EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`
`References cited herein:
`(cid:120) U.S. Pat. No. 7,811,421 (“’421 Patent”)
`
`(cid:120) D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary Discharge in a
`Magnetic Field: Experimental Research, Plasma Physics Reports, Vol. 21, No. 5, 1995
`(“Mozgrin”)
`
`(cid:120) U.S. Pat. No. 5,958,155 (“Kawamata”)
`
`(cid:120) Dennis M. Manos & Daniel L. Flamm, Plasma Etching: An Introduction, Academic Press
`1989 (“Manos”)
`
`
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`[1pre]. A sputtering source
`comprising:
`
`Mozgrin discloses a sputtering source.
`
`Mozgrin 403, right col, ¶4 (“Regime 2 was
`characterized by intense cathode sputtering…”)
`
`[1a] a) a cathode assembly comprising
`a sputtering target that is positioned
`adjacent to an anode; and
`
`Mozgrin discloses a cathode assembly comprising a
`sputtering target that is positioned adjacent to an
`anode.
`
`‘421 Patent at 3:39-4:2 (“FIG. 1 illustrates a cross-
`sectional view of a known magnetron sputtering
`apparatus 100 having a pulsed power source 102. …
`The magnetron sputtering apparatus 100 also
`includes a cathode assembly 114 having a target 116.
`… An anode 130 is positioned in the vacuum
`chamber 104 proximate to the cathode assembly
`114.”)
`
`Mozgrin at Fig. 1
`
`Mozgrin at 403, right col., ¶4 (“Regime 2 was
`characterized by an intense cathode sputtering….”)
`
`Mozgrin at 403, right col, ¶ 4 (“…The pulsed
`deposition rate of the cathode material…”)
`
`[1b] b) a power supply that generates a
`voltage pulse between the anode and
`the cathode assembly that creates a
`weakly-ionized plasma and then a
`strongly-ionized plasma from the
`weakly-ionized plasma without an
`
`Mozgrin discloses a power supply that generates a
`voltage pulse between the anode and the cathode
`assembly that creates a weakly-ionized plasma and
`then a strongly-ionized plasma from the weakly-
`ionized plasma without an occurrence of arcing
`between the anode and the cathode assembly, an
`
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`EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`
`
`occurrence of arcing between the
`anode and the cathode assembly, an
`amplitude, a duration and a rise time
`of the voltage pulse being chosen to
`increase a density of ions in the
`strongly-ionized plasma.
`
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`amplitude, a duration and a rise time of the voltage
`pulse being chosen to increase a density of ions in the
`strongly-ionized plasma.
`
`‘421 Patent at Fig. 6
`
`‘421 Patent at 8:22-23 (“The weakly-ionized plasma
`is also referred to as a pre-ionized plasma.”)
`
`Mozgrin at Figs. 2 and 3
`
`Mozgrin at 401, left col, ¶ 4 (“It was possible to form
`the high-current quasi-stationary regime by applying
`a square voltage pulse to the discharge gap which
`was filled up with either neutral or pre-ionized gas.”)
`
`Mozgrin at 402, right col, ¶2 (“Figure 3 shows typical
`voltage and current oscillograms.… Part I in the
`voltage oscillogram represents the voltage of the
`stationary discharge (pre-ionization stage).”)
`
`Mozgrin at 401, right col, ¶2 (“[f]or pre-ionization,
`we used a stationary magnetron discharge; …
`provided the initial plasma density in the 109 –
`1011 cm(cid:1956)3 range.”)
`
`Mozgrin at 409, left col, ¶ 4 (“The implementation of
`the high-current magnetron discharge (regime 2) in
`sputtering … plasma density (exceeding 2x1013 cm-
`3).)”
`
`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.”)
`
`Mozgrin at Fig. 7
`
`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.”)
`
`Mozgrin at 400, right col, ¶ 1 (“A further increase in
`the discharge currents caused the discharges to transit
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`

`

`EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`
`
`to the arc regimes…”)
`
`Mozgrin at 404, left col, ¶ 4 (“The parameters of the
`shaped-electrode discharge transit to regime 3, as
`well as the condition of its transit to arc regime 4,
`could be well determined for every given set of the
`discharge parameters.”)
`
`Mozgrin at 406, right col, ¶ 3 (“Moreover, pre-
`ionization was not necessary; however, in this case,
`the probability of discharge transferring to the arc
`mode increased.”)
`
`Mozgrin at 404, left col, ¶ 2 (“[t]he density turned out
`to be about 3 x 1012 cm-3 in the regime of Id = 60A
`and Ud = 900 V.”)
`
`Mozgrin at 403 left col, ¶ 4 (“[t]ransferring to regime
`3, the discharge occupied a significantly larger
`cathode surface than in the stationary regime.”)
`
`Mozgrin at 404, right col, ¶ 2 (“The density ranged
`from (2 – 2.5) x 1014 cm-3 at 360 - 540A current up to
`(1-1.5) x 1015 cm-3 at 1100-1400 A current.”)
`
`Background:
`
`Manos at 231 (“…arcs… are a problem…”)
`
`The combination of Mozgrin and Kawamata
`discloses the increase of the density of ions in the
`strongly-ionized plasma is enough to generate
`sufficient thermal energy in a surface of the
`sputtering target to cause a sputtering yield to be
`related to a temperature of the sputtering target.
`
`See evidence cited in claim 1
`
`‘421 Patent at 2:9-10 (“In general, the deposition rate
`is proportional to the sputtering yield.”)
`
`Kawamata at 3:18-20 (“[G]enerat[ing] plasma over
`the film source material to thereby cause the surface
`of the film source material to have its temperature
`raised by the plasma.”)
`
`3. The sputtering source of claim 1
`wherein the increase of the density of
`ions in the strongly-ionized plasma is
`enough to generate sufficient thermal
`energy in a surface of the sputtering
`target to cause a sputtering yield to be
`related to a temperature of the
`sputtering target.
`
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`EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`
`
`Kawamata at 7:53 (“When the input power is 400 W
`or higher, it is seen that the surface temperature of
`granules 3 rises to about 650ºC or higher… When
`the input power is 800 W, the surface temperature of
`the granules 3 rises to about 1100 ºC.”)
`
`Kawamata at 7:51-53 (“FIG. 2 shows what changes
`of the surface temperature of granules 3 and the rate
`of film formation on the substrate 2 are brought about
`by changes of the input power”)
`
`Kawamata at Fig. 2
`
`One of ordinary skill would have been motivated to
`incorporate the teachings of Kawamata in Mozgrin,
`e.g., using input power to control the density of the
`plasma and thereby control the temperature of the
`sputtering material so as to control the sputtering
`yield.
`
`Also, one of ordinary skill reading Mozgrin would
`have looked to Kawamata. Mozgrin teaches that
`“[t]he implementation of the high-current magnetron
`discharge (regime 2) in sputtering or layer-deposition
`technologies provides an enhancement in the flux of
`deposited materials and plasma density.” Mozgrin at
`409, left col, ¶ 4. Kawamata similarly notes that
`“[o]bjects of the present invention are to provide a
`process for producing a thin film…by sputtering at a
`high speed and a thin film produced thereby…”
`Kawamata at 2:6-9. Both provide ways to enhance
`the sputtering rate and one of ordinary skill reading
`Mozgrin would have looked to Kawamata to learn
`additional details of controlling sputtering rate.
`
`Also, using Kawamata’s teachings of temperature
`control in Mozgrin would have been a combination
`of old elements in which each element behaved as
`expected.
`
`The combination of Mozgrin and Kawamata
`discloses the sputtering yield is related to a
`temperature of a surface of the sputtering target.
`
`4. The sputtering source of claim 3
`wherein the sputtering yield is related
`to a temperature of a surface of the
`sputtering target.
`
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`EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`
`
`See evidence cited in claim 1
`
`See evidence cited in claim 3
`
`Kawamata at Fig. 2
`
`The combination of Mozgrin and Kawamata
`discloses the thermal energy generated in the
`sputtering target does not substantially increase an
`average temperature of the sputtering target.
`
`See evidence cited in claim 1
`
`See evidence cited in claim 3
`
`‘421 Patent at 20:52-56 (“When the temperature of
`the target 220 reaches a certain level, the target
`material is evaporated in an avalanche-like manner.
`In one embodiment, the high-power pulse generates
`thermal energy 516 into only a shallow depth of the
`target 220 so as to not substantially increase an
`average temperature of the target 220.”)
`
`‘421 Patent at 9:57-61 (“the thermal energy in at least
`one of the cathode assembly… is conducted away or
`dissipated by liquid or gas cooling…”)
`
`Kawamata at 7:36-40 (“The [sputtering target was]
`heated by the plasma with their temperature
`maintained by a balance between plasma heating and
`cooling by cooling water 8 flowing on the lower face
`of the magnetron cathode 5….”)
`
`Kawamata at Fig. 1
`
`Mozgrin at 401, left col, ¶ 1 (“The cathode was
`placed on a cooled surface.”)
`
`Mozgrin discloses a method for high deposition rate
`sputtering.
`
`Mozgrin at 403, right col, ¶4 (“Region 2 was
`characterized by intense cathode sputtering….”)
`
`Mozgrin discloses generating a voltage pulse
`between the anode and the cathode assembly
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`
`5. The sputtering source of claim 3
`wherein the thermal energy generated
`in the sputtering target does not
`substantially increase an average
`temperature of the sputtering target.
`
`[34pre]. A method for high deposition
`rate sputtering, the method
`comprising:
`
`[34a] a) generating a voltage pulse
`between the anode and the cathode
`
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`EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`assembly comprising a sputtering
`target, the voltage pulse creating a
`weakly-ionized plasma and then a
`strongly-ionized plasma from the
`weakly-ionized plasma without an
`occurrence of arcing between the
`anode and the cathode assembly; and
`
`comprising a sputtering target, the voltage pulse
`creating a weakly-ionized plasma and then a
`strongly-ionized plasma from the weakly-ionized
`plasma without an occurrence of arcing between the
`anode and the cathode assembly.
`
`See evidence cited in claim [1a]
`
`See evidence cited in claim [1b]
`
`[34b] b) adjusting an amplitude and a
`rise time of the voltage pulse to
`increase a density of ions in the
`strongly-ionized plasma.
`
`Mozgrin discloses adjusting an amplitude and a rise
`time of the voltage pulse to increase a density of ions
`in the strongly-ionized plasma.
`
`See evidence cited in claim [1b]
`
`36. The method of claim 34 wherein
`the ions in the strongly-ionized plasma
`cause a surface layer of the sputtering
`target to evaporate.
`
`The combination of Mozgrin and Kawamata
`discloses the ions in the strongly-ionized plasma
`cause a surface layer of the sputtering target to
`evaporate.
`
`See evidence cited in claim 34
`
`Kawamata at 5:66-6:3 (“when the [surface]
`temperature is 1100° C or higher, the vapor pressure
`of the film source material is increased so as to be as
`high as the pressure of the introduced gas, with the
`result that evaporated molecules directly reach the
`substrate.” )
`
`The combination of Mozgrin and Kawamata
`discloses the adjusting an amplitude and a rise time
`of the voltage pulse increases the density of ions in
`the strongly-ionized plasma enough to generate
`sufficient thermal energy in a surface of the
`sputtering target to cause a sputtering yield to be
`related to a temperature of the sputtering target.
`
`See evidence in cite claim 34
`
`See evidence cited in claim 3
`
`40. The method of claim 34 wherein
`the adjusting an amplitude and a rise
`time of the voltage pulse increases the
`density of ions in the strongly-ionized
`plasma enough to generate sufficient
`thermal energy in a surface of the
`sputtering target to cause a sputtering
`yield to be related to a temperature of
`the sputtering target.
`
`41. The method of claim 40 wherein
`the sputtering yield is non-linearly
`related to the temperature of the
`
`The combination of Mozgrin and Kawamata
`discloses the sputtering yield is non-linearly related
`to the temperature of the sputtering target.
`
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`EXHIBIT C.02
`U.S. Patent No. 7,811,421
`
`‘421 Claims 3-5, 36, 40 and 41
`
`Mozgrin in view of Kawamata
`
`
`
`sputtering target.
`
`
`
`See evidence in cite claim 34
`
`See evidence cited in claim 40
`
`See evidence cited in claim 4
`
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