EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`
`References cited herein:
` U.S. Pat. No. 6,853,142 (“’142 Patent”)
`
` 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”)
`
` 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”)
`
` 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”)
`
` Dennis M. Manos & Daniel L. Flamm, Plasma Etching: An Introduction, Academic Press
`1989 (“Manos”)
`
` Milton Ohring, The Material Science of Thin Films, Academic Press, 1992 (“Ohring”)
`
` Yu. P. Raizer, Gas Discharge Physics, Springer, 1991 (“Raizer”)
`
`
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`[21pre.] An apparatus for generating a
`strongly-ionized plasma, the apparatus
`comprising:
`
`The combination of Mozgrin and Kudryavstev discloses an
`apparatus for generating a strongly-ionized plasma.
`
`‘142 Patent at claim 18 (“wherein the peak plasma density
`of the strongly-ionized plasma is greater than about
`1012 cm˗3”)
`
`Mozgrin at Fig 1
`
`Mozgrin at 400, right col, ¶ 4 (“To study the high-current
`forms of the discharge, we used two types of devices: a
`planar magnetron and a ystem with specifically shaped
`hollow electrodes.”)
`
`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 at 409, left col, ¶5 (“The high-current diffuse
`discharge (regime 3) is useful for producing large-volume
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`[21a.] an anode;
`
`uniform dense plasmas ni  1.5x1015cm-3…”).
`The combination of Mozgrin and Kudryavstev discloses an
`anode.
`
`‘142 Patent at 2:21-22 (“FIG. 1 illustrates a cross-sectional
`view of a known plasma generating apparatus 100…”)
`
`’142 Patent at 2:45-46 (“An anode 130 is positioned in the
`vacuum chamber 104 proximate to the cathode 114.”)
`
`Mozgrin at Fig. 1
`
`Mozgrin at 401, Fig. 1 caption (“Fig. 1… (1) Cathode; (2)
`anode; …”)
`
`[21b.] a cathode that is positioned adjacent
`to the anode and forming a gap there
`between;
`
`The combination of Mozgrin and Kudryavstev discloses a
`cathode that is positioned adjacent to the anode and
`forming a gap there between.
`
`[21c.] an ionization source that generates a
`weakly-ionized plasma proximate to the
`cathode, the weakly-ionized plasma
`reducing the probability of developing an
`electrical breakdown condition between
`the anode and the cathode; and
`
`‘142 Patent at 2:21-22 (“FIG. 1 illustrates a cross-sectional
`view of a known plasma generating apparatus 100…”)
`
`’142 Patent at 2:45-46 (“An anode 130 is positioned in the
`vacuum chamber 104 proximate to the cathode 114.”)
`
`Mozgrin at Fig. 1
`
`Mozgrin at 401, Fig. 1 caption (“Fig. 1… (1) Cathode; (2)
`anode; …”)
`
`The combination of Mozgrin and Kudryavstev discloses an
`ionization source that generates a weakly-ionized plasma
`proximate to the cathode, the weakly-ionized plasma
`reducing the probability of developing an electrical
`breakdown condition between the anode and the cathode.
`
`‘142 Patent at 5:18-19 (“The weakly-ionized plasma is also
`referred to as a pre-ionized plasma.”)
`
`‘142 Patent at claim 17 (“wherein the peak plasma density
`of the weakly-ionized plasma is less than about 1012 cm˗3”)
`
`Mozgrin at Figs. 1, 2, 3, 6, 7
`
`Mozgrin at 401, left col, ¶ 1 (“The [plasma] discharge had
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`an annular shape and was adjacent to the cathode.”)
`
`Mozgrin at 401, left col, ¶ 4 (“[A]pplying 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˗3 range.”)
`
`Mozgrin at 400, right col, ¶ 3 (“We investigated the
`discharge regimes in various gas mixtures at 10-3 – 10
`torr…”)
`
`Mozgrin at 402, ¶ spanning left and right cols (“We studied
`the high-current discharge in wide ranges of discharge
`current…and operating pressure…using various gases (Ar,
`N2, SF6, and H2) or their mixtures of various
`composition…”)
`
`Mozgrin at 406, right col, ¶3 (“pre-ionization was not
`necessary; however, in this case, the probability of
`discharge transferring to arc mode increased.”)
`
`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.”)
`
`Background:
`
`Manos at 231 (“We shall … [include] information on
`unipolar arcs. These are a problem…”)
`
`Manos at 237 (“When such an arc occurs, the metal object
`is melted at the arc spot. The metal is explosively
`released…. How does one prevent such an arc? There are
`several methods…”)
`
`[21d.] a power supply that produces an
`
`The combination of Mozgrin and Kudryavstev discloses a
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`electric field across the gap, the electric
`field generating excited atoms in the
`weakly-ionized plasma and generating
`secondary electrons from the cathode, the
`secondary electrons ionizing the excited
`atoms, thereby creating the strongly-
`ionized plasma.
`
`power supply that produces an electric field across the gap,
`the electric field generating excited atoms in the weakly-
`ionized plasma and generating secondary electrons from
`the cathode, the secondary electrons ionizing the excited
`atoms, thereby creating the strongly-ionized plasma.
`
`‘142 Patent at 1:41-43 (“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.”)
`
`‘142 Patent at 1:37-40 (“The plasma is replenished by
`electron-ion pairs formed by the collision of neutral
`molecules with secondary electrons generated at the target
`surface.”)
`
`Mozgrin at Figs. 1, 2, 3
`
`Mozgrin at 402, right col, ¶ 2 (“Part 1 in the voltage
`oscillogram represents the voltage of the stationary
`discharge (pre-ionization stage).”)
`
`Mozgrin at 401, right col, ¶ 1 (“Thus, the supply unit was
`made providing square voltage and current pulses with
`[rise] times (leading edge) of 5 – 60 µs…”)
`
`Mozgrin at 401, ¶ spanning left and right cols (“[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 403, right col, ¶4 (“Regime 2 was characterized
`by intense cathode sputtering due to both high energy and
`density of ion flow.”)
`
`Kudryavtsev at Figs. 1, 6
`
`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.”)
`
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`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 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 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
`accumulation of atoms in the lowest excited states.”)
`
`Kudryavtsev at 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 … 2e [is] the rate
`coefficient[]….”)
`
`See evidence recited in [1pre] of claim 1.
`
`It would have been obvious to one of ordinary skill to
`combine Mozgrin with Kudryavtsev. Mozgrin itself cites
`Kudryavtsev. Moreover, Mozgrin explicitly notes that it
`was designed in accordance with Kudryavtsev. Mozgrin at
`401, ¶ spanning left and right columns (“Designing the
`[pulsed supply] unit, we took into account the dependences
`which had been obtained in [Kudryavtsev].”). Further,
`Kudryavtsev states, “[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 34, right
`col, ¶ 4. Because Mozgrin applies voltage pulses that
`“suddenly generate an electric field,” one of ordinary skill
`reading Mozgrin would have been motivated to consider
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`24. The apparatus of claim 21 wherein the
`electric field comprises a quasi-static
`electric field.
`
`Kudryavtsev to further appreciate the effects of applying
`Mozgrin’s pulse.
`
`If one of ordinary skill, applying Mozgrin’s power levels
`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 yielded predictable results of increasing
`plasma density and multi-step ionization.
`
`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 the
`target.”)
`The combination of Mozgrin, Kudryavtsev, and the
`Mozgrin Thesis discloses the electric field comprises a
`quasi-static electric field.
`
`See evidence cited in claim 21.
`
`‘142 Patent, 7:16-19 (“In another embodiment, the electric
`field 236 is a quasi –static electric field. By quasi-static
`electric field we mean an electric field that has a
`characteristic time of electric field variation that is much
`greater than the collision time for electrons with neutral gas
`particles.”)
`
`Mozgrin at pp. 407-8, Tables 1 and 2 (“0.1 Torr”)
`
`For 0.1 Torr, a pressure in Mozgrin’s disclosed range, the
`collision frequency is 0.53 x 109 s-1 (i.e., (5.3 x 109 s-1
`Torr-1)x(0.1 Torr) = 0.53 x 109 s-1). Therefore, Mozgrin’s
`collision time was therefore approximately 1.88
`nanoseconds ( 1/0.53x109 s).
`
`Mozgrin, at 402, Fig. 3 caption, (“Fig. 3. Oscillograms of
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`…(50 µs per div., …”)
`
`Mozgrin Thesis at Fig. 3.2
`
`
`It would have been obvious for one of ordinary skill to
`combine Mozgrin and Kudryavtsev with the Mozgrin
`Thesis. Both Mozgrin and Mozgrin Thesis are written by
`the same author, address similar subject matter, and
`describe the same research. The Mozgrin Thesis merely
`provides additional detail for the material already disclosed
`in Mozgrin. Thus, a person of ordinary skill would have
`combined the Mozgrin Thesis with Mozgrin to add
`additional details not present in Mozgrin.
`
`Further, it would have been obvious to one of ordinary skill
`to combine Mozgrin with Kudryavtsev at least because
`Mozgrin itself cites Kudryavtsev and Mozgrin explicitly
`notes that it was designed in accordance with 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].” The Mozgrin Thesis also cites
`Kudryavtsev as paper [69]. Mozgrin Thesis at 118.
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`EXHIBIT D.02
`U.S. Patent No. 6,853,142
`
`‘142 Claims 24 and 32
`
`Mozgrin in view of Kudryavtsev and Mozgrin Thesis
`
`[31pre]. A method for generating a
`strongly-ionized plasma, the method
`comprising:
`
`Raizer at 11, §2.1.4, (“The collision frequency m is
`proportional to…pressure p.”).
`
`Raizer at Table 2.1 (“m/p = 5.3 x 109 s-1 Torr-1.”)
`
`The combination of Mozgrin and Kudryavstev discloses a
`method for generating a strongly-ionized plasma.
`
`See evidence cited in limitation [21pre] of claim 21.
`
`
`
`[31a] ionizing a feed gas to generate a
`weakly-ionized plasma proximate to a
`cathode, the weakly-ionized plasma
`reducing the probability of developing an
`electrical breakdown condition proximate
`to the cathode;
`
`The combination of Mozgrin and Kudryavstev discloses
`ionizing a feed gas to generate a weakly-ionized plasma
`proximate to a cathode, the weakly-ionized plasma
`reducing the probability of developing an electrical
`breakdown condition proximate to the cathode.
`
`See evidence cited in limitation [21c] of claim 21.
`
`[31b] and applying an electric field across
`the weakly-ionized plasma in order to
`excite atoms in the weakly-ionized plasma
`and to generate secondary electrons from
`the cathode, the secondary electrons
`ionizing the excited atoms, thereby
`creating the strongly-ionized plasma.
`
`The combination of Mozgrin and Kudryavstev discloses
`applying an electric field across the weakly-ionized plasma
`in order to excite atoms in the weakly-ionized plasma and
`to generate secondary electrons from the cathode, the
`secondary electrons ionizing the excited atoms, thereby
`creating the strongly-ionized plasma.
`
`See evidence cited in limitation [21d] of claim 21.
`
`32. The method of claim 31 wherein the
`applying the electric field comprises
`applying a quasi-static electric field.
`
`The combination of Mozgrin, Kudryavtsev, and the
`Mozgrin Thesis discloses the applying the electric field
`comprises applying a quasi-static electric field.
`
`See evidence cited in claim 31.
`
`See evidence cited in claim 24.
`
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