`Petition for Inter Partes Review
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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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`ADVANCED MICRO DEVICES, INC., RENESAS ELECTRONICS
`CORPORATION, RENESAS ELECTRONICS AMERICA, INC.,
`GLOBALFOUNDRIES U.S., INC., GLOBALFOUNDRIES DRESDEN
`MODULE ONE LLC & CO. KG, GLOBALFOUNDRIES DRESDEN MODULE
`TWO LLC & CO. KG, TOSHIBA AMERICA ELECTRONIC COMPONENTS,
`INC., TOSHIBA AMERICA INC., TOSHIBA AMERICA INFORMATION
`SYSTEMS, INC., AND TOSHIBA CORPORATION.
`Petitioner
`
`v.
`
`ZOND, INC.
`Patent Owner
`
`Case No. _____
`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 7,604,716
`CHALLENGING CLAIMS 14-18 AND 25-32
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
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`U.S. PATENT 7,604,716
`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 ............................................... - 3 -
`B. Grounds for Challenge ............................................................................. - 3 -
`IV. Brief Description of Technology ................................................................. - 4 -
`A. Plasma ....................................................................................................... - 4 -
`B.
`Ions and Excited Atoms ........................................................................... - 5 -
`V. Overview of the ‘716 Patent ......................................................................... - 6 -
`A. Summary of Alleged Invention of the ’716 Patent .................................. - 6 -
`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 ........................................................................ - 9 -
`D. Overview of Wang ................................................................................. - 10 -
`VII. Claim Construction ................................................................................. - 11 -
`A.
`“weakly-ionized plasma” and “strongly-ionized plasma” ..................... - 12 -
`VIII. Specific Grounds for Petition ................................................................. - 13 -
`A. Ground I: Claims 14-18 and 25-32 are obvious in view of the combination
`of Mozgrin and Kudryavtsev .......................................................................... - 14 -
`1.
`Independent claim 14 is obvious in view of the combination of Mozgrin
`and Kudryavtsev ......................................................................................... - 14 -
`2.
`Independent claim 26 is obvious in view of the combination of Mozgrin
`and Kudryavtsev ......................................................................................... - 25 -
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`3. Dependent claims 15-18, 25 and 27-32 are obvious in view of the
`combination of Mozgrin and Kudryavtsev ................................................. - 29 -
`B. Ground II: Claims 14-18 and 25-32 are obvious over Wang in view of
`Kudryavtsev .................................................................................................... - 40 -
`1.
`Independent claim 14 is obvious in view of the combination of Wang and
`Kudryavtsev ................................................................................................ - 41 -
`2.
`Independent claim 26 is obvious in view of the combination of Wang and
`Kudryavtsev ................................................................................................ - 48 -
`3. Dependent claims 15-18, 25, and 27-32 are obvious in view of the
`combination of Wang and Kudryavtsev ..................................................... - 52 -
`IX. Conclusion ................................................................................................. - 60 -
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`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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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`I. MANDATORY NOTICES
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`A. Real Party-in-Interest
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`Advanced Micro Devices, Inc., Renesas Electronics Corporation, Renesas
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`Electronics America, Inc., GLOBALFOUNDRIES U.S., Inc.,
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`GLOBALFOUNDRIES Dresden Module One LLC & Co. KG,
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`GLOBALFOUNDRIES Dresden Module Two LLC & Co. KG, Toshiba America
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`Electronic Components, Inc., Toshiba America Inc., Toshiba America Information
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`Systems, Inc., and Toshiba Corporation (collectively, “Petitioner”) are the real
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`parties-in-interest.
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`B. Related Matters
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`Zond has asserted U.S. Patent No. 7,604,716 (“’716 Patent”) (Ex. 1201) against
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`numerous parties in the District of Massachusetts. 1:13-cv-11570-RGS; 1:13-cv-
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`11577-DPW; 1:13-cv-11581-DJC); 1:13-cv-11591-RGS; 1:13-cv-11625-NMG;
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`1:13-cv-11634-WGY; and 1:13-cv-11567-DJC. Petitioner is filing Petitions for
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`Inter Partes review in several patents related1 to the ’716 Patent. The below-listed
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`claims of the ’716 Patent are presently the subject of four similar petitions for
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`inter partes review with Case Nos. IPR2014-00522, IPR2014-00807, IPR2014-
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`00846, IPR2014-00974. Petitioner plans to seek joinder with IPR2014-00522.
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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 7,604,716
`Petition for Inter Partes Review
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`LEAD COUNSEL: Robinson Vu (Reg. No. 60,211). BACKUP COUNSEL: Ryan
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`K. Yagura (Reg. No. 47,191); Xin-Yi Zhou (Reg. No. 63,366), John Feldhaus
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`(Reg. No. 28,822), Pavan Agarwal (Reg. No. 40,888), Mike Houston (Reg. No.
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`58,486), David M. Tennant (Reg. No. 48,362), and Brian M. Berliner (Reg. No.
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`34,549).
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`D.
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`Service Information
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`Pursuant to 37 C.F.R. § 42.8(b)(4), papers concerning this matter should be served
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`on the following. Petitioner consents to electronic service. Robinson Vu
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`robinson.vu@bakerbotts.com; Brian M. Berliner, Ryan K. Yagura, Xin-Yi Zhou
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`bberliner@omm.com; ryagura@omm.com; vzhou@omm.com; John Feldhaus,
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`Pavan Agarwal, Mike Houston ; jfeldhaus@foley.com; pagarwal@foley.com;
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`mhouston@foley.com; David M. Tennant dtennant@whitecase.com.
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`II. CERTIFICATION OF GROUNDS FOR STANDING
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`Petitioner certifies pursuant to Rule 42.104(a) that the patent for which review is
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`sought is available for inter partes review and that Petitioner is not barred or
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`estopped from requesting an inter partes review challenging the patent claims on
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`the grounds identified in this Petition.
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`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED
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`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)-(2), Petitioner challenges claims
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`14-18 and 25-32 of the ’716 Patent.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`A.
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`Prior Art Patents and Printed Publications
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`The following references are pertinent to the grounds of unpatentability
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`explained below: 2 1. D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-
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`Stationary Discharge in a Magnetic Field: Experimental Research, Plasma Physics
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`Reports, Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1203)), which is prior
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`art under 102(b). 2.
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`U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1204)), which is
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`prior art under 102(a) and (e). 3.
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`A. A. Kudryavtsev and V.N. Skerbov,
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`Ionization relaxation in a plasma produced by a pulsed inert-gas discharge, Sov.
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`Phys. Tech. Phys. 28(1), pp. 30-35, January 1983 (“Kudryavtsev” (Ex. 1205)),
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`which is prior art under 102(b).
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`B. Grounds for Challenge
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`Petitioner requests cancellation of claims 14-18 and 25-32 of the ’716 Patent
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`as unpatentable under 35 U.S.C. §103. This Petition, supported by the declaration
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`of Dr. Uwe Kortshagen (“Kortshagen Decl.” (Ex. 1202)) filed herewith,
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`demonstrates that there is a reasonable likelihood that Petitioner will prevail with
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`2 The ‘716 Patent issued prior to the America Invents Act (the “AIA”).
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`Accordingly, Petitioner has chosen to use the pre-AIA statutory framework to refer
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`to the prior art.
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`respect to at least one challenged claim and that each challenged claim is not
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`patentable.3 See 35 U.S.C. § 314(a).
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`IV. BRIEF DESCRIPTION OF TECHNOLOGY
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`A.
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`Plasma
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`A plasma is a collection of ions, free electrons, and neutral atoms.
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`Kortshagen Decl. ¶ 21 (Ex. 1202). The negatively charged free electrons and
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`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. Id. (Ex. 1202).4
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`Plasma had been used in research and industrial applications for decades before the
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`‘716 patent was filed. Kortshagen Decl. ¶ 22 (Ex. 1202). For example, sputtering
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`is an industrial process that uses plasmas to deposit a thin film of a target material
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`onto a surface called a substrate (e.g., silicon wafer during a semiconductor
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`3 The term “challenged claims” as used herein refers to claims 14-18 and 25-32 of
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`the ‘716 Patent. Petitioner seeks to invalidate the remaining claims of the ‘716
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`Patent in separate petitions.
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`4 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. ¶ 21, FN 1 (Ex. 1202).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`manufacturing operation). Id. (Ex. 1202). Ions in the plasma strike a target
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`surface causing ejection of a small amount of target material. Id. (Ex. 1202). The
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`ejected target material then forms a film on the substrate. Id. (Ex. 1202). Under
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`certain conditions, electrical arcing can occur during sputtering. Kortshagen Decl.
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`¶ 23 (Ex. 1202). Arcing is undesirable because it causes explosive release of
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`droplets from the target that can splatter on the substrate. Id. (Ex. 1202). The need
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`to avoid arcing while sputtering was known long before the ‘716 Patent was filed.
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`Id. (Ex. 1202).
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`B.
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`Ions and Excited Atoms
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`Atoms have equal numbers of protons and electrons. Kortshagen Decl. ¶ 24
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`(Ex. 1202). Each electron has an associated energy state. Id. (Ex. 1202). If all of
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`an atom’s electrons are at their lowest possible energy state, the atom is said to be
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`in the “ground state.” Id. (Ex. 1202). On the other hand, if one or more of an
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`atom’s electrons is in a state that is higher than its lowest possible state, then the
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`atom is said to be an “excited atom.” Kortshagen Decl. ¶ 25 (Ex. 1202). Excited
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`atoms are electrically neutral– they have equal numbers of electrons and protons.
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`Id. (Ex. 1202). A collision with a free electron (e-) can convert a ground state
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`atom to an excited atom. Id. (Ex. 1202). For example, the ‘716 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 ‘716 Patent at 9:7 (Ex. 1201).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`Ar + e- (cid:1) 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. ¶ 26 (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. Id. (Ex.
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`1202). For example, the ‘716 Patent uses the following equations to describe
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`production of an argon ion, Ar+, from a ground state argon atom, Ar, or an excited
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`argon atom, Ar*. See ‘716 Patent at 2:65 and 9:9 (Ex. 1201).
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`Ar + e- (cid:1) Ar+ + 2e-
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`Ar* + e- (cid:1) Ar+ + 2e-
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`The production of excited atoms and ions was well understood long before
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`the ‘716 patent was filed. Kortshagen Decl. ¶ 27 (Ex. 1202).
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`V. OVERVIEW OF THE ‘716 PATENT
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`A.
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`Summary of Alleged Invention of the ’716 Patent
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`The ‘716 Patent describes generating a plasma by applying a electrical pulse
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`in a manner that allegedly reduces the probability of arcing. Kortshagen Decl. ¶ 28
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`(Ex. 1202). More specifically, the claims of the ‘716 Patent are generally directed
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`to generating a, so called, “weakly-ionized plasma” and then applying an electrical
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`pulse to increase the density of that plasma so as to form a “strongly-ionized
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`plasma.” Id. at ¶ 29 (Ex. 1202). The weakly-ionized plasma is claimed to reduce
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`the probability of forming an electrical breakdown condition. Id. (Ex. 1202).
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`Specific claims are directed to further operational details such as supplying a feed
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`gas to the plasma, characteristics of the electrical pulse, generating a magnetic field
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`and the type of power supply used. Id. at ¶ 30 (Ex. 1202).
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`B.
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`Prosecution History
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`The ‘716 patent is a continuation of U.S. Pat. App. No. 10/065,629 (now
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`U.S. Pat. No. 6,853,142) (Ex. 1206). See ‘716 Patent at Certificate of Correction
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`(Ex. 1201). The first substantive office action rejected all independent claims as
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`anticipated. See 03/27/08 Office Action at 2 (Ex. 1207). The applicant then
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`amended every independent claim to require “substantially eliminating the
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`probability of developing an electrical breakdown condition in the chamber” and
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`“without developing an electrical breakdown condition in the chamber” or similar
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`limitations. See 09/24/08 Resp. (Ex. 1208). Following that amendment, the claims
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`were allowed. The Notice of Allowance explicitly recites these limitations as the
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`examiner’s reasons for allowance. 06/11/09 Allowance at 2 (“The closest prior art
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`of record Kouznetsov WO 98/40532 fails to teach the claimed elements including
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`‘substantially eliminating the probability of developing an electrical breakdown
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`condition in the chamber’ and ‘without developing an electrical breakdown
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`condition in the chamber.”) (Ex. 1209). However, as explained in detail below,
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`and contrary to the Examiner’s reasons for allowance, the prior art addressed
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`herein teaches those and all other limitations of the challenged claims. Kortshagen
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`Decl. ¶ 33 (Ex. 1202).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`VI. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
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`A.
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`Summary of the Prior Art
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`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 ‘716 Patent. Id. at ¶ 34 (Ex. 1202).
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`B. Overview of Mozgrin5
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`Mozgrin teaches forming a plasma
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`“without forming an arc discharge.” Id.
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`at ¶ 35 (Ex. 1202). Fig. 7 of Mozgrin,
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`copied below, shows the current-voltage
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`characteristic (“CVC”) of a plasma
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`discharge. 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. ¶ 38 (Ex.
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`1202). Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin at
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`409, left col, ¶ 4 (“The implementation of the high-current magnetron discharge
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`(regime 2)…” (emphasis added)) (Ex. 1203). Kortshagen Decl. ¶ 39 (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. Id. (Ex. 1202). Mozgrin teaches that region 2 is useful for
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`5 Mozgrin is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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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). See also Kortshagen Decl. ¶ 39 (Ex.
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`1202). Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at 409,
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`left col, ¶ 5, (“The high-current diffuse discharge (regime 3)…” (emphasis
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`added)) (Ex. 1203). Kortshagen Decl. ¶ 40 (Ex. 1202). Increasing the current
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`applied to the “high-current magnetron discharge” (region 2) causes the plasma to
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`transition to region 3. Kortshagen Decl. ¶ 40 (Ex. 1202). Mozgrin also teaches
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`that region 3 is useful for etching, i.e., removing material from a surface. Mozgrin
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`at 409, left col, ¶ 5 (“The high-current diffuse discharge (regime 3) is useful …
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`Hence, it can enhance the efficiency of ionic etching…”) (Ex. 1203). See also
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`Kortshagen Decl. ¶ 40 (Ex. 1202). Mozgrin calls region 4 “arc discharge.”
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`Mozgrin at 402, right col, ¶ 3 (“…part 4 corresponds to the high-current low-
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`voltage arc discharge…” (emphasis added)) (Ex. 1203). Kortshagen Decl. ¶ 41
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`(Ex. 1202). Further increasing the applied current causes the plasma to transition
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`from region 3 to the “arc discharge” region 4. Id. (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. Id. at ¶ 42 (Ex. 1202).
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`C. Overview of Kudryavtsev
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`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. 1205). See also
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`Kortshagen Decl. ¶ 43 (Ex. 1202). In particular, Kudryavtsev describes how
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`ionization of a plasma can occur via different processes. Id. (Ex. 1202). The first
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`process is direct ionization, in which ground state atoms are converted directly to
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`ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1205). See also Kortshagen
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`Decl. ¶ 43 (Ex. 1202). The second process is multi-step ionization, which
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`Kudryavtsev calls stepwise ionization. See, e.g., Kudryavtsev at Fig. 6 caption
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`(Ex. 1205). See also Kortshagen Decl. ¶ 43 (Ex. 1202). Kudryavtsev notes that
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`under certain conditions multi-step ionization can be the dominant ionization
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`process. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1205). See also Kortshagen
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`Decl. ¶ 43 (Ex. 1202). Mozgrin took into account the teachings of Kudryavtsev
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`when designing his experiments. Mozgrin at 401, ¶ spanning left and right cols.
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`(“Designing the unit, we took into account the dependences which had been
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`obtained in [Kudryavtsev]…”) (Ex. 1203). See also Kortshagen Decl. ¶ 43 (Ex.
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`1202). Kudryavtsev was not of record during the prosecution of the ‘716 Patent.
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`D. Overview of Wang
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`Wang6 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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`6 Wang is art of record, but was not substantively applied during prosecution.
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`power Wang applies to the plasma. The lower power level, PB, is generated by the
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`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. ¶ 45 (Ex. 1202). Wang’s lower power level, PB, maintains the
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`plasma after ignition
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`and application of the
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`higher power level, PP,
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`raises the density of the
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`plasma. Wang at 7:17-
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`31 (“The background
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`power level, PB, is
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`chosen to exceed the
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`minimum power necessary to support a plasma... [T]he application of the high
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`peak power, PP, quickly causes the already existing plasma to spread and increases
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`the density of the plasma.”) (Ex. 1204). Kortshagen Decl. ¶ 45 (Ex. 1202). Wang
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`applies the teachings of Mozgrin and Kudryavtsev in a commercial, industrial
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`plasma sputtering device. Id. (Ex. 1202).
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`VII. CLAIM CONSTRUCTION
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`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 7,604,716
`Petition for Inter Partes Review
`definition in the specification is therefore also given a broad interpretation.7 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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`A.
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`“weakly-ionized plasma” and “strongly-ionized plasma”
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`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. ¶ 47
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`(Ex. 1202). With reference to Fig. 3, the ‘716 Patent describes forming a weakly-
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`ionized plasma between times t1 and t2 by application of the low power 302 and
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`7 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 7,604,716
`Petition for Inter Partes Review
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`then goes on to describe forming a strongly-ionized plasma by application of
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`higher power 304. ‘716 Patent at 11:24-30; 11:66-12:6 (Ex. 1201). See also
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`Kortshagen Decl. ¶ 47 (Ex. 1202). The ‘716 Patent also provides exemplary
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`densities for the weakly-ionized and strongly-ionized plasmas. See ‘716 Patent at
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`claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
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`than about 1012 cm˗3”); claim 24 (“wherein the peak plasma density of the strongly-
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`ionized plasma is greater than about 1012 cm˗3”) (Ex. 1201). See also Kortshagen
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`Decl. ¶ 47 (Ex. 1202). Thus, the proposed construction for “weakly-ionized
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`plasma” is “a lower density plasma.” Likewise, the proposed construction for
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`“strongly-ionized plasma” is “a higher density plasma.” Petitioner’s proposed
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`construction is consistent with the position the Patent Owner has taken in other
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`jurisdictions. For example, the Patent Owner, when faced with a clarity objection
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`during prosecution of a related European patent application, argued that “it is [sic]
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`would be entirely clear to the skilled man, not just in view of the description, that a
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`reference to a ‘weakly-ionised plasma’ in the claims indicates a plasma having an
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`ionisation level lower than that of a ‘strongly-ionized plasma’ and there can be no
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`lack of clarity.” 04/21/08 Response in EP 1560943 (Ex. 1210).
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`VIII. SPECIFIC GROUNDS FOR PETITION
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`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in
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`the Kortshagen Decl. ¶ 50 (Ex. 1202), demonstrate in detail how the prior art
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`discloses each and every limitation of claims 14-18 and 25-32 of the ’716 Patent,
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`and how those claims are rendered obvious by the prior art.
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`A. Ground I: Claims 14-18 and 25-32 are obvious in view of the
`combination of Mozgrin and Kudryavtsev
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`The claim chart that Intel Corporation (“Intel”) served on Feb. 11, 2014 in
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`its litigation involving the Intel and the Patent Owner, showing that claims 14-18
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`and 25-32 are obvious in view of the combination of Mozgrin and Kudryavtsev, is
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`submitted hereto as Exhibit 1215 (Ex. 1215). Dr. Kortshagen reviewed that chart
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`and agrees with it. Kortshagen Decl. ¶ 52 (Ex. 1202).
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`1.
`Independent claim 14 is obvious in view of the combination of
`Mozgrin and Kudryavtsev
`
`a)
`
`The preamble
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`Claim 14 begins, “[a] method for generating a strongly-ionized plasma.” As
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`shown in Fig. 1, Mozgrin teaches generating plasma in “two types of devices: a
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`planar magnetron and a system with specifically shaped hollow electrodes.”
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`Mozgrin at Fig. 1; 400, right col, ¶ 4. (Ex. 1203). See also Kortshagen Decl. ¶ 54
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`(Ex. 1202). The densities in Mozgrin’s regions 1-3 are summarized below.
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`• Region 1: 109 – 1011 cm-3.8
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`• Region 2: exceeding 2x1013 cm-3.9
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`8 Mozgrin at 401, right col, ¶2 (“For pre-ionization … the initial plasma density in
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`the 109 – 1011 cm-3 range.”) (Ex. 1203).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`• Region 3: 1.5x1015 cm-3.10
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`Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
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`Kortshagen Decl. ¶ 55 (Ex. 1202). The density in those regions matches the
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`exemplary density given for a strongly-ionized plasma in the ‘716 Patent. ‘716
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`Patent at claim 24 (“wherein the peak plasma density of the strongly-ionized
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`plasma is greater than about 1012 cm˗3”) (Ex. 1201). See also Kortshagen Decl. ¶
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`55 (Ex. 1202). Mozgrin therefore teaches the preamble. Id. (Ex. 1202).
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`b)
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`Limitation (a)
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`(1)
`“ionizing a feed gas in a chamber to form a
`weakly-ionized plasma”
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`The ‘716 Patent uses the terms “weakly-ionized plasma” and “pre-ionized
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`plasma” synonymously. ‘716 Patent at 5:14-15 (“The weakly-ionized plasma 232
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`is also referred to as a pre-ionized plasma.”) (Ex. 1201). See also Kortshagen
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`Decl. ¶ 56 (Ex. 1202). Mozgrin’s power supply (shown in Fig. 2) generates a pre-
`
`
`9 Mozgrin at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
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`discharge (regime 2) in sputtering … plasma density (exceeding 2x1013 cm-3).”)
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`(Ex. 1203).
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`10 Mozgrin at 409, left col, ¶5 (“The high-current diffuse discharge (regime 3) is
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`useful for producing large-volume uniform dense plasmas ni @
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` 1.5x1015cm-3…”).
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`(Ex. 1203).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`ionized plasma in Mozgrin’s region 1. Mozgrin at 402, right col, ¶2 (“Figure 3
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`shows typical voltage and current oscillograms.… Part 1 in the voltage
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`oscillogram represents the voltage of the stationary discharge (pre-ionization
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`stage).”) (Ex. 1203). See also Kortshagen Decl. ¶ 56 (Ex. 1202). Moreover, the
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`density of Mozgrin’s pre-ionized plasma matches the exemplary density for
`
`weakly-ionized plasma given in the ‘716 Patent. ‘716 Patent at claim 23 (“wherein
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`a peak plasma density of the weakly-ionized plasma is less than about 1012 cm˗3”)
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`(emphasis added) (Ex. 1201); Mozgrin at 401, right col, ¶2 (“[f]or pre-ionization,
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`we used a stationary magnetron discharge; … provided the initial plasma density
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`in the 109 – 1011 cm˗3 range.”) (Ex. 1203) (emphasis added). See also Kortshagen
`
`Decl. ¶ 57 (Ex. 1202). Mozgrin also teaches generating its plasma from feed gasses
`
`such as Argon and Nitrogen. Mozgrin at 400, right col, ¶ 3 (“We investigated the
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`discharge regimes in various gas mixtures at 10-3 – 10 torr…”) (emphasis added);
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`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,
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`SF6, and H2) or their mixtures of various composition…”) (emphasis added) (Ex.
`
`1203). See also Kortshagen Decl. ¶ 58 (Ex. 1202). Finally, Mozgrin’s weakly-
`
`ionized plasma was generated between the anode and cathode, both of which reside
`
`within a chamber. See also Kortshagen Decl. ¶ 59 (Ex. 1202). For example,
`
`Mozgrin states “[t]he gas from the discharge volume was pumped out; minimal
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`residual gas pressure was about 8 x 10-6 torr.” Mozgrin at 401, left col, ¶ 3 (Ex.
`
`1203). That is, Mozgrin pumped the gas out to achieve a desired base pressure
`
`within the chamber. See also Mozgrin at Figs. 1 and 6 (Ex. 1203). See also
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`Kortshagen Decl. ¶ 59 (Ex. 1202).
`
`(2)
`“that substantially eliminates the probability of
`developing an electrical breakdown condition in the
`chamber”
`
`Mozgrin states “pre-ionization was not necessary; however, in this case, the
`
`probability of discharge transferring to arc mode increased.” Mozgrin at 406, right
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`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
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`plasma (Mozgrin’s region 1) reduces “the probability of developing an electrical
`
`breakdown condition proximate to the cathode.” Kortshagen Decl. ¶ 60 (Ex.
`
`1202).
`
`(a) The Patent Owner mischaracterized Mozgrin
`during prosecution of the related U.S. Pat. No.
`7,147,759
`
`The ‘716 Patent (Ex. 1201) and the ’759 Patent (Ex. 1211) name the same
`
`inventor and are owned by a common assignee. Both patents are asserted in
`
`related litigation identified in Section I.B. During prosecution of the ‘759 Patent,
`
`the Patent Owner argued that Mozgrin does not teach “without forming an arc.”
`
`See 05/02/06 Resp. of ‘759 Patent file history at 2, 5, 7 and 13-16 (Ex. 1212).
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`However, the Patent Owner was wrong. Kortshagen Decl. ¶ 61 (Ex. 1202).
`
`Mozgrin does teach “without forming an arc” as required by the ‘759 Patent as
`
`well as “substantially eliminat[ing] the probability of developing an electrical
`
`breakdown condition in the chamber” as required by the ‘716 Patent. Id. (Ex.
`
`1202). 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). Id. at ¶ 62 (Ex. 1202). However, if the current is limited,
`
`the plasma will remain in the arc-free regions 2 (sputtering) or 3 (etching). Id.
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`(Ex. 1202). Mozgrin is an academic paper and it explores all regions, including the
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`arc discharge region, so as to fully characterize the plasma. Id. at ¶ 63 (Ex. 1202).
`
`But Mozgrin’s discussion of arcing does not mean that arcing is inevitable. Id.
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`(Ex. 1202). Rather, Mozgrin’s explanation of the conditions under which arcing
`
`occurs provides a recipe for avoiding arcs. Id. (Ex. 1202). 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.”)
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`(emphasis added) (Ex. 1203). See also Kortshagen Decl. ¶ 63 (Ex. 1202). One of
`
`ordinary skill would have understood that the arc discharge region should be
`
`avoided during plasma generation that is used for applications such as sputtering