EXHIBIT C.03
`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) A. A. Kudryavtsev, et al, Ionization relaxation in a plasma produced by a pulsed inert-gas
`discharge, Sov. Phys. Tech. Phys. 28(1), January 1983 (“Kudryavtsev”)
`
`(cid:120) Dennis M. Manos & Daniel L. Flamm, Plasma Etching: An Introduction, Academic Press
`1989 (“Manos”)
`
`(cid:120) Milton Ohring, The Material Science of Thin Films, Academic Press, 1992 (“Ohring”)
`
`
`
`‘421 Claims 9, 12, 13, and 35
`
`Mozgrin in view of Kudryavtsev
`
`[1pre]. A sputtering source
`comprising:
`
`[1a] a) a cathode assembly
`comprising a sputtering target that
`is positioned adjacent to an
`anode; and
`
`Mozgrin discloses a sputtering source.
`
`Mozgrin 403, right col, ¶4 (“Regime 2 was characterized
`by intense cathode sputtering…”)
`
`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
`
`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
`
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`
`‘421 Claims 9, 12, 13, and 35
`
`strongly-ionized plasma from the
`weakly-ionized plasma without
`an 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.
`
`EXHIBIT C.03
`U.S. Patent No. 7,811,421
`Mozgrin in view of Kudryavtsev
`
`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.
`
`‘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 to the
`arc regimes…”)
`
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`‘421 Claims 9, 12, 13, and 35
`
`EXHIBIT C.03
`U.S. Patent No. 7,811,421
`Mozgrin in view of Kudryavtsev
`
`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 Kudryavtsev discloses
`the voltage pulse generated between the anode and the
`cathode assembly excites atoms in the weakly-ionized
`plasma and generates secondary electrons from the
`cathode assembly, the secondary electrons ionizing a
`portion of the excited atoms, thereby creating the
`strongly-ionized plasma.
`
`See evidence cited in claim 1
`
`‘421 Patent at 1:44-46 (“Magnetron sputtering systems
`use magnetic fields that are shaped to trap and to
`concentrate secondary electrons, which are produced by
`ion bombardment of the target surface.”)
`
`‘421 Patent at 1:41-43 (“The plasma is replenished by
`electron-ion pairs formed by the collision of neutral
`molecules with secondary electrons generated at the target
`surface.”)
`
`9. The sputtering source of claim
`1 wherein the voltage pulse
`generated between the anode and
`the cathode assembly excites
`atoms in the weakly-ionized
`plasma and generates secondary
`electrons from the cathode
`assembly, the secondary electrons
`ionizing a portion of the excited
`atoms, thereby creating the
`strongly-ionized plasma.
`
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`‘421 Claims 9, 12, 13, and 35
`
`EXHIBIT C.03
`U.S. Patent No. 7,811,421
`Mozgrin in view of Kudryavtsev
`
`Mozgrin at 401, ¶ spanning left and right columns
`(“[d]esigning the [pulsed supply] unit, we took into
`account the dependences which had been obtained in
`[Kudryavtsev] of ionization relaxation on pre-ionization
`parameters, pressure, and pulse voltage amplitude.”)
`
`Mozgrin at 401, right col, ¶2 (“For pre-ionization … the
`initial plasma density in the 109 – 1011 cm-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 403, right col, ¶4 (“Regime 2 was characterized
`by intense cathode sputtering due to both high energy and
`density of ion flow.”)
`
`Kudryavtsev at 34, right col, ¶ 4 (“[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.”)
`
`Kudryavtsev at Figs. 1 and 6
`
`Kudryavtsev at 31, right col, ¶ 7 (“The behavior of the
`increase in ne with time thus enables us to arbitrarily
`divide the ionization process into two stages, which we
`will call the slow and fast growth stages. Fig. 1 illustrates
`the relationships between the main electron currents in
`terms of the atomic energy levels during the slow and fast
`stages.”)
`
`Kudryavtsev at 31, right col, ¶ 6 (“For nearly stationary n2
`[excited atom density] values … there is an explosive
`increase in ne [plasma density]. The subsequent increase
`in ne then reaches its maximum value, equal to the rate of
`excitation [equation omitted], which is several orders of
`magnitude greater than the ionization rate during the
`initial stage.”)
`
`Kudryavtsev at Abstract (“in a pulsed inert-gas discharge
`plasma at moderate pressures… [i]t is shown that the
`electron density increases explosively in time due to
`
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`‘421 Claims 9, 12, 13, and 35
`
`EXHIBIT C.03
`U.S. Patent No. 7,811,421
`Mozgrin in view of Kudryavtsev
`
`accumulation of atoms in the lowest excited states.”)
`
`Kudryavtsev at 30, Equation 1
`
`Kudryavtsev at 30, right col, last ¶ (“…n2, and ne are the
`atomic densities in the …first excited states and the
`electron density, respectively;… (cid:69)2e [is] the rate
`coefficient[]…”)
`
`If one of ordinary skill building a system according to
`Mozgrin did not experience Kudryavtsev’s “explosive
`increase” in plasma density, it would have been obvious
`to adjust the operating parameters, e.g., increase the pulse
`length and/or pressure, so as to trigger Kudryavtsev’s fast
`stage of ionization. One of ordinary skill would have
`been motivated to use Kudryavtsev’s fast stage of
`ionization in Mozgrin so as to increase plasma density and
`thereby increase the sputtering rate. Further, use of
`Kudryavtsev’s fast stage in Mozgrin would have been a
`combination of old elements that in which each element
`performed as expected to yield predictable results.
`
`The arrows (cid:299)12 in Kudryavtsev’s Fig. 1 show that excited
`atoms are produced in both Kudryavtsev’s slow and fast
`stages. Therefore, in the combination of Mozgrin and
`Kudryavtsev, excited atoms are produced in the weakly-
`ionized plasma.
`
`Background:
`
`Ohring at 104 (“Microscopically, positive gas ions in the
`discharge strike the cathode plate and eject neutral target
`atoms…. In addition, other particles (secondary electrons,
`desorbed gases, and negative ions) … are emitted from
`
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`‘421 Claims 9, 12, 13, and 35
`
`EXHIBIT C.03
`U.S. Patent No. 7,811,421
`Mozgrin in view of Kudryavtsev
`
`the target.”)
`
`12. The sputtering source of claim
`1 wherein a rise time of the
`voltage pulse is chosen to
`increase an ionization rate of the
`strongly-ionized plasma.
`
`The combination of Mozgrin and Kudryavtsev discloses a
`rise time of the voltage pulse is chosen to increase an
`ionization rate of the strongly-ionized plasma.
`
`See evidence cited in claim 1
`
`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 409, left col, ¶5 (“The high-current diffuse
`discharge (regime 3) is useful for producing large-volume
`uniform dense plasmas ni (cid:35) 1.5x1015cm-3…”)
`
`Mozgrin at 401, right col, ¶ 1 (“The power supply was
`able to deliver square voltage and current pulses with
`[rise] times (leading edge) of 5 – 60 μs ….”)
`
`The combination of Mozgrin and Kudryavtsev discloses a
`distance between the anode and the cathode assembly is
`chosen to increase an ionization rate of strongly-ionized
`plasma.
`
`See evidence cited in claim 1
`
`See evidence cited in claim 12
`
`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 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]
`
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`13. The sputtering source of claim
`1 wherein a distance between the
`anode and the cathode assembly
`is chosen to increase an ionization
`rate of strongly-ionized plasma.
`
`[34pre]. A method for high
`deposition rate sputtering, the
`method comprising:
`
`[34a] a) generating a voltage
`pulse between the anode and the
`cathode 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
`
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`‘421 Claims 9, 12, 13, and 35
`
`EXHIBIT C.03
`U.S. Patent No. 7,811,421
`Mozgrin in view of Kudryavtsev
`
`[34b] b) adjusting an amplitude
`and a rise time of the voltage
`pulse to increase a density of ions
`in the strongly-ionized plasma.
`
`35. The method of claim 34
`wherein the applying the voltage
`pulse to the cathode assembly
`generates excited atoms in the
`weakly-ionized plasma and
`generates secondary electrons
`from the sputtering target, the
`secondary electrons ionizing the
`excited atoms, thereby creating
`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]
`
`The combination of Mozgrin and Kudryavtsev discloses
`the applying the voltage pulse to the cathode assembly
`generates excited atoms in the weakly-ionized plasma and
`generates secondary electrons from the sputtering target,
`the secondary electrons ionizing the excited atoms,
`thereby creating the strongly- ionized plasma.
`
`See evidence cited in claim 34
`
`See evidence cited in claim 9
`
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