`Petition for Inter Partes Review
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`DOCKET NO.: 0110198.00202US3
`Filed on behalf of The Gillette Company
`By: Michael A. Diener, Reg. No. 37,122
`Larissa Bifano 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
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` 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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`
`THE GILLETTE COMPANY
`Petitioner
`
`v.
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`ZOND, INC.
`Patent Owner
`
`
`IPR Trial No. TBD
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`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 7,811,421
`CHALLENGING CLAIMS 9, 14, 21, 26, 35 AND 37
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
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`
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`U.S. PATENT 7,811,421
`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 -
`C. Counsel ..................................................................................................... - 1 -
`D. Service Information .................................................................................. - 2 -
`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 ............................................................................. - 4 -
`IV. Brief Description of Technology ................................................................. - 4 -
`A. Plasma ....................................................................................................... - 4 -
`B.
`Ions and Excited Atoms ........................................................................... - 6 -
`V. Overview of the ‘421 Patent ......................................................................... - 7 -
`A. Summary of Alleged Invention of the ’421 Patent .................................. - 7 -
`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 ................................................................. - 15 -
`A. Ground I: Claims 9 and 35 are obvious over the combination of Mozgrin
`and Kudryavtsev ............................................................................................. - 15 -
`1.
`Independent claim 1 is anticipated by Mozgrin .................................. - 15 -
`2.
`Independent claim 34 is anticipated by Mozgrin ................................ - 24 -
`3. Dependent claims 9 and 35 ................................................................. - 26 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`B. Ground II: Claims 14 and 37 are obvious over the combination of Mozgrin
`and the Mozgrin Thesis ................................................................................... - 33 -
`C. Ground III: Claim 21 is obvious over the combination of Mozgrin,
`Lantsman and Kudryavtsev ............................................................................. - 36 -
`1.
`Independent claim 17 is obvious in view of Mozgrin and Lantsman . - 36 -
`2. Dependent claim 21 is obvious in view of Mozgrin, Lantsman and
`Kudryavtsev ................................................................................................ - 40 -
`D. Ground IV: Claim 26 is obvious over the combination of Mozgrin,
`Lantsman and the Mozgrin Thesis .................................................................. - 41 -
`E. Ground V: Claims 9, 21 and 35 are obvious over the combination of Wang
`and Kudryavtsev ............................................................................................. - 43 -
`1.
`Independent claim 1 is anticipated by Wang ...................................... - 43 -
`2.
`Independent claim 17 is anticipated by Wang .................................... - 49 -
`3.
`Independent claim 34 is anticipated by Wang .................................... - 51 -
`4. Dependent claims 9, 21 and 35 are obvious in view of Wang and
`Kudryavtsev ................................................................................................ - 52 -
`F. Ground VI: Claims 14, 26 and 37 are obvious over the combination of
`Wang and the Mozgrin Thesis ........................................................................ - 56 -
`IX. Conclusion ................................................................................................. - 58 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`TABLE OF AUTHORITIES
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`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007).
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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 and 42.122(b)
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`iii
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
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`I. MANDATORY NOTICES
`A. Real Party-in-Interest
`The Gillette Company (“Petitioner”), a wholly-owned subsidiary of the
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`Procter & Gamble Co., is the real party-in-interest.
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`B. Related Matters
`Zond has asserted U.S. Patent No. 7,811,421 (“’421 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,
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`Co.). Petitioner is also filing additional Petitions for Inter Partes review in several
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`patents related1 to the ’421 Patent.
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`The below-listed claims of the ‘759 Patent are presently the subject of a
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`substantially identical petition for inter partes review styled The Gillette Company
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`v. Zond, Inc., which was filed March 7, 2014 and assigned Case No. IPR2014–
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`00470. Petitioner will seek joinder with that inter partes review under 35 U.S.C. §
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`315(c), 37 C.F.R. §§ 42.22 and 42.122(b).
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`C. Counsel
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`1 The related patents, e.g., name the same alleged inventor.
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`Lead Counsel: Michael A. Diener (Registration No. 37,122)
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`Backup Counsel: Larissa B. Park (Registration No. 59,051)
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`Service Information
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`D.
`E-mail:
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`michael.diener@wilmerhale.com;
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`larissa.park@wilmerhale.com
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`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 9, 14, 21, 26, 35 and 37 of the ’421 Patent.
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`A.
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`Prior Art Patents and Printed Publications
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`The following references are pertinent to the grounds of unpatentability
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`explained below: 2
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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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`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(b).
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`3.
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`U.S. Patent No. 6,190,512 (“Lantsman” (Ex. 1205)), which is prior art under
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`102(b).
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`4.
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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. 1206)), which is prior art under 102(b).
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`5.
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`D.V. Mozgrin, High-Current Low-Pressure Quasi-Stationary Discharge in a
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`Magnetic Field: Experimental Research, Thesis at Moscow Engineering Physics
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`Institute, 1994 (“Mozgrin Thesis” (Ex. 1207)), which is prior art under 102(b).
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`Exhibit 1207 is a certified English translation of the original Mozgrin Thesis,
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`2 The ’421 Patent issued prior to the America Invents Act (the “AIA”).
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`Accordingly, Petitioner has used the pre-AIA statutory framework to refer to the
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`prior art.
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`- 3 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`attached as Exhibit 1208. A copy of the catalogue entry for the Mozgrin Thesis at
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`the Russian State Library is attached as Exhibit 1209.
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`B. Grounds for Challenge
`Petitioner requests cancellation of claims 9, 14, 21, 26, 35 and 37 of the ’421
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`Patent as unpatentable under 35 U.S.C. §103. This Petition, supported by the
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`declaration of Dr. Uwe Kortshagen3 (“Kortshagen Decl.” (Ex. 1202)) filed
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`herewith, demonstrates that there is a reasonable likelihood that Petitioner will
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`prevail with respect to at least one challenged claim and that each challenged claim
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`is not patentable.4 See 35 U.S.C. § 314(a).
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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. ¶ 22 (Ex. 1202). The negatively charged free electrons and
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`3 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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`00470, discussed above. The attached Exhibits are the same as those in IPR2014-
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`00470.
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`4 The term “challenged claims” as used herein refers to claims 9, 14, 21, 26, 35
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`and 37 of the ‘421 Patent. Petitioner seeks to invalidate remaining claims of the
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`‘421 Patent in separate petitions.
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`- 4 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`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. Kortshagen Decl. ¶
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`22 (Ex. 1202).5
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`Plasmas had been used in research and industrial applications for decades
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`before the ‘421 patent was filed. Kortshagen Decl. ¶ 23 (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). Kortshagen Decl. ¶ 23 (Ex. 1202). Ions
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`in the plasma strike a target surface causing ejection of a small amount of target
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`material. Kortshagen Decl. ¶ 23 (Ex. 1202). The ejected target material then
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`forms a film on the substrate. Kortshagen Decl. ¶ 23 (Ex. 1202).
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`Under certain conditions, electrical arcing can occur during sputtering.
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`Kortshagen Decl. ¶ 24 (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.
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`5 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. ¶ 22, FN2 (Ex. 1202).
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`- 5 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`Kortshagen Decl. ¶ 24 (Ex. 1202). The need to avoid arcing while sputtering was
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`known long before the ‘421 patent was filed. Kortshagen Decl. ¶ 24 (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. ¶ 25
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`(Ex. 1202). Each electron has an associated energy state. Kortshagen Decl. ¶ 25
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`(Ex. 1202). If all of an atom’s electrons are at their lowest possible energy state,
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`the atom is said to be in the “ground state.” Kortshagen Decl. ¶ 25 (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. ¶ 26 (Ex. 1202). Excited atoms are electrically neutral– they
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`have equal numbers of electrons and protons. Kortshagen Decl. ¶ 26 (Ex. 1202).
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`A collision with a free electron (e-) can convert a ground state atom to an excited
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`atom. Kortshagen Decl. ¶ 26 (Ex. 1202). For example, the ‘421 Patent uses the
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`following equation to describe production of an excited argon atom, Ar*, from a
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`ground state argon atom, Ar. See ‘421 Patent at 13:47 (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. ¶ 27 (Ex. 1202). A collision between a free, high
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`energy, electron and a ground state or excited atom can create an ion. Kortshagen
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`Decl. ¶ 27 (Ex. 1202). For example, the ‘421 Patent uses the following equations
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`- 6 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`to describe production of an argon ion, Ar+, from a ground state argon atom, Ar, or
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`an excited argon atom, Ar*. See ‘421 Patent at 4:20 and 13:496 (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 ‘421 patent was filed. Kortshagen Decl. ¶ 28 (Ex. 1202).
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`V. OVERVIEW OF THE ‘421 PATENT
`A.
`Summary of Alleged Invention of the ’421 Patent
`The claims of the ‘421 Patent are directed to using a single voltage pulse to
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`generate a so called weakly-ionized plasma and then a strongly-ionized plasma in a
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`manner that avoids arcing. Specific claims add operational details such as
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`characteristics of the voltage pulse, using ions in the plasma for sputtering and the
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`type of power supply used.
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`B.
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`Prosecution History
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`6 The equation describing production of an argon ion, Ar+, from an excited argon
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`atom, Ar*, is printed incorrectly in the ‘421 patent, i.e., the “*” is omitted. See
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`‘421 Application at ¶[0097] (Ex. 1218). See Kortshagen Decl. ¶ 27, FN3 (Ex.
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`1202)
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`- 7 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`During prosecution, the Examiner rejected all pending claims over WO
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`02/103078 A1 (“Kouznetsov”) (Ex. 1210). See 04/21/10 Office Action at 2 (Ex.
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`1215).
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`The Patent Owner traversed the rejection arguing that rather than a single
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`pulse, Kouznetsov uses two distinct pulses. See 06/23/10 Resp. at 10, ¶ 1
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`(“Kouznetsov does not describe apparatus that generate a voltage pulse between
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`the anode and the cathode assembly that creates a weakly-ionized plasma and then
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`a strongly-ionized plasma from the weakly-ionized plasma. Indeed, Kouznetsov
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`describes methods and apparatus for generating two separate and independent
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`pulses.”) (emphasis added) (Ex. 1216). The claims were then allowed. See
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`08/19/10 Notice of Allowance (Ex. 1217).
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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 ‘421 Patent. Kortshagen Decl. ¶ 32
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`(Ex. 1202).
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`B. Overview of Mozgrin7
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`7 Mozgrin is art of record, but was not applied substantively during prosecution.
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`Mozgrin teaches forming a plasma “without forming an arc discharge.” Fig.
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`7 of Mozgrin, copied below, shows the current-voltage characteristic (“CVC”) of a
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`plasma discharge.
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`
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`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. ¶ 36 (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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`(regime 2)…” (emphasis added)) (Ex. 1203). Kortshagen Decl. ¶ 37 (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. Kortshagen Decl. ¶ 37 (Ex. 1202). Mozgrin teaches that region 2 is
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`useful for sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was characterized
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`by an intense cathode sputtering…”) (Ex. 1203).
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`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. ¶ 38 (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. ¶ 38 (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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`¶ 38 (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. ¶ 39 (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. Kortshagen Decl. ¶ 39 (Ex. 1202). Within its broad
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`disclosure of a range of issues related to sputtering and etching, Mozgrin describes
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`arcing and how to avoid it. Kortshagen Decl. ¶ 39 (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. 1206). Kortshagen
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`Decl. ¶ 40 (Ex. 1202). In particular, Kudryavtsev describes how ionization of a
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`plasma can occur via different processes. Kortshagen Decl. ¶ 40 (Ex. 1202). The
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`first process is direct ionization, in which ground state atoms are converted directly
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`to ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1206). Kortshagen Decl. ¶ 40
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`(Ex. 1202). The second process is multi-step ionization, which Kudryavtsev calls
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`stepwise ionization. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1206).
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`Kortshagen Decl. ¶ 40 (Ex. 1202). Kudryavtsev notes that under certain conditions
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`multi-step ionization can be the dominant ionization process. See, e.g.,
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`Kudryavtsev at Fig. 6 caption (Ex. 1206). Kortshagen Decl. ¶ 40 (Ex. 1202).
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`Mozgrin took into account the teachings of Kudryavtsev when designing his
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`experiments. Mozgrin at 401, ¶ spanning left and right cols. (“Designing the unit,
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`we took into account the dependences which had been obtained in
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`[Kudryavtsev]…”) (Ex. 1203). Kortshagen Decl. ¶ 40 (Ex. 1202).
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`Kudryavtsev was not of record during the prosecution of the ’421 Patent.
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`D. Overview of Wang8
`Wang 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 the plasma. The lower power level, PB, is generated by the
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`8 Wang is art of record, but was not substantively applied during prosecution.
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`- 11 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`DC power supply 100 (shown in Fig. 7) and the higher power level, PP, is
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`generated by the pulsed power supply 80. See Wang 7:56-64 (Ex. 1204); see also
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`Kortshagen Decl. ¶ 42 (Ex. 1202). Wang’s lower power level, PB, maintains the
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`plasma after ignition and application of the higher power level, PP, raises the
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`density of the plasma. Wang at 7:17-31 (“The background power level, PB, is
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`chosen to exceed the minimum power necessary to support a plasma... [T]he
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`application of the high peak power, PP, quickly causes the already existing plasma
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`to spread and increases the density of the plasma.”) (Ex. 1204). Kortshagen Decl.
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`¶ 42 (Ex. 1202). Wang applies the teachings of Mozgrin and Kudryavtsev in a
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`commercial, industrial plasma sputtering device. See also Kortshagen Decl. ¶ 42
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`(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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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`definition in the specification is therefore also given a broad interpretation.9 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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`“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. ¶ 44
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`(Ex. 1202). With reference to Fig. 6, the ‘421 Patent describes forming a weakly-
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`ionized plasma between times t1 and t2 by application of the low power 330 and
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`9 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 7,811,421
`Petition for Inter Partes Review
`then goes on to describe forming a strongly-ionized plasma by application of
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`higher power 350. ‘421 Patent at 15:56-61; 16:38-44 (Ex. 1201). The ‘421 Patent
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`also provides exemplary densities for the weakly-ionized and strongly-ionized
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`plasmas. See ‘421 Application at original pending claim 22 (“wherein the peak
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`plasma density of the weakly-ionized plasma is less than about 1012 cm˗3”);
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`original pending claim 26 (“wherein the peak plasma density of the strongly-
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`ionized plasma is greater than about 1012 cm˗3”) (Ex. 1218).10
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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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`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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`
`10 Pending claims 22 and 26 were canceled during prosecution, but were
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`nonetheless part of the original disclosure of the ‘421 Patent. See also ‘421 Patent
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`at 8:22-28 (Ex. 1201).
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`- 14 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`ionized plasma’ and there can be no lack of clarity.” 04/21/08 Response in EP
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`1560943 (Ex. 1219).
`
`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. ¶ 47 (Ex. 1202), demonstrate in detail how the prior art
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`discloses each and every limitation of claims 9, 14, 21, 26, 35 and 37 of the ’421
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`Patent, and how those claims are rendered obvious by the prior art.
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`A. Ground I: Claims 9 and 35 are obvious over the combination of
`Mozgrin and Kudryavtsev11
`The claim chart that Petitioner served on Feb. 11, 2014 in its ongoing
`
`litigation involving the Petitioner and the Patent Owner, showing that claims 9 and
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`35 are obvious in view of the combination of Mozgrin and Kudryavtsev, is
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`submitted hereto as Exhibit 1220. (Ex. 1220). Dr. Kortshagen has reviewed that
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`claim chart and agrees with it. Kortshagen Decl. ¶ 49 (Ex. 1202).
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`1.
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`Independent claim 1 is anticipated by Mozgrin
`a)
`Claim 1 begins, “A sputtering source comprising.” Mozgrin discloses a
`
`The preamble
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`sputtering source. Mozgrin 403, right col, ¶4 (“Regime 2 was characterized by
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`11 The invalidity of claims 1 and 34 are addressed in a separate petition. Claims 1
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`and 34 are addressed herein to establish the invalidity of claims that depend from
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`claims 1 and 34.
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`- 15 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`intense cathode sputtering…”) (emphasis added) (Ex. 1203). Mozgrin therefore
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`teaches the preamble. Kortshagen Decl. ¶ 50 (Ex. 1202).
`
`b)
`Limitation (a) of claim 1 reads “a cathode assembly comprising a sputtering
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`Limitation (a)
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`target that is positioned adjacent to an anode.”
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`The ‘421 Patent admits that the claimed cathode assembly and anode were
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`well known. Kortshagen Decl. ¶ 52 (Ex. 1202). For example, the ‘421 Patent
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`shows in prior art Fig. 1 a “cross-sectional view of a known magnetron sputtering
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`apparatus 100…” ‘421 Patent at 3:39-40 (Ex. 1201). The known “magnetron
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`sputtering apparatus 100 also includes a cathode assembly 114 having a target
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`material 116.” ‘421 Patent at 3:51-52 (Ex. 1201). Moreover, “an anode 130 is
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`positioned in the vacuum chamber 104 proximate to the cathode assembly.” ‘421
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`Patent at 4:1-2 (Ex. 1201).
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`Similarly, Mozgrin’s Fig. 1 shows a cathode labeled “1,” that is adjacent to
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`Mozgrin’s anode “2.” Kortshagen Decl. ¶ 53 (Ex. 1202). Mozgrin also discloses
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`that its cathode includes a sputtering target. Kortshagen Decl. ¶ 53 (Ex. 1202).
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`Specifically, Mozgrin discusses sputtering that occurs in Region 2. Mozgrin at
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`403, right col., ¶4 (“Regime 2 was characterized by an intense cathode
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`sputtering….”) (Ex. 1203). In a magnetron, the portion of the cathode that can be
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`sputtered is the “sputtering target.” See, e.g., Mozgrin at 403, right col, ¶ 4
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`- 16 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`(“…The pulsed deposition rate of the cathode material…”) (Ex. 1203). See also
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`Kortshagen Decl. ¶ 53 (Ex. 1202).
`
`c)
`
`Limitation (b)
`(1)
`“a power supply that generates a voltage pulse
`between the anode and the cathode assembly”
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`Mozgrin’s power supply is shown in Fig. 2. Kortshagen Decl. ¶ 54 (Ex.
`
`1202). The upper portion of the ‘421 Patent’s Fig. 6, which shows the ‘421
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`Patent’s voltage pulse, and Mozgrin’s Fig. 3b, which shows the voltage pulse
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`generated by Mozgrin’s power supply, are copied below. As shown, Mozgrin’s
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`voltage pulse is very similar to the ‘421 Patent’s voltage pulse12. Kortshagen Decl.
`
`¶ 54 (Ex. 1202).
`
`
`12 Note that the voltage value between t5 and t6 in Fig. 6 of the ‘421 Patent
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`(corresponding to part 3 of Mozgrin’s Fig. 3(b)) is higher than the value between t1
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`and t2 (corresponding to part 1 of Mozgrin’s Fig. 3(b)), indicating Fig. 6 of the
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`‘421 Patent corresponds to an example of operating in Region 2 of Mozgrin’s Figs.
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`4 and 7 whereas Mozgrin’s Fig. 3b corresponds to an example of operating in
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`Region 3 of Mozgrin’s Figs. 4 and 7.
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`- 17 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`
`Excerpt of Fig. 6 of ’421 Patent
`(Ex. 1201)
`
`Fig. 3(b) of Mozgrin
`(Ex. 1203)
`
`
`
`Mozgrin’s voltage pulse is applied between Mozgrin’s anode and cathode
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`assembly. Mozgrin at 401, left col, ¶ 4 (“It was possible to form the high-current
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`quasi-stationary regime by applying a square voltage pulse to the discharge gap
`
`which was filled up with either neutral or pre-ionized gas.”) (Ex. 1203). See also
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`Kortshagen Decl. ¶ 54 (Ex. 1202).
`
`(2)
`“that creates a weakly-ionized plasma and then a
`strongly-ionized plasma from the weakly-ionized
`plasma”
`
`The ‘421 Patent uses the terms “weakly-ionized plasma” and “pre-ionized
`
`plasma” synonymously. ‘421 Patent at 8:22-23 (“The weakly-ionized plasma is
`
`also referred to as a pre-ionized plasma.”) (Ex. 1201). Mozgrin’s power supply
`
`(shown in Fig. 2) generates a pre-ionized plasma in Mozgrin’s region 1. Mozgrin
`
`at 402, right col, ¶2 (“Figure 3 shows typical voltage and current oscillograms.…
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`Part I in the voltage oscillogram represents the voltage of the stationary discharge
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`(pre-ionization stage).”) (Ex. 1203). See also Kortshagen Decl. ¶ 55 (Ex. 1202).
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`- 18 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`Moreover, the density of Mozgrin’s pre-ionized plasma matches the
`
`exemplary density for weakly-ionized plasma given in the ‘421 Patent. ‘421
`
`Application at original pending claim 22 (“wherein the peak plasma density of the
`
`weakly-ionized plasma is less than about 1012 cm˗3”) (emphasis added) (Ex.
`
`1218); 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˗3
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`range.”) (Ex. 1203) (emphasis added). See also Kortshagen Decl. ¶ 56 (Ex. 1202).
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`After Mozgrin creates the weakly-ionized plasma in region 1, the voltage
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`shown in region 2 of Fig. 3b increases the density of the plasma and forms a
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`strongly-ionized plasma. Kortshagen Decl. ¶ 57 (Ex. 1202). The density of
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`Mozgrin’s region 2 plasma matches the exemplary density for strongly-ionized
`
`plasma given in the ‘421 Patent. ‘421 Application at original pending claim 26
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`(“wherein the peak plasma density of the strongly-ionized plasma is greater than
`
`about 1012 cm˗3”) (emphasis added) (Ex. 1218); Mozgrin at 409, left col, ¶ 4 (“The
`
`implementation of the high-current magnetron discharge (regime 2) in sputtering
`
`… plasma density (exceeding 2x1013 cm-3).)” (emphasis added) (Ex. 1203). See
`
`also Kortshagen Decl. ¶ 57 (Ex. 1202).
`
`(3)
`“without an occurrence of arcing between the
`anode and the cathode assembly”
`
`Limitation (b) of claim 1 continues “without an occurrence of arcing
`
`between the anode and the cathode assembly.” Mozgrin explicitly notes that arcs
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`- 19 -
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`U.S. PATENT 7,811,421
`Petition for Inter Partes Review
`can be avoided. Mozgrin at 400, left col, ¶ 3 (“Some experiments on magnetron
`
`systems o