`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`________________
`
`GLOBALFOUNDRIES U.S., INC., GLOBALFOUNDRIES DRESDEN
`MODULE ONE LLC & CO. KG, GLOBALFOUNDRIES DRESDEN
`MODULE TWO LLC & CO. KG, and
`THE GILLETTE COMPANY,
`Petitioners,
`
`v.
`
`ZOND, LLC,
`Patent Owner
`________________
`
`IPR2014-010881
`Patent 6,806,652 B2
`
`________________
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`PETITIONER’S REPLY TO PATENT OWNER’S RESPONSE
`
`Claims 1-17
`
`
`
`
`1 Case IPR2014-01000 has been joined with the instant proceeding.
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`Petitioner’s Reply to Patent Owner’s Response
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`IPR2014-01088
` Patent No. 6,806,652
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`TABLE OF CONTENTS
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`PETITIONER’S EXHIBIT LIST ............................................................................ iv
`
`I.
`
`INTRODUCTION ............................................................................................... 1
`
`II. ZOND’S FLAWED INTERPRETATIONS OF THE PRIOR ART FAIL ......... 2
`
`A. Mozgrin explicitly teaches that the ionization fraction of its high-
`density plasma exceeds the 75% required by the ’652 Patent ...................... 2
`
`B. Mozgrin discloses process parameters that “super-ionize” the initial
`plasma in the same manner as taught by the ’652 Patent ............................. 3
`
`C. Patent Owner’s criticism of Dr. Kortshagen’s calculation has no effect
`on Mozgrin’s disclosure of “super-ionizing” the initial plasma .................. 9
`
`D. Patent Owner is incorrect in concluding that Mozgrin does not control
`its sputtering chamber pressure .................................................................. 11
`
`E. Even if Mozgrin does not control its sputtering chamber pressure, Dr.
`Kortshagen’s analysis remains correct and demonstrates Mozgrin’s
`disclosure of “super-ionizing” its initial plasma. ....................................... 13
`
`III. CLAIMS 1-17 ARE UNPATENTABLE OVER THE CITED PRIOR ART ... 16
`
`A. Mozgrin teaches super-ionizing an initial plasma to generate a high-
`density plasma as claimed by claim 1. ....................................................... 16
`
`B. A person of ordinary skill in the art would be motivated to combine
`Mozgrin with Vratny in order to utilize a power supply comprising an
`RF source that generates an alternating electric field, as claimed by
`claim 5. ....................................................................................................... 18
`
`C. Claims 8-10 and 15 are unpatentable over the prior art cited in the
`instituted grounds. ...................................................................................... 20
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`IV. CONCLUSION .................................................................................................. 21
`
`Certificate of Service ............................................................................................... 22
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`PETITIONER’S EXHIBIT LIST
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`
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`June 26, 2015
`
`Description
`U.S. Patent No. 6,806,652 (“’652 Patent”)
`
`Kortshagen Declaration (“Kortshagen Decl.”)
`
`D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-
`Stationary Discharge in a Magnetic Field: Experimental
`Research, Plasma Physics Reports, Vol. 21, No. 5, 1995
`(“Mozgrin”)
`
`U.S. Pat. No. 6,413,382 (“Wang”)
`
`D. W. Fahey, et al., High flux beam source of thermal rare-
`gas metastable atoms, J. Phys. E; Sci. Insrum., Vol. 13, 1980
`(“Fahey”)
`
`A. A. Kudryavtsev and V.N. Skerbov, Ionization relaxation in
`a plasma produced by a pulsed inert-gas discharge, Sov. Phys.
`Tech. Phys. 28(1), pp. 30-35, January 1983 (“Kudryavtsev”)
`
`Iwamura, U.S. Pat. No. 5,753,886 (“Iwamura”)
`
`Vratny, U.S. Pat No. 3,461,054 (“Vratny”)
`
`Röepcke et al., Comparison of Optical Emission
`Spectrometric Measurements of the Concentration and Energy
`of Species in Low-pressure Microwave and Radiofrequency
`Plasma Sources, J. Analytical Atomic Spectrometry,
`September 1993, Vol. 8, pp. 803-808 (“Röepcke”)
`
`J. Hopwood and J. Asmussen, Neutral gas temperatures in a
`multipolar electron cyclotron resonance plasma, Appl. Phys.
`Let. 58 (22), 2473-2475 (1991) (“Hopwood”)
`
`G. A. Hebner, Spatially resolved, excited state densities and
`iv
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`Exhibit
`1001
`
`1002
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`1003
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`1004
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`1005
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`1006
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`1007
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`1008
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`1009
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`1010
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`1011
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`Petitioner’s Reply to Patent Owner’s Response
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`neutral and ion temperatures in inductively coupled argon
`plasmas, J. Appl. Physics, 80 (5), 2624- 2636 (1996)
`(“Hebner”)
`
`U.S. Patent No. 7,147,759 (“’759 Patent”)
`
`Lantsman, U.S. Pat. No. 6,190,512 (“Lantsman”)
`
`Clarenbach, Time-dependent gas density and temperature
`measurements in pulsed helicon discharges in argon, Plasma
`Sources Sci. Technol. 12 (2003) 345–357 (“Clarenbach”)
`
`Plaintiff Zond LLC’s Preliminary Proposed Claim
`Constructions, Civil Action No. 13-cv-11634-WGY
`
`The Materials Science of Thin Films, by Ohring M.,
`Academic Press (1992) (“Ohring”)
`
`Thin-Film Deposition: Principles & Practice by Smith, D.L.,
`McGraw Hill (1995) (“Smith”)
`
`List of Related Litigations
`
`Affidavit of Brett C. Rismiller in Support of Petitioner’s
`Motion for Pro Hac Vice Admission
`
`Supplemental Kortshagen Declaration (“Supp. Kortshagen
`Decl.”)
`
`Deposition Transcript of Larry D. Hartsough Ph.D. for U.S.
`Patent No. 6,806,652 dated May 15, 2015 (“’652 Hartsough
`Depo. Tr.”)
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`1012
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`1013
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`1014
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`1015
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`1016
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`1017
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`1018
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`1019
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`1020
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`1021
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`I.
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`INTRODUCTION
`
`In its Decision on Institution (“DI”), the Board recognized that there is a
`
`reasonable likelihood that claims 1-17 of the ’652 Patent are unpatentable. DI at 32
`
`(Paper No. 16).
`
`Of the challenged claims, Zond and Zond’s declarant, Dr. Hartsough, failed
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`to address individual elements of claims 2-4, 6, 7, 11-14, 16, and 17, effectively
`
`conceding that these claim elements are unpatentable with a combination of the
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`cited references. Of the remaining challenged claims (claims 1, 5, 8-10, and 15),
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`Zond’s Patent Owner Response offers flawed interpretations of the prior art and in
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`some cases mischaracterizes Petitioner’s argument, in a vain attempt to distinguish
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`the cited prior art.
`
`The Petition, supported by Dr. Kortshagen’s declaration, clearly
`
`demonstrates why one of ordinary skill in the art would have combined the
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`teachings of the cited references. In fact, the cross-examination of Dr. Hartsough
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`demonstrates many areas of agreement between Dr. Kortshagen and Dr. Hartsough
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`and contrary to the arguments in Zond’s Patent Owner Response. Petitioner
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`provides a supplemental declaration of Dr. Korthshagen to respond to Zond’s
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`Patent Owner Response and the declaration by Dr. Hartsough.
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`II. ZOND’S FLAWED INTERPRETATIONS OF THE PRIOR ART FAIL
`A. Mozgrin explicitly teaches that the ionization fraction of its high-
`density plasma exceeds the 75% required by the ’652 Patent
`
`Speaking dispositively, Mozgrin explicitly states that the ionization degree
`
`of its high-density plasma ranges from 70-100%. Given that the ’652 Patent
`
`requires that at least 75% of the neutral atoms in the plasma are ionized, a person
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`of ordinary skill in the art would certainly understand that Mozgrin’s high-density
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`plasma having an ionization degree approaching 100% ionization would qualify as
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`“super-ionization.”
`
`Specifically, Mozgrin discloses that “for the discharge transit from regime 2
`
`to regime 3 … the ionization degree α = ne / (ng + ni) ranges from α ≈ 1 (p = 0.01
`
`torr) to α ≈ 0.7 (p = 1 torr).” See Mozgrin at p. 407, left col. ¶ 2; right col. ¶ 3
`
`(emphasis added). As explained by Dr. Kortshagen, the density of electrons (ne) is
`
`equal to the density of ions (ni) as both ions and electrons are byproducts of
`
`ionizing a feed gas atom. Supp. Kortshagen Decl. at ¶ 32 (Ex. 1020). Similarly,
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`because one gas atom is required to generate one ion, as the density of ions (ni)
`
`increases, the corresponding density of gas atoms (ng) decreases. Supp.
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`Kortshagen Decl. at ¶ 33 (Ex. 1020). Looking at Mozgrin’s disclosed equation for
`
`its ionization degree, α, an increase in the density of gas atoms (ng) will result in a
`
`decrease by the same amount in the density of ions (ni), and vice versa, such that
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`the denominator (ng + ni) will remain constant regardless of the plasma density. Id.
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`This is true even as the density of ions (ni) increases due to more ground state
`
`atoms becoming ionized. Id.
`
` Looking at the situation in which α approaches 1, the density of neutral gas
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`atoms (ng) approaches zero and 100% of the neutral gas atoms are ionized. Supp.
`
`Kortshagen Decl. at ¶¶ 32-34 (Ex. 1020). Accordingly, Mozgrin’s determination
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`that α approaches 1 when the system pressure is 0.01 torr represents a situation
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`where the initial plasma is super-ionized to generate a high-density plasma as
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`required by the ’652 Patent. Id. Dr. Hartsough likewise testified that he
`
`understands that a situation where α = 1 represents 100% ionization. See
`
`Hartsough Dep. Tr. at p. 124:12-23 (Ex. 1021). Thus, Mozgrin explicitly teaches a
`
`person of ordinary skill in the art that its high-density plasma has an ionization
`
`degree above and beyond what is required to be considered “super-ionized” by the
`
`’652 Patent.
`
`B. Mozgrin discloses process parameters that “super-ionize” the
`initial plasma in the same manner as taught by the ’652 Patent
`
`The ’652 Patent discloses that it super-ionizes the initial plasma in two steps.
`
`First, the initial plasma is generated from initial feed gas by applying power from a
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`first power supply sufficient to at least partially ionize the gas. ’652 Patent at
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`17:66-18:5 (Ex. 1001); Supp. Kortshagen Decl. at ¶ 21 (Ex. 1020). Second, a
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`second power supply applies a high-power pulse to the initial plasma whose
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`electric field imparts additional energy which super-ionizes the initial plasma to
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`generate a high-density plasma. ’652 Patent at 18:10-15 (Ex. 1001); Supp.
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`Kortshagen Decl. at ¶ 22 (Ex. 1020). Figure 4 of the ’652 Patent provides a
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`graphical representation of these two steps. ’652 Patent at 17:53-56 (Ex. 1001).
`
`Dr. Kortshagen provides an annotated version of Figure 4 of the ’652 Patent which
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`shows the relative power and timing of both steps:
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`Figure 4 demonstrates that the ’652 Patent generates an initial plasma at t1
`
`by applying power in the range of 0.01kW to 100kW to the feed gas. Supp.
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`Kortshagen Decl. at ¶ 21 (Ex. 1020). According to the ’652 Patent, this initial
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`plasma can be a “weakly-ionized plasma” and may have a plasma density of about
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`107 cm-3 to 1012 cm-3. Id. (Ex. 1020). After creating the weakly-ionized initial
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`plasma, a second power supply delivers a high-power pulse 404 to the initial
`
`plasma wherein the pulse has a power in the range of 1kW to 10MW. ’652 Patent
`
`at 18:10-15 (Ex. 1001); Supp. Kortshagen Decl. at ¶ 22 (Ex. 1020). This high-
`
`power pulse “super-ionizes the initial plasma to generate a high-density plasma.”
`
`Id. The high-density plasma formed by super-ionizing the initial plasma may have
`
`a plasma density in excess of 1012 cm-3. ’652 Patent at 10:57-63 (Ex. 1001); Supp.
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`Kortshagen Decl. at ¶ 22 (Ex. 1020). The only information provided by the ’652
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`Patent about the power used to super-ionize the initial plasma as demonstrated in
`
`Figure 4 relates to the rise-time and duration of the high-power pulse. Supp.
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`Kortshagen Decl. at ¶ 23 (Ex. 1020). More specifically, the ’652 Patent states that
`
`the high-power pulse 404 represented in Figure 4 has a rise-time from t2 to t3 of
`
`approximately 0.1μs to 10s. ’652 Patent at 18:15-24 (Ex. 1001). Also, the ’652
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`Patent teaches that the pulse width of the high-power pulse 404 is in the range of
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`1μs to 10s. Id.
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`In the exact same manner as the ’652 Patent, Mozgrin discloses generating a
`
`high-density plasma from an initial plasma in two stages. First, Mozgrin generates
`
`an initial plasma by applying power from a pre-ionization system comprising a
`
`stationary discharge supply unit. Mozgrin at p. 401, left col. ¶¶ 4-5 (Ex. 1003);
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`Kortshagen Decl. at ¶ 75 (Ex. 1002). Second, Mozgrin utilizes a pulsed discharge
`
`supply unit to apply a high-power pulse to the initial plasma in order to generate a
`
`high-density plasma. Mozgrin at p. 402, right col. ¶ 2 (Ex. 1003); Kortshagen
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`Decl. at ¶ 76 (Ex. 1002).
`
`Not only does Mozgrin disclose the same two-stage process, it also discloses
`
`power ranges and pulse characteristics that fall exactly within the ranges disclosed
`
`by the ’652 Patent’s description of super-ionization. Supp. Kortshagen Decl. at ¶¶
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`24-28 (Ex. 1020). Mozgrin’s stationary discharge unit creates its initial plasma by
`
`applying power in the range of 52W-56W. See Supp. Kortshagen Decl. at ¶ 26
`
`(Ex. 1020); see also Mozgrin at p. 402, right col. ¶ 3 (Ex. 1003). Mozgrin’s initial
`
`plasma has a density ranging from 107 - 109 cm-3. Mozgrin at p. 401, left col. ¶ 4
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`(Ex. 1003); Supp. Kortshagen Decl. at ¶ 26 (Ex. 1020). After generating the initial
`
`plasma, Mozgrin’s high-voltage supply unit applies a high-power pulse having
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`power in the range of 1.35kW and 126kW to increase the plasma density. See
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`Supp. Kortshagen Decl. at ¶ 27 (Ex. 1020); see also Mozgrin at p. 403, left col. ¶ 1;
`
`p. 404, right col. ¶ 2 (Ex. 1003). Mozgrin notes that its maximum Ar plasma
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`density was measured to be 1.5 x 1015 cm-3 corresponding to a high-power pulse of
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`100kW. Mozgrin at p. 404, right col. ¶ 2 (Ex. 1003); Supp. Kortshagen Decl. at ¶
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`27 (Ex. 1020). Finally, Mozgrin’s high-current diffuse discharge generated from
`
`the initial plasma has a rise time of 5 - 60µs and pulse durations of up to 1.5ms.
`
`See Supp. Kortshagen Decl. at ¶ 28 (Ex. 1020); see also Mozgrin at p. 401, right
`
`col. ¶ 1 (Ex. 1003). In the case where the pre-ionization plasma comprises argon
`
`having a plasma density of 109 - 1011 cm-3, Mozgrin specifically discloses the pulse
`
`duration is about 50µs. Id. All of Mozgrin’s disclosed plasma densities and power
`
`pulse characteristics overlap with those disclosed by the ’652 Patent when
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`describing super-ionization:
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`’652 Patent
`Applied Power: 10W to 100kW.
`’652 Patent at 17:67-18:1.
`
`Resulting Plasma Density: 107
`to 1012 cm-3. ’652 Patent at
`8:60-62.
`High-Power Pulse: 1kW to
`1MW. ’652 Patent at 18:10-12.
`
`Pulse Rise Time: 0.1µs to 10s.
`’652 Patent at 18:16-18.
`
`Pulse Duration: 0.1µs to 10s.
`’652 Patent at 18:22-24.
`
`Resulting Plasma Density:
`Greater than 1012 cm-3. ’652
`Patent at 10:57-63.
`
`Mozgrin
`Applied Power: 52W to 56W.
`Mozgrin at p. 402, right col. ¶ 3.
`
`Resulting Plasma Density: 109 –
`1011 cm-3. Mozgrin at p. 402,
`right col. ¶ 2.
`High-Power Pulse: 100kW.
`Mozgrin at p. 404, right col. ¶ 2.
`
`Pulse Rise Time: 5µs to 60µs.
`Mozgrin at p. 401, right col. ¶ 1.
`
`Pulse Duration: 50µs. Mozgrin
`at Fig. 3; p. 401, right col. ¶ 1.
`
`Resulting Plasma Density: 1.5 x
`1015 cm-3. Mozgrin at p. 404,
`right col. ¶ 2.
`
`
`Generating
`the initial
`plasma
`
`Generating
`the high-
`density
`plasma
`
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`Supp. Kortshagen Decl. at ¶ 29 (Ex. 1020).
`
`
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`Thus, to the extent that the two-stage application of power disclosed by the
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`’652 Patent “super-ionizes” the initial plasma to create a high-density plasma,
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`Mozgrin discloses the exact same process. Mozgrin first generates an initial
`
`plasma then applies a high-power pulse to increase the plasma density. Moreover,
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`Mozgrin discloses power levels and pulse characteristics that fall within the range
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`disclosed by the ’652 Patent. As a result, Mozgrin “super-ionizes” its initial
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`plasma to create high-density plasma.
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`C.
`Patent Owner’s criticism of Dr. Kortshagen’s calculation has no
`effect on Mozgrin’s disclosure of “super-ionizing” the initial plasma
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`As a threshold matter, neither Patent Owner nor its declarant, Dr. Hartsough,
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`dispute that Mozgrin discloses super-ionizing its initial plasma in order to generate
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`a high-density plasma. In his initial supporting declaration, Dr. Kortshagen
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`analyzed Mozgrin’s disclosed process parameters in view of the ideal gas law and
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`showed how a person of ordinary skill in the art would understand that Mozgrin
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`does indeed “super-ionize” its plasma when creating its higher-density plasma.
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`Kortshagen Dec. at ¶¶ 76-86 (Ex. 1002). Notably absent from both the Patent
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`Owner Response and the supporting expert declaration is the conclusion that
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`Mozgrin does not disclose super-ionization; instead, both the Patent Owner and
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`Dr. Hartsough focus on one small portion of Dr. Kortshagen’s analysis and
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`criticize his declaration for failing to consider the number of ions in the initial
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`plasma when concluding that Mozgrin’s high-density plasma has a degree of
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`ionization in excess of 75%. Patent Owner Response at p. 3 (“ Dr. Kortshagen’s
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`argument can only possibly demonstrate the percentage of ions in the final, high-
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`density plasma, and is silent on what percentage of those ions were generated from
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`the neutral atoms in the initial plasma.”) (Paper No. 33) (emphasis in original).
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`Dr. Kortshagen, in his initial declaration, contemplated the ions present in
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`the initial plasma and concluded that the relatively few number of ions present in
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`the initial plasma did not affect his conclusion that Mozgrin super-ionized its initial
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`plasma. This is evidenced by his conclusion that “if Mozgrin’s neutral gas density
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`were about 2.0 x 1015 atoms cm-3, then at least 75% of the neutral argon gas would
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`have been ionized. . .” Kortshagen Decl. at ¶ 77 (Ex. 1002).
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`What Patent Owner fails to acknowledge is that the number of ions present
`
`in the initial plasma is much less than the number of ions present in the high-
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`density plasma. Mozgrin discloses that for its high-current diffuse regime 3, the
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`necessary pre-ionized plasma density is 107 - 109 cm-3 while the maximum density
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`for the high-density plasma was measured to be 1.5 x 1015 cm-3. Supp. Kortshagen
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`Decl. at ¶ 37 (Ex. 1020); see also Mozgrin at p. 401, left col. ¶ 3; p. 404, right col.
`
`¶ 2 (Ex. 1003). Thus, when Mozgrin’s high-power pulse increases the plasma
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`density, the density increase spans some six to eight orders of magnitude as it
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`increases from 107 - 109 cm-3 (initial plasma) to 1.5 x 1015 cm-3 (high-density
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`plasma).
`
`In order to examine the maximum number of ions contributed by Mozgrin’s
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`initial plasma, Dr. Kortshagen assumed Mozgrin’s densest disclosed initial plasma
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`having a density of 109 cm-3. Looking at this scenario, an additional 1.499999 x
`
`1015 cm-3 of neutral gas atoms in the initial plasma must be ionized in order to
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`generate the final high-density plasma in Mozgrin’s regime 3 having a measured
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`plasma density of 1.5 x 1015 cm-3. Supp. Kortshagen Decl. at ¶ 38 (Ex. 1020).
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`This is because the 1.499999 x 1015 cm-3 of ions generated during the high-power
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`pulse, when added to the 109 cm-3 of ions already present in the initial plasma,
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`results in a high-density plasma having a density of 1.5 x 1015 cm-3 as disclosed by
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`Mozgrin. Given that Mozgrin’s pre-ionization plasma would contribute
`
`0.000067% of the ions in the high-density plasma, the contribution is so small as to
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`be immaterial to Dr. Kortshagen’s initial conclusion that Mozgrin converts at least
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`75% of the neutral gas atoms in the pre-ionization plasma to generate the final
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`high-density plasma. See Kortshagen Dec. at ¶ 83 (Ex. 1002); Supp. Kortshagen
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`Decl. at ¶ 39 (Ex. 1020). As a result, Patent Owner’s criticism of Dr. Kortshagen’s
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`analysis in his initial declaration is unfounded and ultimately immaterial to the fact
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`that Mozgrin discloses “super-ionization” as claimed in the ’652 Patent.
`
`D.
`Patent Owner is incorrect in concluding that Mozgrin does not
`control its sputtering chamber pressure
`
`In a thinly-veiled attempt to further discredit Dr. Kortshagen’s analysis,
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`Patent Owner unilaterally concludes that Mozgrin does not control the pressure in
`
`his chamber such that when the gas temperature increases upon application of the
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`high-power pulse, the chamber pressure will likewise increase. Patent Owner
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`Response at pp. 2-3 (Paper No. 33). Based on this unsupported conclusion, Patent
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`Owner suggests that Dr. Kortshagen’s calculation of the gas temperature via the
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`ideal gas law does not account for this effect and is accordingly unreliable. This is
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`nothing more than an attorney-argument as Dr. Hartsough did not address
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`Mozgrin’s pressure control in his declaration. Nevertheless, Dr. Hartsough
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`testified in his deposition that he believes that Mozgrin does not control its
`
`pressure based on his reading of how the experiment is described in the Mozgrin
`
`Thesis, but not based on the Mozgrin reference itself. ’652 Hartsough Dep. Tr. at p.
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`99:23-100:7 (Ex. 1021).
`
`Unsurprisingly, Patent Owner’s bare conclusion that Mozgrin discloses a
`
`closed system with uncontrolled pressure is contrary to what a person of ordinary
`
`skill in the art reading Mozgrin would conclude. Mozgrin notes that the residual
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`gas pressure of his system is 8 x 10-6 torr, which – as Dr. Kortshagen explains – a
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`person of ordinary skill in the art would understand represents the system’s leak
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`rate. Mozgrin at p. 401, left col. ¶ 3 (Ex. 1003); Supp. Kortshagen Decl. at ¶ 44
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`(Ex. 1020). Armed with the knowledge of Mozgrin’s leak rate, a person of
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`ordinary skill in the art would conclude that Mozgrin does not use a closed system
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`because if he did then the pressure would fluctuate as soon as the feed gas is turned
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`off and impurities would begin to leak into the system. Supp. Kortshagen Decl. at
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`¶ 45 (Ex. 1020). The pressure fluctuations and growing presence of impurities
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`would have a profound effect on Mozgrin’s measurements and would render his
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`experiment highly irreproducible. Supp. Kortshagen Decl. at ¶ 46 (Ex. 1020).
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`Accordingly, a person of ordinary skill in the art would understand that
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`Mozgrin controls the pressure of its chamber by utilizing a continuous feed gas in
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`combination with a vacuum pump. Moreover, to the extent that Mozgrin’s
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`experimental setup is described by the Mozgrin Thesis, Figure 2.3 of the Mozgrin
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`Thesis illustrates a schematic of an experimental setup utilizing a continuous gas
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`feed in combination with a pump and a series of valves. Supp. Kortshagen Decl. at
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`23, fn. 2 (Ex. 1020). Mozgrin’s leak rate, along with the schematic in the Mozgrin
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`Thesis, does not in any way suggest that Mozgrin uses a closed system. Id.
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`Instead, a person of ordinary skill in the art would understand that Mozgrin uses a
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`continuous gas flow in order to control the level of impurities and obtain accurate,
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`reproducible measurements. Supp. Kortshagen Decl. at ¶ 46 (Ex. 1020). Thus, Dr.
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`Kortshagen’s analysis in his initial declaration remains accurate and correct.
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`E.
`Even if Mozgrin does not control its sputtering chamber pressure,
`Dr. Kortshagen’s analysis remains correct and demonstrates Mozgrin’s
`disclosure of “super-ionizing” its initial plasma.
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`Notwithstanding the litany of evidence that would suggest to a person of
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`ordinary sill in the art that Mozgrin utilizes a continuous gas feed which regulates
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`chamber pressure, Dr. Kortshagen’s initial conclusion that Mozgrin super-ionizes
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`its initial plasma remains correct even if Mozgrin utilized a closed vacuum
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`chamber system as suggested by Patent Owner. See IPR2014-00861, Patent
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`Owner’s Response at pp. 2-3 (Paper No. 33) (“Mozgrin does not control pressure
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`of his fill gas, so as temperature rises, pressure will rise.”).
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`As a threshold matter, a person of ordinary skill in the art would understand
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`that the increase in gas temperature occurs only in the volume of the high-density
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`plasma which comprises a small fraction of the overall chamber volume. Supp.
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`Kortshagen Decl. at ¶ 48 (Ex. 1020). Moreover, a person of ordinary skill in the
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`art would understand that the remaining volume of gas in the chamber will act as a
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`pressure buffer such that the chamber pressure will remain relatively constant
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`notwithstanding any localized pressure changes in the region of high-density
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`plasma. Supp. Kortshagen Decl. at ¶ 49 (Ex. 1020). Finally, the chamber wall
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`serves as a large heat sink which will keep the chamber wall temperature
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`essentially constant notwithstanding any changes in gas temperature, and likewise,
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`gas pressure. Id. As a result, a person of ordinary skill in the art would understand
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`that any pressure increase due to generation of high-density plasma will be
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`minimal.
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`In order to demonstrate the relatively little impact of any pressure change,
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`Dr. Kortshagen calculated the requisite gas temperature required to super-ionize
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`Mozgrin’s initial plasma under the unlikely dramatic circumstances in which
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`Mozgrin’s pressure is doubled from 0.2 torr to 0.4 torr when creating the high-
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`density plasma. Supp. Kortshagen Decl. at ¶ 50 (Ex. 1020). As gas temperature
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`and pressure are directly related, a twofold increase in pressure will require twice
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`as high a gas temperature to super-ionize Mozgrin’s initial plasma (in this case, the
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`requisite gas temperature increases to 1932 K). Supp. Kortshagen Decl. at ¶ 51
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`(Ex. 1020). As Dr. Kortshagen stated in his initial declaration, a person of
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`ordinary skill in the art would understand that Mozgrin’s disclosed application of
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`100kW of power to generate its high-density plasma will result in a gas
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`temperature of 2000 K which is in excess of the 1932 K temperature required to
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`super-ionize Mozgrin’s initial plasma in the presence of a twofold pressure
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`increase. Kortshagen Dec. at ¶ 81 (Ex. 1002); Supp. Kortshagen Decl. at ¶ 52 (Ex.
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`1020).
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`Thus, not only would a person of ordinary skill in the art understand that any
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`change in Mozgrin’s pressure during creation of the high-density plasma will be
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`minimal, but they would further understand that even if Mozgrin’s system
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`experienced a dramatic pressure change, its application of 100kW to generate its
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`high-density plasma will result in a gas temperature in excess of 2000 K. Supp.
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`Kortshagen Decl. at ¶ 53 (Ex. 1020). This gas temperature corresponds to a
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`neutral atom density of less than 2.0 x 1015 atoms cm-3 by virtue of the ideal gas
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`law, indicating that Mozgrin super-ionizes the initial pre-ionization plasma as
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`explained in the original Petition.
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`III. CLAIMS 1-17 ARE UNPATENTABLE OVER THE CITED PRIOR
`ART
`A. Mozgrin teaches super-ionizing an initial plasma to generate a
`high-density plasma as claimed by claim 1.
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`In its Response, Patent Owner concludes that claim 1 and its dependent
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`claims are patentable over Mozgrin because Petitioners failed to demonstrate that
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`Mozgrin “teach[es] or suggest[s] super-ionizing an initial plasma and excited
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`atoms so as to generate a high-density plasma, as required by claim 1.” Patent
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`Owner Response at 26 (Paper No. 33). The only support for this conclusion
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`offered by Patent Owner is that Dr. Kortshagen’s analysis suggests “that 75% of all
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`the atoms in the final-high density plasma are ions, without regard to the
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`percentage of neutral atoms in the initial plasma.” Id. (Paper No. 28) (emphasis in
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`original). Put another way, the only argument against Mozgrin’s disclosure of
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`super-ionizing an initial plasma put forth by both Patent Owner and its declarant,
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`Dr. Hartsough, is that Dr. Kortshagen does not explicitly include in his calculation
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`the ions and neutral atoms present in the initial plasma.
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`As explained above in Section II.C, the number of ions present in the initial
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`plasma is so much less than the number of ions present in the high-density plasma
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`as to make the initial plasma’s ion contribution negligible when calculating the
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`degree of ionization of the high-density plasma. Dr. Kortshagen understood this
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`when he concluded in his initial declaration that “[a] person of ordinary skill in the
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`art would have understood that if Mozgrin’s neutral gas density were about 2.0 x
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`1015 atoms cm-3, then at least 75% of the neutral argon gas would have been
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`ionized. . .” Kortshagen Decl. at ¶ 72 (Ex. 1002) (emphasis added). Thus, given
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`that the amount of ions present in the initial plasma is some six to eight orders of
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`magnitude less than the amount of ions present in the high-density plasma, the ion
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`contribution from the initial plasma is negligible and immaterial to the calculation
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`and the ultimate conclusion – that Mozgrin converts at least 75% of the neutral gas
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`atoms in the initial plasma to generate the final high-density plasma. Supp.
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`Kortshagen Decl. at ¶ 78 (Ex. 1002).
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`Further, as explained earlier in sections II.A, B, D, and E, a person of
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`ordinary skill in the art would understand that Mozgrin super-ionizes its initial
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`plasma notwithstanding any calculations based on the ideal gas law. Mozgrin
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`explicitly states that it observed a degree of ionization – embodied by the α value –
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`ranging from 0.7 to 1 which indicates that Mozgrin’s initial plasma was super-
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`ionized to create high-density plasma. Supp. Kortshagen Decl. at ¶¶ 31-34, 88 (Ex.
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`1020). Secondly, Mozgrin discloses the same two-step process for generating
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`high-density plasma, including use of power pulse characteristics that fall in the
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`ranges disclosed by the ’652 Patent. Supp. Kortshagen Decl. at ¶¶ 19-30, 88 (Ex.
`
`1020). Finally, even if a person of ordinary skill in the art reading Mozgrin would
`
`understand it to disclose a closed system susceptible to a pressure increase during
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`application of its high-power pulse, Mozgrin’s initial plasma is still super-ionized
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`to create a high-density plasma. Supp. Kortshagen Decl. at ¶¶ 47-53, 90 (Ex.
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`1020).
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`B. A person of ordinary skill in the art would be motivated to
`combine Mozgrin with Vratny in order to utilize a power supply
`comprising an RF source that generates an alternating electric field, as
`claimed by claim 5.
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`In its original Petition, Petitioners relied on Vratny which discloses a third
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`electrode separate from its cathode and anode that generates an RF bias on the
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`cathode in addition to the DC potential between the cathode and the anode.
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`Petition at 47-49 (Paper No. 2). Given that Vratny states that this additional RF
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`bias results in enhanced deposition rates, a person of ordinary skill in the art would
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`be motivated to combine Vratny’s RF power supply with the system in Mozgrin in
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`order to achieve similar enhanced deposition rates. Id. at 48 (Paper No. 2); see
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`also Vratny at 1:14-18 (Ex. 1008). Thus, Mozgrin in combination with V