U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`DOCKET NO.: 0110198-00200US3
`Filed on behalf of The Gillette 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
`Email: michael.diener@wilmerhale.com
`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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`
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`THE GILLETTE COMPANY
`Petitioner
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`v.
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`ZOND, INC.
`Patent Owner
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`IPR Trial No. TBD
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`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 7,604,716
`CHALLENGING CLAIMS 14-18 AND 25-32
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`TABLE OF CONTENTS
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`I.  Mandatory Notices ........................................................................................ - 1 - 
`A.  Real Party-in-Interest ............................................................................... - 1 - 
`B.  Related Matters ......................................................................................... - 1 - 
`A.  Counsel ..................................................................................................... - 1 - 
`B.  Service Information .................................................................................. - 1 - 
`II.  Certification of Grounds for Standing .......................................................... - 2 - 
`III.  Overview of Challenge and Relief Requested ............................................ - 2 - 
`A.  Prior Art Patents and Printed Publications ............................................... - 2 - 
`B.  Grounds for Challenge ............................................................................. - 3 - 
`IV.  Brief Description of Technology ................................................................. - 4 - 
`A.  Plasma ....................................................................................................... - 4 - 
`B. 
`Ions and Excited Atoms ........................................................................... - 5 - 
`V.  Overview of the ‘716 Patent ......................................................................... - 6 - 
`A.  Summary of Alleged Invention of the ’716 Patent .................................. - 6 - 
`B.  Prosecution History .................................................................................. - 7 - 
`VI.  Overview of the Primary Prior Art References ........................................... - 8 - 
`A.  Summary of the Prior Art ......................................................................... - 8 - 
`B.  Overview of Mozgrin ............................................................................... - 8 - 
`C.  Overview of Kudryavtsev ...................................................................... - 10 - 
`D.  Overview of Wang ................................................................................. - 11 - 
`VII.  Claim Construction ................................................................................. - 12 - 
`A. 
`“weakly-ionized plasma” and “strongly-ionized plasma” ..................... - 13 - 
`VIII.  Specific Grounds for Petition ................................................................. - 14 - 
`A.  Ground I: Claims 14-18 and 25-32 are obvious in view of the combination
`of Mozgrin and Kudryavtsev .......................................................................... - 14 - 
`1. 
`Independent claim 14 is obvious in view of the combination of Mozgrin
`and Kudryavtsev ......................................................................................... - 14 - 
`2. 
`Independent claim 26 is obvious in view of the combination of Mozgrin
`and Kudryavtsev ......................................................................................... - 26 - 
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`3.  Dependent claims 15-18, 25 and 27-32 are obvious in view of the
`combination of Mozgrin and Kudryavtsev ................................................. - 29 - 
`B.  Ground II: Claims 14-18 and 25-32 are obvious over Wang in view of
`Kudryavtsev .................................................................................................... - 41 - 
`1. 
`Independent claim 14 is obvious in view of the combination of Wang and
`Kudryavtsev ................................................................................................ - 41 - 
`2. 
`Independent claim 26 is obvious in view of the combination of Wang and
`Kudryavtsev ................................................................................................ - 48 - 
`3.  Dependent claims 15-18, 25, and 27-32 are obvious in view of the
`combination of Wang and Kudryavtsev ..................................................... - 52 - 
`IX.  Conclusion ................................................................................................. - 60 - 
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`TABLE OF AUTHORITIES
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`
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`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007).
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`iii
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`37 C.F.R. §42.22(a)(1)
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`37 C.F.R. § 42.100(b)
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`37 C.F.R. §42.104(a)
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`37 C.F.R. §42.104(b)(1)-(5)
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`77 Fed. Reg. 48764 (Aug. 14, 2012).
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`35 U.S.C. § 315(c)
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`37 C.F.R. § 42.22
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`37 C.F.R. § 42.122(b)
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`

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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`I. MANDATORY NOTICES
`A. Real Party-in-Interest
`The Gillette Company (“Petitioner”) is the real party-in-interest.
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`B. Related Matters
`Zond has asserted U.S. Patent No. 7,604,716 (“’716 Patent”) (Ex. 1201)
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`against numerous parties in the District of Massachusetts, 1:13-cv-11570-RGS
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`(Zond v. Intel); 1:13-cv-11577-DPW (Zond v. AMD, Inc., et al); 1:13-cv-11581-
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`DJC (Zond v. Toshiba Am. Elec. Comp. Inc.); 1:13-cv-11591-RGS (Zond v. SK
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`Hynix, Inc.); 1:13-cv-11625-NMG (Zond v. Renesas Elec. Corp.); 1:13-cv-11634-
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`WGY (Zond v. Fujitsu, et al.); and 1:13-cv-11567-DJC (Zond v. Gillette, Co.).
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`The below-listed claims of the ‘716 Patent are presently the subject of a
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`substantially identical petition for inter partes review styled Intel Corporation v.
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`Zond, Inc., which was filed March 27, 2014 and assigned Case No.
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`IPR2014-00522. Petitioner will seek joinder with that inter partes review under 35
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`U.S.C. § 315(c), 37 C.F.R. §§ 42.22 and 42.122(b).
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`A. Counsel
`Lead Counsel: Michael A. Diener (Reg. No. 37,122)
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`Backup Counsel: Larissa B. Park (Reg. No. 59,051)
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`Service Information
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`B.
`E-mail: Michael.Diener@wilmerhale.com;
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`Larissa.Park@wilmerhale.com
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Post and hand delivery: Wilmer, Cutler, Pickering, Hale and Dorr, LLP
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`60 State Street
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`Boston, MA 02109
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`Telephone: 617-526-6000
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`Fax: 617-526-5000
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`II. CERTIFICATION OF GROUNDS FOR STANDING
`Petitioner certifies pursuant to Rule 42.104(a) that the patent for which
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`review is sought is available for inter partes review and that Petitioner is not
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`barred or estopped from requesting an inter partes review challenging the patent
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`claims on the grounds identified in this Petition.
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`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED
`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)-(2), Petitioner challenges
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`claims 14-18 and 25-32 of the ’716 Patent.
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`Prior Art Patents and Printed Publications
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`A.
`The following references are pertinent to the grounds of unpatentability
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`explained below: 1
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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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`1 The ‘716 Patent issued prior to the America Invents Act (the “AIA”).
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`Accordingly, Petitioner has chosen to use the pre-AIA statutory framework to refer
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`to the prior art.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1203)), which is prior art under
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`102(b).
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`2.
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`U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1204)), which is prior art under
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`102(a) and (e).
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`3.
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`A. A. Kudryavtsev and V.N. Skerbov, Ionization relaxation in a plasma
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`produced by a pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), pp. 30-35,
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`January 1983 (“Kudryavtsev” (Ex. 1205)), which is prior art under 102(b).
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`B. Grounds for Challenge
`Petitioner requests cancellation of claims 14-18 and 25-32 of the ’716 Patent
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`as unpatentable under 35 U.S.C. §103. This Petition, supported by the declaration
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`of Dr. Uwe Kortshagen2 (“Kortshagen Decl.” (Ex. 1202)) filed herewith,
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`demonstrates that there is a reasonable likelihood that Petitioner will prevail with
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`respect to at least one challenged claim and that each challenged claim is not
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`patentable.3 See 35 U.S.C. § 314(a).
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`2 Dr. Kortshagen has been retained by The Gillette Company. The attached
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`declaration at Ex. 1202 is a copy of Dr. Kortshagen’s declaration filed in IPR2014-
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`00522, discussed above. And, the attached Exhibits are the same and identically
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`numbered as those in IPR2014-00522.
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`3 Petitioner seeks to invalidate the remaining claims of the ‘716 Patent in separate
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`petitions.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`A.
`Plasma
`A plasma is a collection of ions, free electrons, and neutral atoms.
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`Kortshagen Decl. ¶ 21 (Ex. 1202). The negatively charged free electrons and
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`positively charged ions are present in roughly equal numbers such that the plasma
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`as a whole has no overall electrical charge. The “density” of a plasma refers to the
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`number of ions or electrons that are present in a unit volume. Id. (Ex. 1202).4
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`Plasma had been used in research and industrial applications for decades
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`before the ‘716 patent was filed. Kortshagen Decl. ¶ 22 (Ex. 1202). For example,
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`sputtering is an industrial process that uses plasmas to deposit a thin film of a
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`target material onto a surface called a substrate (e.g., silicon wafer during a
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`semiconductor manufacturing operation). Id. (Ex. 1202). Ions in the plasma strike
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`a target surface causing ejection of a small amount of target material. Id. (Ex.
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`1202). The ejected target material then forms a film on the substrate. Id. (Ex.
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`1202).
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`Under certain conditions, electrical arcing can occur during sputtering.
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`4 The terms “plasma density” and “electron density” are often used interchangeably
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`because the negatively charged free electrons and positively charged ions are
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`present in roughly equal numbers in plasmas that do not contain negatively
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`charged ions or clusters. Kortshagen Decl. ¶ 21, FN 1 (Ex. 1202).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Kortshagen Decl. ¶ 23 (Ex. 1202). Arcing is undesirable because it causes
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`explosive release of droplets from the target that can splatter on the substrate. Id.
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`(Ex. 1202). The need to avoid arcing while sputtering was known long before the
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`‘716 Patent was filed. Id. (Ex. 1202).
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`Ions and Excited Atoms
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`B.
`Atoms have equal numbers of protons and electrons. Kortshagen Decl. ¶ 24
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`(Ex. 1202). Each electron has an associated energy state. Id. (Ex. 1202). If all of
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`an atom’s electrons are at their lowest possible energy state, the atom is said to be
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`in the “ground state.” Id. (Ex. 1202).
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`On the other hand, if one or more of an atom’s electrons is in a state that is
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`higher than its lowest possible state, then the atom is said to be an “excited atom.”
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`Kortshagen Decl. ¶ 25 (Ex. 1202). Excited atoms are electrically neutral– they
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`have equal numbers of electrons and protons. Id. (Ex. 1202). A collision with a
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`free electron (e-) can convert a ground state atom to an excited atom. Id. (Ex.
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`1202). For example, the ‘716 Patent uses the following equation to describe
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`production of an excited argon atom, Ar*, from a ground state argon atom, Ar. See
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`‘716 Patent at 9:7 (Ex. 1201).
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`Ar + e-  Ar* + e-
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`An ion is an atom that has become disassociated from one or more of its
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`electrons. Kortshagen Decl. ¶ 26 (Ex. 1202). A collision between a free, high
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`energy, electron and a ground state or excited atom can create an ion. Id. (Ex.
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`1202). For example, the ‘716 Patent uses the following equations to describe
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`production of an argon ion, Ar+, from a ground state argon atom, Ar, or an excited
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`argon atom, Ar*. See ‘716 Patent at 2:65 and 9:9 (Ex. 1201).
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`Ar + e-  Ar+ + 2e-
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`Ar* + e-  Ar+ + 2e-
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`The production of excited atoms and ions was well understood long before
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`the ‘716 patent was filed. Kortshagen Decl. ¶ 27 (Ex. 1202).
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`V. OVERVIEW OF THE ‘716 PATENT
`A.
`Summary of Alleged Invention of the ’716 Patent
`The ‘716 Patent describes generating a plasma by applying a electrical pulse
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`in a manner that allegedly reduces the probability of arcing. Kortshagen Decl. ¶ 28
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`(Ex. 1202).
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`More specifically, the claims of the ‘716 Patent are generally directed to
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`generating a, so called, “weakly-ionized plasma” and then applying an electrical
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`pulse to increase the density of that plasma so as to form a “strongly-ionized
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`plasma.” Id. at ¶ 29 (Ex. 1202). The weakly-ionized plasma is claimed to reduce
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`the probability of forming an electrical breakdown condition. Id. (Ex. 1202).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Specific claims are directed to further operational details such as supplying a
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`feed gas to the plasma, characteristics of the electrical pulse, generating a magnetic
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`field and the type of power supply used. Id. at ¶ 30 (Ex. 1202).
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`Prosecution History
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`B.
`The ‘716 patent is a continuation of U.S. Pat. App. No. 10/065,629 (now
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`U.S. Pat. No. 6,853,142) (Ex. 1206). See ‘716 Patent at Certificate of Correction
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`(Ex. 1201).
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`The first substantive office action rejected all independent claims as
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`anticipated. See 03/27/08 Office Action at 2 (Ex. 1207). The applicant then
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`amended every independent claim to require “substantially eliminating the
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`probability of developing an electrical breakdown condition in the chamber” and
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`“without developing an electrical breakdown condition in the chamber” or similar
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`limitations. See 09/24/08 Resp. (Ex. 1208).
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`Following that amendment, the claims were allowed. The Notice of
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`Allowance explicitly recites these limitations as the examiner’s reasons for
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`allowance. 06/11/09 Allowance at 2 (“The closest prior art of record Kouznetsov
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`WO 98/40532 fails to teach the claimed elements including ‘substantially
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`eliminating the probability of developing an electrical breakdown condition in the
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`chamber’ and ‘without developing an electrical breakdown condition in the
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`chamber.”) (Ex. 1209). However, as explained in detail below, and contrary to the
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Examiner’s reasons for allowance, the prior art addressed herein teaches those and
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`all other limitations of the challenged claims. Kortshagen Decl. ¶ 33 (Ex. 1202).
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`VI. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the Prior Art
`As explained in detail below, limitation-by-limitation, there is nothing new
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`or non-obvious in the challenged claims of the ‘716 Patent. Id. at ¶ 34 (Ex. 1202).
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`B. Overview of Mozgrin5
`Mozgrin teaches forming a plasma
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`“without forming an arc discharge.” Id.
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`at ¶ 35 (Ex. 1202). Fig. 7 of Mozgrin,
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`copied below, shows the current-voltage
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`characteristic (“CVC”) of a plasma
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`discharge. As shown, Mozgrin divides this CVC into four distinct regions.
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`Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2 (“Part
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`1 in the voltage oscillogram represents the voltage of the stationary discharge (pre-
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`ionization stage).” (emphasis added)) (Ex. 1203). Kortshagen Decl. ¶ 38 (Ex.
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`1202).
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`Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin at 409,
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`left col, ¶ 4 (“The implementation of the high-current magnetron discharge
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`5 Mozgrin is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`(regime 2)…” (emphasis added)) (Ex. 1203). Kortshagen Decl. ¶ 39 (Ex. 1202).
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`Application of a high voltage to the pre-ionized plasma causes the transition from
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`region 1 to 2. Id. (Ex. 1202). Mozgrin teaches that region 2 is useful for
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`sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was characterized by an
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`intense cathode sputtering…”) (Ex. 1203). See also Kortshagen Decl. ¶ 39 (Ex.
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`1202).
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`Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at 409, left
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`col, ¶ 5, (“The high-current diffuse discharge (regime 3)…” (emphasis added))
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`(Ex. 1203). Kortshagen Decl. ¶ 40 (Ex. 1202). Increasing the current applied to
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`the “high-current magnetron discharge” (region 2) causes the plasma to transition
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`to region 3. Kortshagen Decl. ¶ 40 (Ex. 1202). Mozgrin also teaches that region 3
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`is useful for etching, i.e., removing material from a surface. Mozgrin at 409, left
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`col, ¶ 5 (“The high-current diffuse discharge (regime 3) is useful … Hence, it can
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`enhance the efficiency of ionic etching…”) (Ex. 1203). See also Kortshagen Decl.
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`¶ 40 (Ex. 1202).
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`Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, ¶ 3
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`(“…part 4 corresponds to the high-current low-voltage arc discharge…”
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`(emphasis added)) (Ex. 1203). Kortshagen Decl. ¶ 41 (Ex. 1202). Further
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`increasing the applied current causes the plasma to transition from region 3 to the
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`“arc discharge” region 4. Id. (Ex. 1202).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Within its broad disclosure of a range of issues related to sputtering and
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`etching, Mozgrin describes arcing and how to avoid it. Id. at ¶ 42 (Ex. 1202).
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`C. Overview of Kudryavtsev
`Kudryavtsev is a technical paper that studies the ionization of a plasma with
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`voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1205). See also
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`Kortshagen Decl. ¶ 43 (Ex. 1202). In particular, Kudryavtsev describes how
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`ionization of a plasma can occur via different processes. Id. (Ex. 1202). The first
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`process is direct ionization, in which ground state atoms are converted directly to
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`ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1205). See also Kortshagen
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`Decl. ¶ 43 (Ex. 1202). The second process is multi-step ionization, which
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`Kudryavtsev calls stepwise ionization. See, e.g., Kudryavtsev at Fig. 6 caption
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`(Ex. 1205). See also Kortshagen Decl. ¶ 43 (Ex. 1202). Kudryavtsev notes that
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`under certain conditions multi-step ionization can be the dominant ionization
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`process. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1205). See also Kortshagen
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`Decl. ¶ 43 (Ex. 1202). Mozgrin took into account the teachings of Kudryavtsev
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`when 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. 1203). See also Kortshagen Decl. ¶ 43 (Ex.
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`1202).
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`Kudryavtsev was not of record during the prosecution of the ‘716 Patent.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`D. Overview of Wang
`Wang6 discloses a pulsed magnetron sputtering device having an anode (24),
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`a cathode (14), a magnet assembly (40), a DC power supply (100) (shown in Fig.
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`7), and a pulsed DC power supply (80). See Wang at Figs. 1, 7, 3:57-4:55; 7:56-
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`8:12 (Ex. 1204). Fig. 6 (annotated and reproduced below) shows a graph of the
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`power Wang applies to
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`the plasma. The lower
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`power level, PB, is
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`generated by the DC
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`power supply 100
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`(shown in Fig. 7) and
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`the higher power level,
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`PP, is generated by the
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`pulsed power supply 80. See Wang 7:56-64 (Ex. 1204); see also Kortshagen Decl.
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`¶ 45 (Ex. 1202). Wang’s lower power level, PB, maintains the plasma after
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`ignition and application of the higher power level, PP, raises the density of the
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`plasma. Wang at 7:17-31 (“The background power level, PB, is chosen to exceed
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`the minimum power necessary to support a plasma... [T]he application of the high
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`peak power, PP, quickly causes the already existing plasma to spread and increases
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`6 Wang is art of record, but was not substantively applied during prosecution.
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`- 11 -
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`the density of the plasma.”) (Ex. 1204). Kortshagen Decl. ¶ 45 (Ex. 1202). Wang
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`applies the teachings of Mozgrin and Kudryavtsev in a commercial, industrial
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`plasma sputtering device. Id. (Ex. 1202).
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`VII. CLAIM CONSTRUCTION
`A claim in inter partes review is given the “broadest reasonable construction
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`in light of the specification.” 37 C.F.R. § 42.100(b). Any claim term that lacks a
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`definition in the specification is therefore also given a broad interpretation.7 In re
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`ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007). The
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`following discussion proposes constructions of and support therefore of those
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`terms. Any claim terms not included in the following discussion are to be given
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`their broadest reasonable interpretation in light of the specification as commonly
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`understood by those of ordinary skill in the art. Moreover, should the Patent
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`Owner, in order to avoid the prior art, contend that the claim has a construction
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`different from its broadest reasonable interpretation, the appropriate course is for
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`the Patent Owner to seek to amend the claim to expressly correspond to its
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`contentions in this proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
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`7 Petitioner adopts the “broadest reasonable construction” standard as required by
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`the governing regulations. 37 C.F.R. § 42.100(b). Petitioner reserves the right to
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`pursue different constructions in a district court, where a different standard is
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`applicable.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`“weakly-ionized plasma” and “strongly-ionized plasma”
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`A.
`The challenged claims recite “weakly-ionized plasma” and “strongly-ionized
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`plasma.” These terms relate to the density of the plasma, i.e., a weakly-ionized
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`plasma has a lower density than a strongly-ionized plasma. Kortshagen Decl. ¶ 47
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`(Ex. 1202). With reference to Fig. 3, the ‘716 Patent describes forming a weakly-
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`ionized plasma between times t1 and t2 by application of the low power 302 and
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`then goes on to describe forming a strongly-ionized plasma by application of
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`higher power 304. ‘716 Patent at 11:24-30; 11:66-12:6 (Ex. 1201). See also
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`Kortshagen Decl. ¶ 47 (Ex. 1202). The ‘716 Patent also provides exemplary
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`densities for the weakly-ionized and strongly-ionized plasmas. See ‘716 Patent at
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`claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
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`than about 1012 cm˗3”); claim 24 (“wherein the peak plasma density of the strongly-
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`ionized plasma is greater than about 1012 cm˗3”) (Ex. 1201). See also Kortshagen
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`Decl. ¶ 47 (Ex. 1202).
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`Thus, the proposed construction for “weakly-ionized plasma” is “a lower
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`density plasma.” Likewise, the proposed construction for “strongly-ionized
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`plasma” is “a higher density plasma.”
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`Petitioner’s proposed construction is consistent with the position the Patent
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`Owner has taken in other jurisdictions. For example, the Patent Owner, when
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`faced with a clarity objection during prosecution of a related European patent
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`application, argued that “it is [sic] would be entirely clear to the skilled man, not
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`just in view of the description, that a reference to a ‘weakly-ionised plasma’ in the
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`claims indicates a plasma having an ionisation level lower than that of a ‘strongly-
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`ionized plasma’ and there can be no lack of clarity.” 04/21/08 Response in EP
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`1560943 (Ex. 1210).
`
`VIII. SPECIFIC GROUNDS FOR PETITION
`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in
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`the Kortshagen Decl. ¶ 50 (Ex. 1202), demonstrate in detail how the prior art
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`discloses each and every limitation of claims 14-18 and 25-32 of the ’716 Patent,
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`and how those claims are rendered obvious by the prior art.
`
`A. Ground I: Claims 14-18 and 25-32 are obvious in view of the
`combination of Mozgrin and Kudryavtsev
`
`The claim chart that Petitioner served on Feb. 11, 2014 in its ongoing
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`litigation involving the Petitioner and the Patent Owner, showing that claims 14-18
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`and 25-32 are obvious in view of the combination of Mozgrin and Kudryavtsev, is
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`submitted hereto as Exhibit 1215 (Ex. 1215). Dr. Kortshagen reviewed that chart
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`and agrees with it. Kortshagen Decl. ¶ 52 (Ex. 1202).
`
`1.
`Independent claim 14 is obvious in view of the combination of
`Mozgrin and Kudryavtsev
`a)
`Claim 14 begins, “[a] method for generating a strongly-ionized plasma.”
`
`The preamble
`
`As shown in Fig. 1, Mozgrin teaches generating plasma in “two types of
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`

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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`devices: a planar magnetron and a system with specifically shaped hollow
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`electrodes.” Mozgrin at Fig. 1; 400, right col, ¶ 4. (Ex. 1203). See also
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`Kortshagen Decl. ¶ 54 (Ex. 1202). The densities in Mozgrin’s regions 1-3 are
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`summarized below.
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` Region 1: 109 – 1011 cm-3.8
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` Region 2: exceeding 2x1013 cm-3.9
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` Region 3: 1.5x1015 cm-3.10
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`Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
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`Kortshagen Decl. ¶ 55 (Ex. 1202). The density in those regions matches the
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`exemplary density given for a strongly-ionized plasma in the ‘716 Patent. ‘716
`
`Patent at claim 24 (“wherein the peak plasma density of the strongly-ionized
`
`
`8 Mozgrin at 401, right col, ¶2 (“For pre-ionization … the initial plasma density in
`
`the 109 – 1011 cm-3 range.”) (Ex. 1203).
`
`9 Mozgrin at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
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`discharge (regime 2) in sputtering … plasma density (exceeding 2x1013 cm-3).”)
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`(Ex. 1203).
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`10 Mozgrin at 409, left col, ¶5 (“The high-current diffuse discharge (regime 3) is
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`useful for producing large-volume uniform dense plasmas ni  1.5x1015cm-3…”).
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`(Ex. 1203).
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`- 15 -
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`

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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`plasma is greater than about 1012 cm˗3”) (Ex. 1201). See also Kortshagen Decl. ¶
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`55 (Ex. 1202). Mozgrin therefore teaches the preamble. Id. (Ex. 1202).
`
`b)
`
`Limitation (a)
`(1)
`“ionizing a feed gas in a chamber to form a
`weakly-ionized plasma”
`
`The ‘716 Patent uses the terms “weakly-ionized plasma” and “pre-ionized
`
`plasma” synonymously. ‘716 Patent at 5:14-15 (“The weakly-ionized plasma 232
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`is also referred to as a pre-ionized plasma.”) (Ex. 1201). See also Kortshagen
`
`Decl. ¶ 56 (Ex. 1202). Mozgrin’s power supply (shown in Fig. 2) generates a pre-
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`ionized plasma in Mozgrin’s region 1. Mozgrin at 402, right col, ¶2 (“Figure 3
`
`shows typical voltage and current oscillograms.… Part 1 in the voltage
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`oscillogram represents the voltage of the stationary discharge (pre-ionization
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`stage).”) (Ex. 1203). See also Kortshagen Decl. ¶ 56 (Ex. 1202).
`
`Moreover, the density of Mozgrin’s pre-ionized plasma matches the
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`exemplary density for weakly-ionized plasma given in the ‘716 Patent. ‘716 Patent
`
`at claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm˗3”) (emphasis added) (Ex. 1201); Mozgrin at 401, right col, ¶2
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`(“[f]or pre-ionization, we used a stationary magnetron discharge; … provided the
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`initial plasma density in the 109 – 1011 cm˗3 range.”) (Ex. 1203) (emphasis added).
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`See also Kortshagen Decl. ¶ 57 (Ex. 1202).
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`- 16 -
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`

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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Mozgrin also teaches generating its plasma from feed gasses such as Argon
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`and Nitrogen. Mozgrin at 400, right col, ¶ 3 (“We investigated the discharge
`
`regimes in various gas mixtures at 10-3 – 10 torr…”) (emphasis added); 402, ¶
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`spanning left and right cols (“We studied the high-current discharge in wide ranges
`
`of discharge current…and operating pressure…using various gases (Ar, N2, SF6,
`
`and H2) or their mixtures of various composition…”) (emphasis added) (Ex.
`
`1203). See also Kortshagen Decl. ¶ 58 (Ex. 1202).
`
`Finally, Mozgrin’s weakly-ionized plasma was generated between the anode
`
`and cathode, both of which reside within a chamber. See also Kortshagen Decl. ¶
`
`59 (Ex. 1202). For example, Mozgrin states “[t]he gas from the discharge volume
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`was pumped out; minimal residual gas pressure was about 8 x 10-6 torr.” Mozgrin
`
`at 401, left col, ¶ 3 (Ex. 1203). That is, Mozgrin pumped the gas out to achieve a
`
`desired base pressure within the chamber. See also Mozgrin at Figs. 1 and 6 (Ex.
`
`1203). See also Kortshagen Decl. ¶ 59 (Ex. 1202).
`
`(2)
`“that substantially eliminates the probability of
`developing an electrical breakdown condition in the
`chamber”
`
`Mozgrin states “pre-ionization was not necessary; however, in this case, the
`
`probability of discharge transferring to arc mode increased.” Mozgrin at 406, right
`
`col, ¶3 (Ex. 1203). Thus, Mozgrin teaches that failing to make the weakly-ionized
`
`plasma increases the probability of arcing and that creation of the weakly-ionized
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`- 17 -
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`

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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`plasma (Mozgrin’s region 1) reduces “the probability of developing an electrical
`
`breakdown condition proximate to the cathode.” Kortshagen Decl. ¶ 60 (Ex.
`
`1202).
`
`(a) The Patent Owner mischaracterized Mozgrin
`during prosecution of the related U.S. Pat. No.
`7,147,759
`
`The ‘716 Patent (Ex. 1201) and the ’759 Patent (Ex. 1211) name the same
`
`inventor and are owned by a common assignee. Both patents are asserted in
`
`related litigation identified in Section I.B. During prosecution of the ‘759 Patent,
`
`the Patent Owner argued that Mozgrin does not teach “without forming an arc.”
`
`See 05/02/06 Resp. of ‘759 Patent file history at 2, 5, 7 and 13-16 (Ex. 1212).
`
`However, the Patent Owner was wrong. Kortshagen Decl. ¶ 61 (Ex. 1202).
`
`Mozgrin does teach “without forming an arc” as required by the ‘759 Patent as
`
`well as “substantially eliminat[ing] the probability of developing an electrical
`
`breakdown condition in the chamber” as required by the ‘716 Patent. Id. (Ex.
`
`1202).
`
`As shown in Mozgrin’s Fig. 7, if voltage is steadily applied, and current is
`
`allowed to grow, the plasma will eventually transition to the arc discharge region
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`(Mozgrin’s region 4). Id. at ¶ 62 (Ex. 1202). However, if the current is limited,
`
`the plasma will remain in the arc-free regions 2 (sputtering) or 3 (etching). Id.
`
`(Ex. 1202).
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`- 18 -
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`

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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`Mozgrin is an academic paper and it explores all regions, including the arc
`
`discharge region, so as to fully characterize the plasma. Id. at ¶ 63 (Ex. 1202).
`
`But Mozgrin’s discussion of arcing does not mean that arcing is inevitable. Id.
`
`(Ex. 1202). Rather, Mozgrin’s explanation of the conditions under which arcing
`
`occurs provides a recipe for avoiding arcs. Id. (Ex. 1202). Mozgrin explicitly
`
`notes that arcs can be avoided. See Mozgrin at 400, left col, ¶ 3 (“Some
`
`experiments on magnetron systems of various geometry showed that discharge
`
`regimes which do not transit to arcs can be obtained even at high currents.”)
`
`(emphasis added) (Ex. 1203). See also Kortshagen Decl. ¶ 63 (Ex. 1202).
`
`One of ordinary skill would have understood that the arc discharge region
`
`should be avoided during plasma generation that is used for applications such as
`
`sputtering or etching. Id. at ¶ 64 (Ex. 1202). For example, Plasma Etching: An
`
`Introduction by Manos and Flamm (“Manos”), a well-known textbook on plasma
`
`processing, which was published in 1989, over a decade before the ‘716 Patent was
`
`filed, states that “arcs…are a problem…” Manos at 231 (emphasis added) (Ex.
`
`1213).
`
`One of ordinary skill would have further understood that Mozgrin’s arc
`
`region can be avoided, such as by generating a weakly-ionized plasma as explained
`
`above. Kortshage