throbber
Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`DOCKET NO: 0107131.00271US3
`’142 PATENT
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`PATENT: 6,853,142
`
`CLAIMS 21, 24, 26-28, 31, 32, 37
`AND 38
`
`INVENTOR: ROMAN CHISTYAKOV
`
`
`
`FILED: NOV. 4, 2002
`
`ISSUED: FEB. 8, 2005
`
`TITLE: METHODS AND APPARATUS FOR GENERATING HIGH-
`DENSITY PLASMA
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`DECLARATION OF UWE KORTSHAGEN, PH.D., REGARDING
`CLAIMS 21, 24, 26-28, 31, 32, 37 AND 38 OF U.S. PATENT NO. 6,853,142
`
`I, Uwe Kortshagen, declare as follows:
`
`1. My name is Uwe Kortshagen.
`
`2.
`
`I received my Diploma in Physics from the University of Bochum in
`
`Germany in 1988. I received my Ph.D. in Physics from University of Bochum in
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`1991 and my Habilitation in Experimental Physics from University of Bochum in
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`1995.
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`- 1 -
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`GILLETTE 1202
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`I am a Distinguished McKnight University Professor at the University
`
`3.
`
`of Minnesota. I have been the Head of the Mechanical Engineering Department at
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`the University of Minnesota since July 2008. I have been a Professor at the
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`Mechanical Engineering Department at the University of Minnesota since August
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`2003. Between August 1999 and August 2003, I was an Associate Professor at the
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`Mechanical Engineering Department at the University of Minnesota. Between July
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`1996 and August 1999, I was an Assistant Professor at the Mechanical Engineering
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`Department at the University of Minnesota. Between April 1996 and July 1996, I
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`was a Lecturer at the Department of Physics and Astronomy at the University of
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`Bochum, Germany. Between August 2006 and June 2008, I was the Director of
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`Graduate Studies at the Mechanical Engineering Department at the University of
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`Minnesota.
`
`4.
`
`I have taught courses on Introduction to Plasma Technology and
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`Advanced Plasma Technology. These courses include significant amounts of
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`material on plasma technology. In addition, I have taught a Special Topics class
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`on Plasma Nanotechnology.
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`5.
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`Plasma processes for advanced technological applications has been
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`the primary area of my professional research for over 30 years. Most of my Ph.D.
`
`students go on to work on plasmas either in academia or the semiconductor
`
`industry.
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`- 2 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
`
`I have reviewed the specification, claims, and file history of U.S.
`
`6.
`
`7.
`
`Patent No. 6,853,142 (the “’142 patent”) (Ex. 1201). I understand that the ’142
`
`patent was filed on November 4, 2002. I understand that, for purposes of
`
`determining whether a publication will qualify as prior art, the earliest date that the
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`’142 patent could be entitled to is November 4, 2002.
`
`8.
`
`I have reviewed the following publications:
`
` 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, pp. 400-409, 1995 (“Mozgrin” (Ex.
`
`1203)).
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` A. A. Kudryavtsev and V.N. Skerbov, Ionization relaxation in a
`
`plasma produced by a pulsed inert-gas discharge, Sov. Phys. Tech.
`
`Phys. 28(1), pp. 30-35, January 1983 (“Kudryavtsev” (Ex. 1204)).
`
` U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1205)).
`
` D.V. Mozgrin, High-Current Low-Pressure Quasi-Stationary
`
`Discharge in a Magnetic Field: Experimental Research, Thesis at
`
`Moscow Engineering Physics Institute, 1994 (“Mozgrin Thesis” (Ex.
`
`1206)). Exhibit 1206 is a certified English translation of the original
`
`Mozgrin Thesis, attached as Exhibit 1207. A copy of the catalogue
`
`- 3 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
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`entry for the Mozgrin Thesis at the Russian State Library is attached
`
`as Exhibit 1208.
`
`9.
`
`I have read and understood each of the above publications. The
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`disclosure of each of these publications provides sufficient information for
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`someone to make and use the plasma generation and sputtering processes that are
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`described in the above publications.
`
`10.
`
`I have considered certain issues from the perspective of a person of
`
`ordinary skill in the art at the time the ’142 patent application was filed. In my
`
`opinion, a person of ordinary skill in the art for the ’142 patent would have found
`
`the ’142 patent invalid.
`
`11.
`
`I have been retained by Intel Corporation (“Intel” or “Petitioner”) as
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`an expert in the field of plasma technology. I am being compensated at my normal
`
`consulting rate of $350/hour for my time. My compensation is not dependent on
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`and in no way affects the substance of my statements in this Declaration.
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`12.
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`I have no financial interest in the Petitioner. I similarly have no
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`financial interest in the ’142 patent, and have had no contact with the named
`
`inventor of the ’142 patent.
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`- 4 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`I.
`
`RELEVANT LAW
`13.
`
`I am not an attorney. For the purposes of this declaration, I have been
`
`informed about certain aspects of the law that are relevant to my opinions. My
`
`understanding of the law is as follows:
`
`A. Claim Construction
`14.
`I have been informed that claim construction is a matter of law and
`
`that the final claim construction will ultimately be determined by the Board. For
`
`the purposes of my invalidity analysis in this proceeding and with respect to the
`
`prior art, I have applied the broadest reasonable construction of the claim terms as
`
`they would be understood by one skilled in the relevant art.
`
`15.
`
`I have been informed and understand that a claim in inter partes
`
`review is given the “broadest reasonable construction in light of the specification.”
`
`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
`
`term that lacks a definition in the specification is therefore also given a broad
`
`interpretation.
`
`B. Obviousness
`16.
`I have been informed and understand that a patent claim can be
`
`considered to have been obvious to a person of ordinary skill in the art at the time
`
`the application was filed. This means that, even if all of the requirements of a
`
`claim are not found in a single prior art reference, the claim is not patentable if the
`
`- 5 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`differences between the subject matter in the prior art and the subject matter in the
`
`claim would have been obvious to a person of ordinary skill in the art at the time
`
`the application was filed.
`
`17.
`
`I have been informed and understand that a determination of whether
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`a claim would have been obvious should be based upon several factors, including,
`
`among others:
`
` the level of ordinary skill in the art at the time the application was filed;
`
` the scope and content of the prior art;
`
` what differences, if any, existed between the claimed invention and the
`
`prior art.
`
`18.
`
`I have been informed and understand that the teachings of two or
`
`more references may be combined in the same way as disclosed in the claims, if
`
`such a combination would have been obvious to one having ordinary skill in the
`
`art. In determining whether a combination based on either a single reference or
`
`multiple references would have been obvious, it is appropriate to consider, among
`
`other factors:
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` whether the teachings of the prior art references disclose known concepts
`
`combined in familiar ways, and when combined, would yield predictable
`
`results;
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`- 6 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
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` whether a person of ordinary skill in the art could implement a
`
`predictable variation, and would see the benefit of doing so;
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` whether the claimed elements represent one of a limited number of
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`known design choices, and would have a reasonable expectation of
`
`success by those skilled in the art;
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` whether a person of ordinary skill would have recognized a reason to
`
`combine known elements in the manner described in the claim;
`
` whether there is some teaching or suggestion in the prior art to make the
`
`modification or combination of elements claimed in the patent; and
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` whether the innovation applies a known technique that had been used to
`
`improve a similar device or method in a similar way.
`
`19.
`
`I understand that one of ordinary skill in the art has ordinary
`
`creativity, and is not an automaton.
`
`20.
`
`I understand that in considering obviousness, it is important not to
`
`determine obviousness using the benefit of hindsight derived from the patent being
`
`considered.
`
`II. BRIEF DESCRIPTION OF TECHNOLOGY
`A.
`Plasma
`21. A plasma is a collection of ions, free electrons, and neutral atoms.
`
`The negatively charged free electrons and positively charged ions are present in
`
`- 7 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`roughly equal numbers such that the plasma as a whole has no overall electrical
`
`charge. The “density” of a plasma refers to the number of ions or electrons that are
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`present in a unit volume.1
`
`22. Plasma had been used in research and industrial applications for
`
`decades before the ’142 patent was filed. For example, sputtering is an industrial
`
`process that uses plasmas to deposit a thin film of a target material onto a surface
`
`called a substrate (e.g., silicon wafer during a semiconductor manufacturing
`
`operation). Ions in the plasma strike a target surface causing ejection of a small
`
`amount of target material. The ejected target material then forms a film on the
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`substrate.
`
`23. Under certain conditions, electrical arcing can occur during sputtering.
`
`Arcing is undesirable because it causes explosive release of droplets from the
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`target that can splatter on the substrate. The need to avoid arcing while sputtering
`
`was known long before the ’142 patent was filed.
`
`
`1 The terms “plasma density” and “electron density” are often used interchangeably
`
`because the negatively charged free electrons and positively charged ions are
`
`present in roughly equal numbers in plasmas that do not contain negatively
`
`charged ions or clusters.
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`- 8 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`B.
`Ions and excited atoms
`24. Atoms have equal numbers of protons and electrons. Each electron
`
`has an associated energy state. If all of an atom’s electrons are at their lowest
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`possible energy state, the atom is said to be in the “ground state.”
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`25. On the other hand, if one or more of an atom’s electrons is in a state
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`that is higher than its lowest possible state, then the atom is said to be an “excited
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`atom.” Excited atoms are electrically neutral– they have equal numbers of
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`electrons and protons. A collision with a free electron (e-) can convert a ground
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`state atom to an excited atom. For example, the ‘142 Patent uses the following
`
`equation to describe production of an excited argon atom, Ar*, from a ground state
`
`argon atom, Ar. See ‘142 Patent at 10:12 (Ex. 1201).
`
`Ar + e-  Ar* + e-
`
`26. An ion is an atom that has become disassociated from one or more of
`
`its electrons. A collision between a free, high energy, electron and a ground state
`
`or excited atom can create an ion. For example, the ‘142 Patent uses the following
`
`equations to describe production of an argon ion, Ar+, from a ground state argon
`
`atom, Ar, or an excited argon atom, Ar*. See ‘142 Patent at 3:1 and 9:14 (Ex.
`
`1201).
`
`Ar + e-  Ar+ + 2e-
`
`Ar* + e-  Ar+ + 2e-
`
`- 9 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`27. The production of excited atoms and ions was well understood long
`
`before the ‘142 patent was filed.
`
`III. OVERVIEW OF THE ‘142 PATENT
`A.
`Summary of Alleged Invention of the ’142 Patent
`28. The ‘142 Patent describes generating a plasma by applying an
`
`electrical pulse in a manner that allegedly reduces the probability of arcing. More
`
`specifically, the claims of the ‘142 Patent are generally directed to generating a, so
`
`called, “weakly-ionized plasma” and then applying an electrical pulse to increase
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`the density of that plasma so as to form a “strongly-ionized plasma.” The weakly-
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`ionized plasma is claimed to reduce the probability of forming an electrical
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`breakdown condition.
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`29. Specific claims are directed to further operational details such as
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`supplying a feed gas to the plasma, characteristics of the electrical pulse,
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`generating a magnetic field and the type of power supply used.
`
`B.
`30.
`
`Prosecution History
`
`I understand that the first substantive office action rejected all
`
`independent claims as anticipated. See 10/07/03 Office Action at 3 (Ex. 1209). I
`
`understand that the applicant then amended every independent claim to require
`
`“the weakly-ionized plasma reducing the probability of developing an electrical
`
`- 10 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`breakdown condition in the chamber” or similar limitations. See 03/08/04 Resp.
`
`(Ex. 1210).
`
`31.
`
`I understand that following that amendment, the claims were allowed.
`
`I understand that the Notice of Allowance explicitly recites these limitations as the
`
`examiner’s reasons for allowance. 03/29/04 Allowance at 2 (“The prior art neither
`
`discloses nor suggests … the weakly-ionized plasma reducing the probability of
`
`developing an electrical breakdown condition in the chamber such as required by
`
`claims 1, 22, 43, 44…10 and 33.”) (Ex. 1211). However, as explained in detail
`
`below, and contrary to the Examiner’s reasons for allowance, the prior art
`
`addressed herein teaches those and all other limitations of the challenged claims.
`
`IV. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the prior art
`32. As explained in detail below, limitation-by-limitation, there is nothing
`
`new or non-obvious in the challenged claims of the ‘142 Patent.
`
`B. Overview of Mozgrin2
`33. Mozgrin teaches forming a plasma “without forming an arc
`
`discharge.”
`
`
`2 I understand that Mozgrin was art of record, but was not applied substantively
`
`during prosecution.
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`- 11 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`34. Fig. 7 of Mozgrin, copied below, shows the current-voltage
`
`characteristic (“CVC”) of a plasma discharge.
`
`
`
`35. As shown, Mozgrin divides this CVC into four distinct regions.
`
`36. Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2
`
`(“Part 1 in the voltage oscillogram represents the voltage of the stationary
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`discharge (pre-ionization stage).” (Ex. 1203).
`
`37. Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin
`
`at 409, left col, ¶ 4 (“The implementation of the high-current magnetron discharge
`
`(regime 2)…” (Ex. 1203). Application of a high voltage to the pre-ionized plasma
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`causes the transition from region 1 to 2. 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).
`
`38. Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at
`
`409, left col, ¶ 5, (“The high-current diffuse discharge (regime 3)…” (Ex. 1203).
`
`- 12 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`Increasing the current applied to the “high-current magnetron discharge” (region 2)
`
`causes the plasma to transition to region 3. Mozgrin also teaches that region 3 is
`
`useful for etching, i.e., removing material from a surface. Mozgrin at 409, left col,
`
`¶ 5 (“The high-current diffuse discharge (regime 3) is useful … Hence, it can
`
`enhance the efficiency of ionic etching…”) (Ex. 1203).
`
`39. Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, ¶ 3
`
`(“…part 4 corresponds to the high-current low-voltage arc discharge…” (Ex.
`
`1203). Further increasing the applied current causes the plasma to transition from
`
`region 3 to the “arc discharge” region 4.3
`
`40. Within its broad disclosure of a range of issues related to sputtering
`
`and etching, Mozgrin describes arcing and how to avoid it.
`
`
`3 As one of ordinary skill would understand, the oscillogram shown in Mozgrin’s
`
`Fig. 3 when taken as a whole corresponds to region 3 on Mozgrin’s Figs. 4 and 7,
`
`i.e., Fig. 3 represents currents and voltages used to reach stable operation in region
`
`3. Further, as one of ordinary skill would understand, an oscillogram
`
`corresponding to region 2 on Mozgrin’s Figs. 4 and 7 (i.e., stable operation in
`
`region 2) would have a different shape, e.g., the voltage would not drop as low as
`
`shown in Fig. 3b and the current would be lower than what is shown in Fig. 3a.
`
`- 13 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`C. Overview of Kudryavtsev
`41. Kudryavtsev is a technical paper that studies the ionization of a
`
`plasma with voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1204).
`
`In particular, Kudryavtsev describes how ionization of a plasma can occur via
`
`different processes. The first process is direct ionization, in which ground state
`
`atoms are converted directly to ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex.
`
`1204). The second process is multi-step ionization, which Kudryavtsev calls
`
`stepwise ionization. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1204).
`
`Kudryavtsev notes that under certain conditions multi-step ionization can be the
`
`dominant ionization process. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1204).
`
`Mozgrin took into account the teachings of Kudryavtsev when designing his
`
`experiments. Mozgrin at 401, ¶ spanning left and right cols. (“Designing the unit,
`
`we took into account the dependences which had been obtained in
`
`[Kudryavtsev]…”) (Ex. 1203).
`
`42.
`
`I understand that Kudryavtsev was not of record during the
`
`prosecution of the ‘142 Patent.
`
`- 14 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`D. Overview of Wang4
`43. Wang discloses a pulsed magnetron sputtering device having an anode
`
`(24), a cathode (14), a magnet assembly (40), a DC power supply (100) (shown in
`
`Fig. 7), and a pulsed DC power supply (80). See Wang at Figs. 1, 7, 3:57-4:55;
`
`7:56-8:12 (Ex. 1205). Fig. 6 (annotated and reproduced below) shows a graph of
`
`the power Wang applies to the plasma. The lower power level, PB, is generated by
`
`the DC power supply 100 (shown in Fig. 7) and the higher power level, PP, is
`
`generated by the pulsed power supply 80. See Wang 7:56-64 (Ex. 1205). Wang’s
`
`lower power level, PB, maintains the plasma after ignition and application of the
`
`higher power level, PP, raises the density of the plasma. Wang at 7:17-31 (“The
`
`background power level, PB, is chosen to exceed the minimum power necessary to
`
`support a plasma... [T]he application of the high peak power, PP, quickly causes
`
`the already existing plasma to spread and increases the density of the plasma.”)
`
`(Ex. 1205). Wang applies the teachings of Mozgrin and Kudryavtsev in a
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`commercial, industrial plasma sputtering device.
`
`
`4 I understand that Wang was art of record, but was not substantively applied
`
`during prosecution.
`
`- 15 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`
`
`V. CLAIM CONSTRUCTION
`44.
`I have been informed and understand that a claim in inter partes
`
`review is given the “broadest reasonable construction in light of the specification.”
`
`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
`
`term that lacks a definition in the specification is therefore also given a broad
`
`interpretation. The following discussion proposes constructions of and support
`
`therefore of those terms. I have been informed and understand that any claim
`
`terms not included in the following discussion are to be given their broadest
`
`reasonable interpretation in light of the specification as commonly understood by
`
`those of ordinary skill in the art. Moreover, should the Patent Owner, in order to
`
`avoid the prior art, contend that the claim has a construction different from its
`
`broadest reasonable interpretation, I have been informed and understand that the
`
`appropriate course is for the Patent Owner to seek to amend the claim to expressly
`
`correspond to its contentions in this proceeding.
`
`- 16 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`A.
`“weakly-ionized plasma” and “strongly-ionized plasma”
`45. The challenged claims recite “weakly-ionized plasma” and “strongly-
`
`ionized plasma.” These terms relate to the density of the plasma, i.e., a weakly-
`
`ionized plasma has a lower density than a strongly-ionized plasma. With reference
`
`to Fig. 3, the ‘142 Patent describes forming a weakly-ionized plasma between
`
`times t1 and t2 by application of the low power 302 and then goes on to describe
`
`forming a strongly-ionized plasma by application of higher power 304. ‘142
`
`Patent at 11:32-38; 12:9-16 (Ex. 1201). The ‘142 Patent also provides exemplary
`
`densities for the weakly-ionized and strongly-ionized plasmas. See ‘142 Patent at
`
`claim 17 (“wherein the peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm˗3”); claim 18 (“wherein the peak plasma density of the strongly-
`
`ionized plasma is greater than about 1012 cm˗3”) (Ex. 1201).
`
`46. Therefore, I have used the following constructions:
`
` “weakly-ionized plasma” means “a lower density plasma” and
`
` “strongly-ionized plasma” means “a higher density plasma.”
`
`47. The constructions proposed above are consistent with the position the
`
`Patent Owner has taken in other jurisdictions. For example, I understand that the
`
`Patent Owner, when faced with a clarity objection during prosecution of a related
`
`European patent application, argued that “it is [sic] would be entirely clear to the
`
`skilled man, not just in view of the description, that a reference to a ‘weakly-
`
`- 17 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`ionised plasma’ in the claims indicates a plasma having an ionisation level lower
`
`than that of a ‘strongly-ionized plasma’ and there can be no lack of clarity.”
`
`04/21/08 Response in EP 1560943 (Ex. 1218).
`
`VI. SPECIFIC GROUNDS FOR REJECTION
`48. The below sections demonstrate in detail how the prior art discloses
`
`each and every limitation of claims 21, 24, 26-28, 31, 32, 37 and 38 of the ’142
`
`Patent, and how those claims are rendered obvious by the prior art.
`
`49.
`
`I have further reviewed and understand the claim charts submitted by
`
`Petitioner in the above-captioned inter partes review (Exs. 1219-1221), showing
`
`that each limitation in the foregoing claims is taught in the art. I understand these
`
`claim charts were submitted in an ongoing litigation involving the Petitioner and
`
`the Patent Owner. Those charts present in summary form the analysis below and I
`
`agree with them.
`
`A. Ground I: Claims 21, 26-28, 31, 37 and 38 are obvious in view of
`the combination of Mozgrin and Kudryavtsev
`
`50.
`
`I have further reviewed and understand the claim charts submitted by
`
`Petitioner in the above-captioned inter partes review (Ex. 1219), showing that
`
`claims 21, 26-28, 31, 37 and 38 are obvious in view of the combination of Mozgrin
`
`and Kudryavtsev. I understand this claim chart was submitted in an ongoing
`
`- 18 -
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`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`litigation involving the Petitioner and the Patent Owner. This chart presents in
`
`summary form the analysis below and I agree with it.
`
`1.
`
`Independent claim 21 is obvious in view of the combination of
`Mozgrin and Kudryavtsev
`a)
`The preamble
`51. Claim 21 begins, “[a]n apparatus for generating a strongly-ionized
`
`plasma.” As shown in Fig. 1, Mozgrin teaches generating plasma in “two types of
`
`devices: a planar magnetron and a system with specifically shaped hollow
`
`electrodes.” Mozgrin at Fig. 1; 400, right col, ¶ 4. (Ex. 1203). The densities in
`
`Mozgrin’s regions 1-3 are summarized below.
`
` Region 1: 109 – 1011 cm-3.5
`
` Region 2: exceeding 2x1013 cm-3.6
`
` Region 3: 1.5x1015cm-3.7
`
`
`5 Mozgrin at 401, right col, ¶2 (“For pre-ionization … the initial plasma density in
`
`the 109 – 1011 cm-3 range.”) (Ex. 1203).
`
`6 Mozgrin at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
`
`discharge (regime 2) in sputtering … plasma density (exceeding 2x1013 cm-3).”)
`
`(Ex. 1203).
`
`- 19 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`52. Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
`
`The density in those regions matches the exemplary density given for a strongly-
`
`ionized plasma in the ‘142 Patent. ‘142 Patent at claim 18 (“wherein the peak
`
`plasma density of the strongly-ionized plasma is greater than about 1012 cm˗3”) (Ex.
`
`1201). Mozgrin therefore teaches the preamble.
`
`b)
`“an anode” and “a cathode…”
`53. Claim 21 continues, “an anode; a cathode that is positioned adjacent
`
`to the anode and forming a gap there between.”
`
`54. The ‘142 Patent admits that the claimed anode and cathode assembly
`
`were well known. For example, the ‘142 Patent shows in prior art Fig. 1 a “cross-
`
`sectional view of a known magnetron sputtering apparatus 100…” ‘142 Patent at
`
`2:21-22 (Ex. 1201). The known “plasma generating apparatus 100 also includes a
`
`cathode 114.” ‘142 Patent at 2:35-36 (Ex. 1201). Moreover, “[a]n anode 130 is
`
`positioned in the vacuum chamber 104 proximate to the cathode 114.” ‘142 Patent
`
`at 2:45-46 (Ex. 1201).
`
`
`7 Mozgrin at 409, left col, ¶5 (“The high-current diffuse discharge (regime 3) is
`
`useful for producing large-volume uniform dense plasmas ni  1.5x1015cm-3…”).
`
`(Ex. 1203).
`
`- 20 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`55. Similarly, Mozgrin’s Fig. 1 shows a cathode labeled “1,” that is
`
`adjacent to Mozgrin’s anode “2.” Fig. 1 further shows a gap that is formed
`
`between the anode and cathode. See also Mozgrin at 401, left col, ¶ 4
`
`(“…applying a square voltage pulse to the discharge gap…”); 401, right col, ¶2
`
`(“…square voltage was applied to the gap.”) (Ex. 1203).
`
`c)
`
`“ionization source…”
`(1)
`“an ionization source that generates a weakly-
`ionized plasma proximate to the cathode”
`
`56. The ‘142 Patent uses the terms “weakly-ionized plasma” and “pre-
`
`ionized plasma” synonymously. ‘142 Patent at 5:18-19 (“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.… Part I in the voltage oscillogram represents the voltage of the
`
`stationary discharge (pre-ionization stage).”) (Ex. 1203).
`
`57. Moreover, the density of Mozgrin’s pre-ionized plasma matches the
`
`exemplary density for weakly-ionized plasma given in the ‘142 Patent. ‘142 Patent
`
`at claim 17 (“wherein the peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm˗3”) (Ex. 1201); Mozgrin at 401, right col, ¶2 (“[f]or pre-
`
`- 21 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`ionization, we used a stationary magnetron discharge; … provided the initial
`
`plasma density in the 109 – 1011 cm˗3 range.”) (Ex. 1203).
`
`58. Finally, Mozgrin’s weakly-ionized plasma is proximate to the cathode
`
`“2” as shown in Mozgrin’s Figs. 1 and 6. Mozgrin at 401, left col, ¶ 1 (“The
`
`[plasma] discharge had an annular shape and was adjacent to the cathode.”) (Ex.
`
`1203).
`
`(2)
`“the weakly-ionized plasma reducing the
`probability of developing an electrical breakdown
`condition between the anode and the cathode”
`
`59. 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 plasma (Mozgrin’s region 1) reduces “the probability of
`
`developing an electrical breakdown condition between the anode and the cathode.”
`
`(a) The Patent Owner mischaracterized Mozgrin
`during prosecution of the related U.S. Pat. No.
`7,147,759
`
`60. The ‘142 Patent (Ex. 1201) and the ’759 Patent (Ex. 1212) name the
`
`same inventor and are owned by a common assignee. Both patents are asserted in
`
`related litigation (Ex. 1222). I understand that during prosecution of the ‘759
`
`Patent, the Patent Owner argued that Mozgrin does not teach “without forming an
`
`- 22 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`arc.” See 05/02/06 Resp. of ‘759 Patent file history at 2, 5, 7 and 13-16 (Ex. 1213).
`
`However, the Patent Owner was wrong. Mozgrin does teach “without forming an
`
`arc” as required by the ‘759 patent as well as “reducing the probability of
`
`developing an electrical breakdown condition” as required by the ‘142 patent.
`
`61. 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 (Mozgrin’s region 4). However, if the current is limited, the
`
`plasma will remain in the arc-free regions 2 (sputtering) or 3 (etching).
`
`62. Mozgrin is an academic paper and it explores all regions, including
`
`the arc discharge region, so as to fully characterize the plasma. But Mozgrin’s
`
`discussion of arcing does not mean that arcing is inevitable. Rather, Mozgrin’s
`
`explanation of the conditions under which arcing occurs provides a recipe for
`
`avoiding arcs. 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.”) (Ex. 1203).
`
`63. One of ordinary skill would understand that the arc discharge region
`
`should be avoided during plasma generation that is used for applications such as
`
`sputtering or etching. For example, Manos and Flamm, a well-known textbook on
`
`- 23 -
`
`

`
`Kortshagen Declaration
`’142 Patent, Claims 21, 24, 26-28, 31, 32, 37 and 38
`
`
`plasma processing, which was published in 1989, over a decade before the ‘142
`
`Patent was filed, states that “arcs…are a problem…” Manos at 231 (Ex. 1214).
`
`64. One of ordinary skill would further understand that Mozgrin’s arc
`
`region can be avoided, such as by generating a weakly-ionized plasma as explained
`
`above. Mozgrin’s determination of conditions that cause transition to the arc
`
`regime is useful because it teaches one of ordinary skill how to avoid arcs.
`
`65. Specifically, one of ordinary skill reading Mozgrin would understand
`
`that controlling discharge parameters, such as by generating the weakly-ionized
`
`plasma, causes the plasma to remain in the arc-free regions 2 (sputtering) or 3
`
`(etching). See Mozgrin at 406, right col, ¶3 (Ex. 1203).
`
`d)
`
`“a power supply…”
`(1)
`“a power supply that produces an electric field
`across the gap”
`
`66. Mozgrin’s Fig. 3(b) shows a voltage pulse generated by the “high-
`
`voltage supply unit” of Mozgrin’s power supply (shown in Mozgrin’s Fig. 2 (Ex.
`
`1203)). Region 1 of Mozgrin’s Fig. 3(b) represents the voltage used for pre-
`
`ionization, corresponding to generation of the weakly-ionized plasma. Mozgrin at
`
`402, right col, ¶ 2 (“Part 1 in the voltage oscillogram represents the voltage of the
`
`stationary discharge (pre-ionization stage).”) (Ex. 1203). Region 2a of Mozgrin’s
`
`Fig. 3(b) represents a voltage pulse that is applied to the weakly-

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