throbber
DOCKET NO: 0107131-00270 US2
`‘652 Patent
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT:
`
`6,806,652, CLAIMS 18-34
`
`INVENTOR: ROMAN CHISTYAKOV
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`FILED:
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`TITLE:
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`MAY 12, 2003
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`ISSUED: OCTOBER 19, 2004
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`HIGH-DENSITY PLASMA SOURCE USING EXCITED ATOMS
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`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 18-34 OF U.S. PATENT NO. 6,806,652
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`I, Uwe Kortshagen, declare as follows:
`
`1.
`
`2.
`
`My name is Uwe Kortshagen.
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`I received my Diploma in Physics from the University of Bochum in
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`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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`3.
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`I am a Distinguished McKnight University Professor at the University
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`of Minnesota. I have been the Head of the Mechanical Engineering Department at
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`RENESAS 1102
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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.
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`4.
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`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.
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`students go on to work on plasmas either in academia or the semiconductor
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`industry.
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`6.
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`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
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`7.
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`I have reviewed the specification, claims, and file history of U.S.
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`Patent No. 6,806,652 (the “‘652 Patent”) (Ex. 1101). I understand that the ‘652
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`Patent was filed on May 12, 2003. I understand that, for purposes determining
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`whether a publication will qualify as prior art, the earliest date that the ‘652 Patent
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`could be entitled to is May 12, 2003.
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`8.
`
`I have reviewed the following publications and others listed in the
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`Table of Exhibits:
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` D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research, Plasma Physics
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`Reports, Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1103)).
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` D. W. Fahey, et al., High flux beam source of thermal rare-gas
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`metastable atoms, J. Phys. E; Sci. Insrum., Vol. 13, 1980 (“Fahey” Ex.
`
`1105)).
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` A. A. Kudryavtsev, et al, Ionization relaxation in a plasma produced by a
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`pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), January 1983
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`(“Kudryavtsev” (Ex. 1106)).
`
` U.S. Patent No. 5,753,886 (“Iwamura” (Ex. 1108)).
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` Campbell, U.S. Pat. No. 5,429,070 (“Campbell” (Ex. 1114)).
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`Of these, I understand that only Mozgrin was of record during prosecution of
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`the ‘652 Patent.
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`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.
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`10.
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`I have considered certain issues from the perspective of a person of
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`ordinary skill in the art at the time the ‘652 Patent application was filed. In my
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`opinion, a person of ordinary skill in the art for the ‘652 Patent would have found
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`the ‘652 invalid.
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`11.
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`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
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`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 ‘652 Patent, and have had no contact with the named
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`inventor of the ‘652 Patent.
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`I.
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`RELEVANT LAW
`13.
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`I am not an attorney. For the purposes of this declaration, I have been
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`informed about certain aspects of the law that are relevant to my opinions. My
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`understanding of the law is as follows:
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`A. Claim Construction
`14.
`I have been informed that claim construction is a matter of law and
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`that the final claim construction will ultimately be determined by the Board. For
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`the purposes of my invalidity analysis in this proceeding and with respect to the
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`prior art, I have applied the broadest reasonable construction of the claim terms as
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`they would be understood by one skilled in the relevant art.
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`15.
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`I have been informed and understand that a claim in inter partes
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`review is given the “broadest reasonable construction in light of the specification.”
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`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
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`term that lacks a definition in the specification is therefore also given a broad
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`interpretation.
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`B. Anticipation
`16.
`I have been informed and understand that a patent claim can be
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`considered to have been anticipated at the time the application was filed. This
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`means that if all of the requirements of a claim are found in a single prior art
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`reference, the claim is not patentable. I have also been informed that a U.S. Patent
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`can incorporate by reference subject matter from another U.S. Patent or Patent
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`Publication. In such instances, I have been informed that I should consider them to
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`be a single prior art reference. I further understand that a claim is anticipated by a
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`reference when all the limitations of the claim are present in a single embodiment
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`described in the reference, even if there are multiple embodiments disclosed in the
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`reference.
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`C. Obviousness
`17.
`I have been informed and understand that a patent claim can be
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`considered to have been obvious to a person of ordinary skill in the art at the time
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`the application was filed. This means that, even if all of the requirements of a
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`claim are not found in a single prior art reference, the claim is not patentable if the
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`differences between the subject matter in the prior art and the subject matter in the
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`claim would have been obvious to a person of ordinary skill in the art at the time
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`the application was filed.
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`18.
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`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,
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`among others:
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` the level of ordinary skill in the art at the time the application was filed;
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` the scope and content of the prior art;
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` what differences, if any, existed between the claimed invention and the
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`prior art.
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`19.
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`I have been informed and understand that the teachings of two or
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`more references may be combined in the same way as disclosed in the claims, if
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`such a combination would have been obvious to one having ordinary skill in the
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`art. In determining whether a combination based on either a single reference or
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`multiple references would have been obvious, it is appropriate to consider, among
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`other factors:
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` whether the teachings of the prior art references disclose known concepts
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`combined in familiar ways, and when combined, would yield predictable
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`results;
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` whether a person of ordinary skill in the art could implement a
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`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
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`success by those skilled in the art;
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` whether a person of ordinary skill would have recognized a reason to
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`combine known elements in the manner described in the claim;
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` whether there is some teaching or suggestion in the prior art to make the
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`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
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`improve a similar device or method in a similar way.
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`20.
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`I understand that one of ordinary skill in the art has ordinary
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`creativity, and is not an automaton.
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`21.
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`I understand that in considering obviousness, it is important not to
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`determine obviousness using the benefit of hindsight derived from the patent being
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`considered.
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`II. BRIEF DESCRIPTION OF TECHNOLOGY
`22. The ‘652 Patent, entitled “High-Density Plasma Source Using Excited
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`Atoms,” generally relates to the field of plasma processing. Plasma processing
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`involves using plasma to modify the chemical and physical properties of the
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`surface of a material.
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`23. Plasma processing had been used in research and industrial
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`applications for decades before the ‘652 Patent was filed. 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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`manufacturing operations). Ions in the plasma strike a target surface causing
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`ejection of a small amount of target material. The ejected target material then
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`forms a film on the substrate.
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`24. The use of high-density plasmas and excited atoms in plasma
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`processing was also well-understood before the filing of the ‘652 Patent. For
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`example, as discussed further below, Mozgrin (Ex. 1103) and Kudryavtsev (Ex.
`
`1106), developed high-density plasma processing techniques using excited atoms.
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`A.
`Plasma
`25. A plasma is a collection of ions, free electrons, and neutral atoms.
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`The negatively charged free electrons and positively charged ions are present in
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`roughly equal numbers such that the plasma as a whole has no overall electrical
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`charge.
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`26. The “density” of a plasma refers to the number of ions or electrons
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`that are present in a unit volume, e.g., 1012 ions per cubic centimeter, or 1012 ions
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`cm-3. By way of comparison, there are approximately 1019 atoms in a cubic
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`centimeter of air at atmospheric pressure and room temperature. The terms
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`“plasma density” and “electron density” are often used interchangeably because
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`the negatively charged free electrons and positively charged ions are present in
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`roughly equal numbers in plasmas that do not contain negatively charged ions or
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`clusters.
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`B.
`Excited atoms
`27. Atoms have equal numbers of protons and electrons. Each electron
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`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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`28.
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`If one or more of an atom’s electrons is in a state that is higher than its
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`lowest possible state, but the atom is not ionized, then the atom is said to be an
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`“excited atom.” . Excited atoms are electronically neutral – they have equal
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`numbers of electrons and protons. A ground state atom can be converted to an
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`excited atom as a result of a collision with a low energy free electron (e-). .
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`29. An ion is an atom that has become disassociated from one or more of
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`its electrons, and thus has a positive charge. A collision between a free, high
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`energy electron and a ground state atom or an excited atom can create an ion. The
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`‘652 Patent uses the following equations to describe production of an excited argon
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`atom, Ar*, from a ground state argon atom, Ar, and then further conversion of the
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`excited atom to an argon ion, Ar+:
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`Ar + e- [] Ar* + e-
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`Ar* + e- [] Ar+ + 2e-
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`‘652 Patent at 14:1-14 (Ex. 1101).1
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`30. The production of excited atoms and ions was well understood long
`
`before the ‘652 Patent was filed.
`
`III. OVERVIEW OF THE ‘652 PATENT
`A.
`Summary of Alleged Invention of the ‘652 Patent
`31. The ‘652 Patent, claims 18-34, relate to a method of generating high-
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`density plasma in two stages: (i) generating an initial plasma and excited atoms
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`from a feed gas, and (ii) “super-ionizing” the initial plasma to generate a high-
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`density plasma. Claims 18-34 also specify “transporting” the initial plasma with
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`excited atoms from a first location where they are generated to a separate location
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`where the high density plasma is generated.
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`32. The ‘652 Patent has multiple embodiments in which an initial plasma
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`and excited atoms are created at a first location, and then transported to a second
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`location where a second power supply provides high power pulses. See, e.g.,
`
`
`1 U.S. Pat. No. 7,147,759 (Ex. 1107), by the same named inventor, shows these
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`multi-step ionization equations at 9:38-51. There is a printing error in the ’652
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`Patent (i.e., with empty boxes replacing arrows), but the equations are shown
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`correctly in the ’759 Patent.
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`Figure 2 and description at 5:43, et seq.; Figure 12 and description at 25:30 et seq.
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`(Ex. 1101).
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`33.
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`In the FIG. 12 embodiment, the first location is the excited atom
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`source 732b (annotated in color below), which is powered by a first power supply
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`731. ‘652 Patent at 2:52-55 (Ex. 1101):
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`
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`FIG. 12 of ‘652 Patent (Ex. 1101)
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`34. The excited atom source 732b generates an initial plasma and excited
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`atoms. ‘652 Patent at 27:15-21 (Ex. 1101) (“The excited atom source 732b
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`generates an initial plasma and excited atoms including metastable atoms from
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`ground state atoms supplied by a volume of feed gas 234.”). The excited atom
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`source 732b directs the initial plasma and excited atoms through a skimmer 736 to
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`an area proximate cathode 732a. See, e.g., ‘652 Patent at 27:18-21 (“A large
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`fraction of the ions and electrons are trapped in the nozzle chamber 738 while the
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`excited atoms and the ground state atoms flow through the aperture 737 of the
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`skimmer 736.”) (Ex. 1101). The skimmer is designed to block most of the
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`electrons and ions, but it allows the ground state and excited atoms to pass through
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`to cathode section 732a. Id. The excited atom source is configured such that a
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`continued flow of gas causes the initial plasma and excited atoms to be moved
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`(“transported”) from the skimmer to the second location proximate to cathode 732a
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`and anode 706. See ‘652 Patent, FIG. 12 (Ex. 1101).
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`35.
`
`At the second location proximate to cathode 732a and anode
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`706, a second power supply 222 generates an electric field that is said to “super-
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`ionize” the plasma of feed gas generated by the excited atom source. ‘652 Patent
`
`at 27:15-32 (“After a sufficient volume of excited atoms including metastable
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`atoms is present proximate to the inner cathode section 732a …, the second power
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`supply 222 generates an electric field (not shown) proximate to the volume of
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`excited atoms [that] super-ionizes the initial plasma….”) (Ex. 1101). The ‘652
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`Patent defines the term “super-ionized” as meaning “that at least 75% of the
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`neutral atoms in the plasma are converted to ions.” ‘652 Patent, 5:8-10 (Ex.
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`1101).2
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`36. The excited atom source 732b that generates excited atoms from the
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`feed gas is distinct and in a separate location from cathode 732a, anode 706, and
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`power supply 222 that “super-ionize” the plasma. The ‘652 Patent explains, for
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`example, that multiple excited atoms sources can be used, in which case they could
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`surround the separate portion of the system that converts the initial plasma to a
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`super-ionized high-density plasma: “Skilled artisans will appreciate that multiple
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`excited atom sources (not shown) can surround the inner cathode section 732a.”
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`‘652 Patent, 25:42-44 (Ex. 1101).
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`37. The ‘652 patent does not disclose how specifically to generate a
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`super-ionized plasma other than to raise the energy. For example, in the discussion
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`of FIG. 12, the ‘652 patent merely states that the “electric field super-ionizes the
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`2 The “super-ionized” plasma is of the initial plasma generated from the feed gas
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`and not a plasma of other materials. For example, in a sputtering process, it is
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`known that systems can get significant ionization of sputtered metal. See, e.g.,
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`U.S. Patent No. 6,413,382 to Wang at 5:62-65 (“It is anticipated that the copper
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`ionization fraction using the Torpedo magnetron will be well over 80% at these
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`high peak powers.”) (Ex. 1104).
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`initial plasma by raising the energy of the initial plasma including the volume of
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`excited atoms which causes collisions between neutral atoms, electrons, and
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`excited atoms including metastable atoms in the initial plasma.” ‘652 Patent at
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`27:22-37 (Ex. 1101).
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`IV. CLAIM CONSTRUCTION
`A.
`Introduction
`38.
`I 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
`
`understand that any claim term that lacks a definition in the specification is
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`therefore also given a broad interpretation. In re ICON Health & Fitness, Inc., 496
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`F.3d 1374, 1379 (Fed. Cir. 2007). I understand that should the Patent Owner, in
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`order to avoid the prior art, contend that the claim has a construction different from
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`its broadest reasonable interpretation, the appropriate course is for the Patent
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`Owner to seek to amend the claim to expressly correspond to its contentions in this
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`proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
`
`B.
`
` “transporting the initial plasma and excited atoms proximate to a
`cathode assembly”
`39. The limitation should be construed as “moving the initial plasma and
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`excited atoms from where they were generated to a location near a cathode
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`assembly.”
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`40. A plain reading of this limitation is that the initial plasma with excited
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`atoms is generated in one location, and moved to another location near a cathode
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`assembly where the plasma is super-ionized.
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`41. Consistent with the plain meaning, the ‘652 Patent describes moving
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`the initial plasma and excited atoms from where they were generated (e.g., in the
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`gap 212 or the excited atom source 732b) to a location near a cathode assembly
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`(e.g., inner cathode 202a or 732a, respectively) using gas exchange system. See,
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`e.g., ‘652 Patent at 8:1-28; 10:8-17; 14:37-43; 17:63-18:9; 21:63-22:8; 27:15-20;
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`Figures 2, 3, 5, 6 and 12 (Ex. 1101).
`
`C.
`
` “super-ionizing the initial plasma proximate to the cathode
`assembly”
`42. Super-ionizing is defined to mean that “at least 75% of the neutral
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`atoms in the plasma are converted to ions.” ‘652 Patent, 5:8-10 (Ex. 1101).
`
`Therefore, the limitation should be construed as “converting at least 75% of the
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`neutral atoms in the initial plasma into ions near the cathode assembly.”
`
`V. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the prior art
`43. As explained in detail below, limitation-by-limitation, there is nothing
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`new or non-obvious in Zond’s claim.
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`B. Overview of Mozgrin
`44. Mozgrin discloses a high density plasma source. Fig. 7 of Mozgrin,
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`copied below, shows the current-voltage characteristic (“CVC”) of a plasma
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`discharge generated by Mozgrin.
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`
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`As shown, Mozgrin divides this CVC into four distinct regions.
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`45. Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2
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`(“Part 1 in the voltage oscillogram represents the voltage of the stationary
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`discharge (pre-ionization stage).”) (Ex. 1103).
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`46. Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin
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`at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
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`discharge (regime 2)…”) (Ex. 1103). Application of a high voltage to the pre-
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`ionized plasma causes the transition from region 1 to 2. Mozgrin teaches that
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`region 2 is useful for sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was
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`characterized by an intense cathode sputtering…”) (Ex. 1103).
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`47. Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at
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`409, left col, ¶ 5, (“The high-current diffuse discharge (regime 3)…”) (Ex. 1103).
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`Increasing the current applied to the “high-current magnetron discharge” (region 2)
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`causes the plasma to transition to region 3. Mozgrin also teaches that region 3 is
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`useful for etching, i.e., removing material from a surface. Mozgrin at 409, left col,
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`¶ 5 (“The high-current diffuse discharge (regime 3) is useful …. Hence, it can
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`enhance the efficiency of ionic etching…”) (Ex. 1103).
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`48.
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`In Mozgrin’s sputtering region, i.e., region 2, the plasma density
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`exceeded 1013 cm-3. Mozgrin at 409, left col, ¶ 4 (“The implementation of the
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`high-current magnetron discharge (regime 2) in sputtering … plasma density
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`(exceeding 2x1013 cm-3).”) (Ex. 1103). In Mozgrin’s region 3, the plasma density
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`is even higher. Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge
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`(regime 3) is useful for producing large-volume uniform dense plasmas ni 
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`1.5x1015cm3…”) (Ex. 1103). This density in region 3 is three orders of magnitude
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`greater than what the ‘652 Patent describes as “high-density.” ‘652 Patent at
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`10:62-63 (“[T]he peak plasma density of the high-density plasma is greater than
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`about 1012 cm-3”).
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`49. Mozgrin teaches avoiding arcs. As shown in Mozgrin’s Fig. 7 (copied
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`above), if voltage is steadily applied, and current is allowed to grow, the plasma
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`will eventually transition to the arc discharge (Mozgrin’s region 4). However, if
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`the current is limited, the plasma will remain in the arc-free regions 2
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`(sputtering) or 3 (etching).
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`50. Mozgrin is an academic paper and it explores all regions, including
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`the arc discharge region, so as to fully characterize the plasma. But Mozgrin’s
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`discussion of arcing does not mean that arcing is inevitable. Rather, Mozgrin’s
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`explanation of the conditions under which arcing occurs provides a recipe for
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`avoiding arcs. Mozgrin explicitly notes that arcs can be avoided. See Mozgrin at
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`400, left col, ¶ 3 (“Some experiments on magnetron systems of various geometry
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`showed that discharge regimes which do not transit to arcs can be obtained even
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`at high currents.”) (Ex. 1103). One of ordinary skill would have understood that
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`the arc discharge region should be avoided during an industrial application, such as
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`sputtering. For example, Plasma Etching: An Introduction, by Manos and Flamm
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`(“Manos”), a well-known textbook on plasma processing, which was published in
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`1989, over a decade before the ‘652 Patent was filed, states that “arcs … are a
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`problem … .” Manos at 231 (Ex. 1113).
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`51. One of ordinary skill would have further understood that Mozgrin’s
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`arc region can be avoided by limiting the current as shown in Mozgrin’s Fig. 7.
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`See, e.g., Mozgrin at 400, right col, ¶ 1 (“A further increase in the discharge
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`currents caused the discharges to transit to the arc regimes…”); 404, left col, ¶ 4
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`(“The parameters of the shaped-electrode discharge transit to regime 3, as well as
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`the condition of its transit to arc regime 4, could be well determined for every
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`given set of the discharge parameters.”); and 406, right col, ¶ 3 (“Moreover, pre-
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`ionization was not necessary; however, in this case, the probability of discharge
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`transferring to the arc mode increased.”) (Ex. 1103).
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`52. Mozgrin’s determination of conditions that cause transition to the arc
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`regime is useful because it teaches one of ordinary skill how to avoid arcs.
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`C. Overview of Kudryavtsev
`53. Kudryavtsev is a technical paper that studies the ionization of a
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`plasma with voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1106).
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`In particular, Kudryavtsev describes how ionization of a plasma can occur via
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`different processes. The first process is direct ionization, in which ground state
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`atoms are converted directly to ions. See, e.g., id. at Fig. 6 caption (Ex. 1106).
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`The second process is multi-step ionization, which Kudryavtsev calls stepwise
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`ionization. See, e.g., id. (Ex. 1106). Kudryavtsev notes that under certain
`
`conditions multi-step ionization can be a dominant ionization process. See, e.g., id.
`
`(Ex. 1106).
`
`- 20 -
`
`

`
`54. Kudryavtsev discusses the mechanism of multi-step ionization with
`
`excited atoms. Referring to the annotated copy of Kudryavtsev’s Fig. 1 copied
`
`below, ionization occurs with an initial “slow stage” (Fig 1a) followed by a “fast
`
`stage” (Fig. 1b).
`
`
`
`Kudryavtsev at 31, right col, ¶ 7 (Ex. 1104).
`
`55. During the initial slow stage, direct ionization provides a significant
`
`contribution to the generation of plasma ions (see arrow Γ1e colored in green
`
`showing ionization (top line labeled “e”) from the ground state (bottom line
`
`labeled “1”)). In addition, during the slow stage, excited atoms are also created
`
`within the plasma chamber (see arrow Γ12 colored in blue showing excitation into
`
`lowest excited state (middle line labeled “2”) from the ground state (bottom line
`
`labeled “1”)). Once the population of excited atoms becomes large enough, fast
`
`stage occurs, as shown in Fig. 1b. As shown, multi-step (or “stepwise”) ionization,
`
`which occurs through the generation of excited atoms (see arrow Γ12 colored in
`
`blue), becomes the dominant ionization process as shown by the thick arrow
`
`labeled Γ2e ((colored in red) showing ionization (top line labeled “e”) from the
`
`- 21 -
`
`

`
`lowest excited state (middle line labeled “2”)). See also Kudryavtsev at Fig. 6 (Ex.
`
`1106). The thin arrows labeled Γ1e show that direct ionization produces ions at a
`
`roughly constant rate in both the slow and fast stages. Id. The thick arrow labeled
`
`Γ2e in Fig. 1b shows that multi-step ionization can produce ions at a much greater
`
`rate than direct ionization.
`
`56. Kudryavtsev explains the rapid increase in ionization once multi-step
`
`ionization becomes the dominant process as follows: “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, ¶ 6 (Ex. 1106). Kudryavtsev summarizes that “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.” Id.
`
`at Abstract; Fig. 6 (Ex. 1106).
`
`D. Overview of Fahey
`57. Fahey is a technical paper that discloses a high-flux beam source for
`
`producing a beam of metastable atoms. See Fahey at Abstract (“A high-flux beam
`
`source has been constructed for the production of helium, neon and argon
`
`metastable atoms.”) (Ex. 1105); see also Fahey at 381, right col, ¶ 2 (“The source
`
`- 22 -
`
`

`
`is capable of providing very stable thermal energy beams of … argon metastable
`
`atoms.”) (Ex. 1105). Figure 1 of Fahey shows a schematic of the disclosed beam
`
`source. Fahey, Figure 1 (Ex. 1105). Fahey’s excited atom source has substantially
`
`the same structure as the ‘652 Patent’s excited atom source in Figure 12, as shown
`
`below in the discussion of claim limitation 18(a).
`
`E. Overview of Iwamura
`58.
`Iwamura discloses “a plasma treatment apparatus for treating a
`
`surface of an object….” Iwamura at 2:51-52 (Ex. 1108). Iwamura can operate at
`
`atmosphere, or under vacuum. Id. at 12:20-26 (Ex. 1108). Iwamura has: “A first
`
`plasma generation unit for preactivating the gas to generate a plasma is positioned
`
`upstream along the flow path of the gas in the gas supply; and a second plasma
`
`generation unit for activating the gas to generate a plasma downstream along the
`
`flow path of the gas in the gas supply is also provided. Thus, the first plasma
`
`generation unit preactivates the gas and the second plasma generation unit activates
`
`the gas and forms activated gas species. Then, the activated gas species formed by
`
`the second plasma generation unit treat the object to be treated.” Iwamura at 2:56-
`
`65. (Ex. 1108);
`
`59.
`
`Iwamura discloses multiple ways for generating excited atoms, and
`
`discloses the desirability of providing a first excitation step followed by a further
`
`- 23 -
`
`

`
`energy providing step, and also claims such a system. Iwamura at 2:1-50, claim 1
`
`(Ex. 1108);
`
`VI. SPECIFIC GROUNDS FOR PETITION
`60. The below sections demonstrate in detail how the prior art discloses
`
`each and every limitation of claims 18-34 of the ‘652 Patent, and how those claims
`
`are rendered obvious by the prior art.
`
`A. Ground I: Claims 18-30 and 33-34 would have been obvious over
`Mozgrin, Kudryavtsev, and Fahey
`1.
`
`The preamble: “[a] method of generating a high-
`density plasma, the method comprising”
`61. The ‘652 Patent defines “high-density plasma” as follows: “The terms
`
`Independent claim 18
`a)
`
`‘high-density plasma’ and ‘strongly-ionized plasma’ are defined herein to mean a
`
`plasma with a relatively high peak plasma density. For example, the peak plasma
`
`density of the high-density plasma is greater than about 1012 cm-3.” ‘652 Patent,
`
`10:61-64 (Ex. 1101).
`
`62.
`
`In Mozgrin’s sputtering region, i.e., region 2, the plasma density
`
`exceeded 1013 cm-3. 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. 1103). In Mozgrin’s region 3, the plasma density
`
`is even higher. Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge
`
`- 24 -
`
`

`
`(regime 3) is useful for producing large-volume uniform dense plasmas ni 
`
`1.5x1015cm-3…”) (Ex. 1103). This density in region 2 is one order of magnitude
`
`greater, and the density in region 3 is three orders of magnitude greater than the
`
`density the ‘652 Patent describes as “high-density.”
`
`63. Mozgrin thus discloses a method of generating high-density plasma
`
`according to claim 18.
`
`b)
`
`Limitation 18(a): “generating an initial plasma and
`excited atoms from a volume of feed gas”
`64. Fahey discloses an excited atom source for generating an initial
`
`plasma and excited atoms from a volume of feed gas. As shown below, Fahey’s
`
`“beam source” (“excited atom source”) has substantially the same structure as the
`
`‘652 Patent’s excited atom source 732b.
`
`- 25 -
`
`

`
`
`Fig. 12 of ‘652 Patent (partially
`reproduced) (Ex. 1101)
`
`Fig. 1 of Fahey (Ex. 1105)
`
`Specifically, these excited atom sources have the following components: a tube
`
`shown below in blue (Fahey: A; ‘652 Patent: 733); a nozzle shown below in
`
`yellow (Fahey: B; ‘652 Patent: 734); a skimmer shown below in green (Fahey: C;
`
`‘652 Patent: 736); and a needle shown in red (Fahey: D; ‘652 Patent 743).
`
`Fahey’s excited atom source generates an initial plasma and excited atoms from a
`
`volume of feed gas. For example, Fahey discloses that “[g]as is admitted to the
`
`glass tube by a micrometer leak valve mounted outside of the vacuum chamber.”
`
`Fahey at 381, left col, ¶ 1 (Ex. 1105). Like the structure in FIG. 12 of the ‘652
`
`Patent, Fahey’s excited atom source generates an initial plasma and excited atoms
`
`from this volume of feed gas. In particular, the Fahey source generates a plasma
`
`- 26 -
`
`

`
`containing charged species, e.g., electrons and ions. Fahey, 381, Introduction (“A
`
`novel metastable beam source was recently described … whose design employed a
`
`weak, high-voltage corona discharge …”) (Ex. 1105).
`
`65. While many of the charged species are skimmed by Fahey’s skimmer,
`
`some of the charged species will pass through the skimmer, as is said to occur in
`
`the ‘652 Patent. See, e.g., ‘652 Patent at 27:18-21 (“A large fraction of the ions
`
`and electrons are trapped in the nozzle chamber 738 while the excited atoms and
`
`the ground state atoms flow through the aperture 737 of the skimmer 736.”) (Ex.
`
`1101). Therefore, like the ‘652 Patent, Fahey generates both an initial plasma an

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