one or more of
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`its electrons, and thus has a positive charge. A collision between a free, high
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`energy electron and a ground state atom or an excited atom can create an ion. The
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`‘652 Patent uses the following equations to describe production of an excited argon
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`atom, Ar*, from a ground state argon atom, Ar, and then further conversion of the
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`excited atom to an argon ion, Ar+:
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`Ar + e- [] Ar* + e-
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`Ar* + e- [] Ar+ + 2e-
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`‘652 Patent at 14:1-14 (Ex. 1001).1
`
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`1 U.S. Pat. No. 7,147,759 (Ex. 1012), by the same named inventor, shows these
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`multi-step ionization equations at 9:38-51. There is a printing error in the ‘652
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`Patent (i.e., with empty boxes replacing arrows), but the equations are shown
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`correctly in the ‘759 Patent.
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`29. The production of excited atoms and ions was well understood long
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`before the ‘652 Patent was filed.
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`III. OVERVIEW OF THE ‘652 PATENT
`A.
`Summary of Alleged Invention of the ‘652 Patent
`30. The ‘652 Patent, claims 1-17, describe a two-stage high-density
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`plasma source: (i) an “excited atom source” generates an initial plasma and excited
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`atoms from a feed gas, and (ii) a power supply applies a specific electric field
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`between an anode and a cathode assembly to “super-ionize” the initial plasma and
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`generate a high-density plasma.
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`31. The term “excited atom source” is only used for the embodiment of
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`Figure 12 of the ‘652 Patent. Id. at 25:30-27:67 (Ex. 1001). Figure 12 depicts an
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`excited atom source 732b (annotated in color) “according to the present invention.”
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`‘652 Patent at 2:52-55 (“FIG. 12 illustrates … a plasma generating apparatus
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`according to the present invention including … an excited atom source….”) (Ex.
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`1001).2
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`2 All bold/italics emphasis is added.
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`FIG. 12 of ‘652 Patent (Ex. 1001). The excited atom source 732b is powered by a
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`first power supply 731 and is separate from the location where the second power
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`supply 222, the second anode 706, and the inner cathode 732a “super-ionize” the
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`initial plasma. ‘652 Patent at 27:22-37 (Ex. 1001).
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`32. The excited atom source 732b generates an initial plasma and excited
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`atoms. ‘652 Patent at 27:15-21 (Ex. 1001) (“The excited atom source 732b
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`generates an initial plasma and excited atoms including metastable atoms from
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`ground state atoms supplied by a volume of feed gas 234.”). The excited atom
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`source 732b directs the initial plasma and excited atoms through a skimmer 736 to
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`a second location proximate cathode 732a. See, e.g., ‘652 Patent at 27:18-21 (“A
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`large fraction of the ions and electrons are trapped in the nozzle chamber 738 while
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`the excited atoms and the ground state atoms flow through the aperture 737 of the
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`skimmer 736.”) (Ex. 1001). The skimmer is designed to block most of the
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`electrons and ions, but it allows the ground state and excited atoms to pass through
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`to cathode section 732a.
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`33. The excited atom source is configured such that a continued flow of
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`feed gas causes the “initial plasma” and excited atoms to be provided from the
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`skimmer to a location that is proximate to a cathode 732a and an anode 706. ‘652
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`Patent at 27:15-32; Fig. 12 (Ex. 1001). A second power supply 222 then generates
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`at that location an electric field and “super-ionizes” the plasma of feed gas
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`generated by the excited atom source. ‘652 Patent at 27:22-32 (“After a sufficient
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`volume of excited atoms including metastable atoms is present proximate to the
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`inner cathode section 732a …, the second power supply 222 generates an electric
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`field (not shown) proximate to the volume of excited atoms [that] super-ionizes the
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`initial plasma….”) (Ex. 1001).
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`34. The ‘652 Patent defines the term “super-ionized” as meaning “that at
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`least 75% of the neutral atoms in the plasma are converted to ions.” ‘652 Patent,
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`5:8-10 (Ex. 1001).3 The ‘652 patent does not disclose how specifically to generate
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`a super-ionized plasma other than to raise the energy. For example, in the
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`discussion of FIG. 12, the ‘652 patent merely states that the “electric field super-
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`ionizes the initial plasma by raising the energy of the initial plasma including the
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`volume of excited atoms which causes collisions between neutral atoms, electrons,
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`and excited atoms including metastable atoms in the initial plasma.” ‘652 Patent at
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`27:22-37 (Ex. 1001).
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`IV. CLAIM CONSTRUCTION
`A.
`Introduction
`35.
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`I understand that a claim in inter partes review is given the “broadest
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`reasonable construction in light of the specification.” 37 C.F.R. § 42.100(b). I
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`understand that any claim term that lacks a definition in the specification is
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`therefore also given a broad interpretation. In re ICON Health & Fitness, Inc., 496
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`F.3d 1374, 1379 (Fed. Cir. 2007). Should the Patent Owner, in order to avoid the
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`3 The “super-ionized” plasma is of the initial plasma generated from the feed gas
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`and not a plasma of other materials. For example, in a sputtering process, it is
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`known that systems can have significant ionization of sputtered metal. See, e.g.,
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`U.S. Patent No. 6,413,382 to Wang at 5:62-65 (“It is anticipated that the copper
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`ionization fraction using the Torpedo magnetron will be well over 80% at these
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`high peak powers.”) (Ex. 1004).
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`prior art, contend that the claim has a construction different from its broadest
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`reasonable interpretation, I understand that the appropriate course is for the Patent
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`Owner to seek to amend the claim to expressly correspond to its contentions in this
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`proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
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`B.
` “Super-ionizing the initial plasma” (all claims)
`36. Super-ionizing is defined to mean that “at least 75% of the neutral
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`atoms in the plasma are converted to ions.” ’652 Patent, 5:8-10 (Ex. 1001).
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`Additionally, the Challenged Claims require that the “initial plasma” be generated
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`“from a volume of feed gas.” ‘652 Patent, claim 1 (Ex. 1001). Therefore, “super-
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`ionizing the initial plasma” should be construed to mean “converting at least 75%
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`of the neutral atoms in the initial plasma generated from a volume of feed gas to
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`ions.”4
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`V. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`37. As explained in detail below, limitation-by-limitation, there is nothing
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`new or non-obvious in Zond’s claims.
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`4 In related district court litigation, Patent Owner has similarly proposed construing
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`“super-ionizing” to mean “converting at least 75% of the neutral atoms in the
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`plasma to ions.” Plaintiff Zond LLC’s Preliminary Proposed Claim Constructions,
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`Civil Action No. 13-cv-11634-WGY at 3 (Ex. 1015).
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`A. Overview of Mozgrin
`38. Mozgrin discloses a high density plasma source. Fig. 7 of Mozgrin,
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`copied below, shows the current-voltage characteristic (“CVC”) of a plasma
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`discharge generated by Mozgrin.
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`
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`As shown, Mozgrin divides this CVC into four distinct regions.
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`39. Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2
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`(“Part 1 in the voltage oscillogram represents the voltage of the stationary
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`discharge (pre-ionization stage).”) (Ex. 1003).
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`40. Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin
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`at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
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`discharge (regime 2)….”) (Ex. 1003). Application of a high voltage to the pre-
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`ionized plasma causes the transition from region 1 to 2. Mozgrin teaches that
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`region 2 is useful for sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was
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`characterized by an intense cathode sputtering….”) (Ex. 1003).
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`41. Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at
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`409, left col, ¶ 5, (“The high-current diffuse discharge (regime 3)….”) (Ex.
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`1003). Increasing the current applied to the “high-current magnetron discharge”
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`(region 2) causes the plasma to transition to region 3. Mozgrin also teaches that
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`region 3 is useful for etching, i.e., removing material from a surface. Mozgrin at
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`409, left col, ¶ 5 (“The high-current diffuse discharge (regime 3) is useful ….
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`Hence, it can enhance the efficiency of ionic etching….”) (Ex. 1003).
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`42. Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, ¶ 3
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`(“[P]art 4 corresponds to the high-current low-voltage arc discharge….”) (Ex.
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`1003). Further increasing the applied current causes the plasma to transition from
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`region 3 to the “arc discharge” region 4. Mozgrin teaches avoiding arcs by, for
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`example, limiting the current so that the plasma will remain in the arc-free regions
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`2 (sputtering) or 3 (etching).
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`43.
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`In Mozgrin’s sputtering region, i.e., region 2, the plasma density
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`exceeded 1013 cm-3. Mozgrin at 409, left col, ¶ 4 (“The implementation of the
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`high-current magnetron discharge (regime 2) in sputtering … plasma density
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`(exceeding 2x1013 cm-3).”) (Ex. 1003). In Mozgrin’s region 3, the plasma density
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`is even higher. Mozgrin at 409, left col, ¶ 5 (“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….”) (Ex. 1003). This density in region 3 is three (3) orders of
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`magnitude greater than what the ‘652 Patent describes as “high-density.” ‘652
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`Patent at 10:62-63 (“[T]he peak plasma density of the high-density plasma is
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`greater than about 1012 cm-3”).
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`B. Overview of Kudryavtsev
`44. Kudryavtsev is a technical paper that studies the ionization of a
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`plasma with voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1006).
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`In particular, Kudryavtsev describes how ionization of a plasma can occur via
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`different processes. The first process is direct ionization, in which ground state
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`atoms are converted directly to ions. See, e.g., Id. at Fig. 6 caption (Ex. 1006).
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`The second process is multi-step ionization, which Kudryavtsev calls stepwise
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`ionization. See, e.g., Id. (Ex. 1006). Kudryavtsev notes that under certain
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`conditions multi-step ionization can be a dominant ionization process. See, e.g.,
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`Id. (Ex. 1006). Mozgrin took into account the teachings of Kudryavtsev when
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`designing his experiments. Mozgrin at 401, ¶ spanning left and right cols.
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`(“Designing the unit, we took into account the dependences which had been
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`obtained in [Kudryavtsev]….”) (Ex. 1003).
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`45. Kudryavtsev discusses the mechanism of multi-step ionization with
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`excited atoms. Referring to the annotated copy of Kudryavtsev’s Fig. 1 copied
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`below, ionization occurs with an initial “slow stage” (Fig 1a) followed by a “fast
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`stage” (Fig. 1b).
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`
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`Kudryavtsev at 31, right col, ¶ 7 (Ex. 1006).
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`46. During the initial slow stage, direct ionization provides a significant
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`contribution to the generation of plasma ions (see arrow Γ1e colored in green
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`showing ionization (top line labeled “e”) from the ground state (bottom line
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`labeled “1”)). In addition, during the slow stage, excited atoms are also created
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`within the plasma chamber (see arrow Γ12 colored in blue showing excitation into
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`lowest excited state (middle line labeled “2”) from the ground state (bottom line
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`labeled “1”)). Once the population of excited atoms becomes large enough, fast
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`stage occurs, as shown in Fig. 1b. As shown, multi-step (or “stepwise”) ionization,
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`which occurs through the generation of excited atoms (see arrow Γ12 colored in
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`blue), becomes the dominant ionization process as shown by the thick arrow
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`labeled Γ2e ((colored in red) showing ionization (top line labeled “e”) from the
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`lowest excited state (middle line labeled “2”)). See also Kudryavtsev at Fig. 6 (Ex.
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`1006). The thin arrows labeled Γ1e show that direct ionization produces ions at a
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`roughly constant rate in both the slow and fast stages. The thick arrow labeled Γ2e
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`in Fig. 1b shows that multi-step ionization can produce ions at a much greater rate
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`than direct ionization. Kudryavtsev explains the rapid increase in ionization once
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`multi-step ionization becomes the dominant process as follows: “For nearly
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`stationary n2 [excited atom density] values … there is an explosive increase in ne
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`[plasma density]. The subsequent increase in ne then reaches its maximum value,
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`equal to the rate of excitation [equation omitted], which is several orders of
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`magnitude greater than the ionization rate during the initial stage.” Kudryavtsev
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`at 31, right col, ¶ 6 (Ex. 1006). Kudryavtsev summarizes that “in a pulsed inert-
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`gas discharge plasma at moderate pressures … [i]t is shown that the electron
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`density increases explosively in time due to accumulation of atoms in the lowest
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`excited states.” Kudryavtsev at Abstract; Fig. 6 (Ex. 1006).
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`C. Overview of Fahey
`47. Fahey is a technical paper that discloses a high-flux beam source for
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`producing a beam of metastable atoms. See Fahey at Abstract (“A high-flux beam
`
`source has been constructed for the production of helium, neon and argon
`
`metastable atoms.”) (Ex. 1005); see also Fahey at 381, right col, ¶ 2 (“The source
`
`is capable of providing very stable thermal energy beams of … argon metastable
`
`atoms.”) (Ex. 1005). Fig. 1 of Fahey shows a schematic of the disclosed beam
`
`- 20 -
`
`

`
`source. Fahey, Fig. 1 (Ex. 1005). Fahey’s excited atom source has substantially
`
`the same structure as the ‘652 Patent’s “excited atom source,” as shown below in
`
`the discussion of claim limitation 1(a).
`
`D. Overview of Iwamura
`48.
`Iwamura discloses “a plasma treatment apparatus for treating a
`
`surface of an object….” Iwamura at 2:51-52 (Ex. 1007). Iwamura can operate at
`
`atmosphere, or under vacuum. Id. at 12:20-26 (Ex. 1007). Iwamura has: “A first
`
`plasma generation unit for preactivating the gas to generate a plasma is positioned
`
`upstream along the flow path of the gas in the gas supply; and a second plasma
`
`generation unit for activating the gas to generate a plasma downstream along the
`
`flow path of the gas in the gas supply is also provided. Thus, the first plasma
`
`generation unit preactivates the gas and the second plasma generation unit activates
`
`the gas and forms activated gas species. Then, the activated gas species formed by
`
`the second plasma generation unit treat the object to be treated.” Iwamura at 2:56-
`
`65. (Ex. 1007).
`
`49.
`
`Iwamura discloses multiple ways for generating excited/metastable
`
`atoms, and discloses the desirability of providing a first excitation step followed by
`
`a further energy providing step, and also claims such a system. Iwamura at 2:1-50,
`
`claim 1 (Ex. 1007).
`
`- 21 -
`
`

`
`VI. SPECIFIC GROUNDS FOR PETITION
`50. The below sections demonstrate in detail how the prior art discloses
`
`each and every limitation of claims 1-17 of the ‘652 Patent, and how those claims
`
`are rendered obvious by the prior art.
`
`A. Ground I: Claims 1-14, 16, and 17 would have been obvious in
`view of the combination of Mozgrin, Kudryavtsev, and Fahey.
`1.
`
`Independent claim 1
`a)
`The preamble: “[a] high-density plasma source
`comprising.”
`51. The ‘652 Patent states that “the peak plasma density of the high-
`
`density plasma is greater than about 1012 cm-3.” ‘652 Patent, 10:62-63 (Ex. 1001).
`
`52.
`
`In Mozgrin’s sputtering region, i.e., region 2, the plasma density
`
`exceeded 1013 cm -3. Mozgrin at 409, left col, ¶ 4 (“The implementation of the
`
`high-current magnetron discharge (regime 2) in sputtering … plasma density
`
`(exceeding 2x1013 cm-3).”) (Ex. 1003). In Mozgrin’s region 3, the plasma density
`
`is even higher. Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge
`
`(regime 3) is useful for producing large-volume uniform dense plasmas ni ≃
`
`1.5x1015cm-3….”) (Ex. 1003). This density in region 2 is one order of magnitude
`
`greater, and the density in region 3 is three orders of magnitude greater than the
`
`density the ‘652 Patent describes as “high-density.”
`
`- 22 -
`
`

`
`53. Mozgrin thus discloses a high-density plasma source according to
`
`claim 1.
`
`b)
`Limitations 1(a) and 1(b): “a cathode assembly” and
`“an anode that is positioned adjacent to the cathode
`assembly.”
`54. The ‘652 Patent admits the claimed cathode assembly and anode were
`
`well known. For example, Fig. 1 of the ‘652 Patent shows “a known plasma
`
`generating apparatus 100” that includes a “cathode assembly 114” and an “anode
`
`124,” where the “anode 124 is positioned in the vacuum chamber 104 proximate to
`
`the cathode assembly 114.” ‘652 Patent, Fig. 1; 3:6-7; 3:19-32 (Ex. 1001).
`
`55. Similarly, Mozgrin’s Figure 1 shows an anode labeled “2,” that is
`
`adjacent to a cathode labeled “1.” Mozgrin at 401, Figure 1 and caption (“Fig. 1…
`
`(1) Cathode; (2) anode; ….”). Mozgrin therefore teaches limitations 1(a) and 1(b)
`
`of claim 1.
`
`c)
`Limitation 1(c)(1): “an excited atom source that
`generates an initial plasma and excited atoms from a volume
`of feed gas”
`56. Fahey discloses an excited atom source that generates an initial
`
`plasma and excited atoms from a volume of feed gas. As shown below, Fahey’s
`
`“beam source” (excited atom source) has substantially the same structure as the
`
`‘652 Patent’s excited atom source 732b.
`
`- 23 -
`
`

`
`Fig. 12 of ‘652 Patent (partially
`reproduced) (Ex. 1001)
`
`Fig. 1 of Fahey (Ex. 1005)
`
`Specifically, these excited atom sources have the following components: a tube
`
`shown below in blue (Fahey: A; ‘652 Patent: 733); a nozzle shown below in
`
`yellow (Fahey: B; ‘652 Patent: 734); a skimmer shown below in green (Fahey: C;
`
`‘652 Patent: 736); and a needle shown in red (Fahey: D; ‘652 Patent 743).
`
`57. Fahey’s excited atom source generates an initial plasma and excited
`
`atoms from a volume of feed gas. For example, Fahey discloses that “[g]as is
`
`admitted to the glass tube by a micrometer leak valve mounted outside of the
`
`vacuum chamber.” Fahey at 381, left col, ¶ 1 (Ex. 1005). Like the structure in
`
`FIG. 12 of the ‘652 Patent, Fahey’s excited atom source generates an initial plasma
`
`and excited atoms from this volume of feed gas. In particular, the Fahey source
`
`generates a plasma containing charged species, e.g., electrons and ions. Fahey,
`
`- 24 -
`
`

`
`381, Introduction (“A novel metastable beam source was recently described …
`
`whose design employed a weak, high-voltage corona discharge ….”) (Ex. 1005).
`
`58. While many of the charged species are skimmed by Fahey’s skimmer,
`
`some of the charged species will pass through the skimmer, as is said to occur in
`
`the ‘652 Patent. See, e.g., ‘652 Patent, 27:18-21(“A large fraction of the ions and
`
`electrons are trapped in the nozzle chamber 738 while the excited atoms and the
`
`ground state atoms flow through the aperture 737 of the skimmer 736.”) (Ex.
`
`1001). Therefore, like the ‘652 Patent, Fahey generates both an initial plasma and
`
`excited atoms from a volume of feed gas.
`
`d)
`Limitation 1(c)(2): “the initial plasma and excited
`atoms being proximate to the cathode assembly”
`59. Like the excited atom source in the ‘652 Patent, Fahey’s almost
`
`identical excited atom source uses a gas exchange system to transport the initial
`
`plasma and excited atoms proximate to Mozgrin’s cathode assembly. In particular,
`
`Fahey’s excited atom source admits additional gas that pushes the initial plasma
`
`and excited atoms out of the excited atom source. Fahey at 382, left col, ¶ 1 (“Gas
`
`is admitted to the glass tube by a micrometer leak valve mounted outside of the
`
`vacuum chamber.”); left col, ¶ 3 (“The beam flux is a slowly varying function of
`
`operating nozzle pressure.”) (Ex. 1005). When combined with Mozgrin, Fahey
`
`produces a beam of excited/metastable atoms of helium, neon, or argon that would
`
`- 25 -
`
`

`
`be directed proximate to Mozgrin’s cathode assembly. It thus would have been
`
`obvious for one of ordinary skill to provide the excited atoms and plasma from
`
`Fahey’s beam source proximate to a cathode assembly, such as Mozgrin’s cathode
`
`assembly. In such a combination, Fahey’s excited atom source would be separate
`
`from Mozgrin’s anode, cathode, and power supply used to generate a high density
`
`plasma.
`
`60.
`
`In particular, Mozgrin has a ring anode 2 and a circular cathode 1
`
`spaced apart to define a discharge gap. Mozgrin at 401, Figure 1(a) and left col. ¶
`
`4 (Ex. 1003).
`
`
`
`
`
`
`
`FIG. 1 of Mozgrin (Ex. 1003)
`
`61.
`
`It would have been obvious to combine Mozgrin and Kudryavtsev.
`
`As discussed above in the Overview of Mozgrin section, Mozgrin explicitly notes
`
`that it took the teachings of Kudryavtsev into account. Kudryavtsev also states,
`
`- 26 -
`
`

`
`“[s]ince the effects studied in this work are characteristic of ionization whenever a
`
`field is suddenly applied to a weakly ionized gas, they must be allowed for when
`
`studying emission mechanisms in pulsed gas lasers, gas breakdown, laser sparks,
`
`etc.” Kudryavt

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