throbber
DOCKET NO: 0107131-00270 US3
`‘652 Patent
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT:
`
`6,806,652, CLAIM 35
`
`INVENTOR: ROMAN CHISTYAKOV
`
`
`
`FILED:
`
`MAY 12, 2003
`
`ISSUED: OCTOBER 19, 2004
`
`HIGH-DENSITY PLASMA SOURCE USING EXCITED ATOMS
`
`TITLE:
`
`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
`CLAIM 35 of U.S. PATENT NO. 6,806,652
`
`I, Uwe Kortshagen, declare as follows:
`
`1. My name is Uwe Kortshagen.
`
`2.
`
`I received my Diploma in Physics from the University of Bochum in
`
`Germany in 1988. I received my Ph.D. in Physics from University of Bochum in
`
`1991 and my Habilitation in Experimental Physics from University of Bochum in
`
`1995.
`
`3.
`
`I am a Distinguished McKnight University Professor at the University
`
`of Minnesota. I have been the Head of the Mechanical Engineering Department at
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`INTEL 1202
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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
`
`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
`
`1996 and August 1999, I was an Assistant Professor at the Mechanical Engineering
`
`Department at the University of Minnesota. Between April 1996 and July 1996, I
`
`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
`
`Graduate Studies at the Mechanical Engineering Department at the University of
`
`Minnesota.
`
`4.
`
`I have taught courses on Introduction to Plasma Technology and
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`Advanced Plasma Technology. These courses include significant amounts of
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`material on plasma technology. In addition, I have taught a Special Topics class
`
`on Plasma Nanotechnology.
`
`5.
`
`Plasma processes for advanced technological applications has been
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`the primary area of my professional research for over 30 years. Most of my Ph.D.
`
`students go on to work on plasmas either in academia or the semiconductor
`
`industry.
`
`6.
`
`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
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`7.
`
`I have reviewed the specification, claims, and file history of U.S.
`
`Patent No. 6,806,652 (the “‘652 Patent”) (Ex. 1201). I understand that the ‘652
`
`Patent was filed on May 12, 2003. I understand that, for purposes determining
`
`whether a publication will qualify as prior art, the earliest date that the ‘652 Patent
`
`could be entitled to is May 12, 2003.
`
`8.
`
`I have reviewed the following publications:
`
` D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary
`
`Discharge in a Magnetic Field: Experimental Research, Plasma Physics
`
`Reports, Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1203)).
`
` D. W. Fahey, et al., High flux beam source of thermal rare-gas
`
`metastable atoms, J. Phys. E; Sci. Insrum., Vol. 13, 1980 (“Fahey” Ex.
`
`1205)).
`
` A. A. Kudryavtsev, et al, Ionization relaxation in a plasma produced by a
`
`pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), January 1983
`
`(“Kudryavtsev” (Ex. 1206)).
`
` U.S. Patent No. 5,753,886 (“Iwamura” (Ex. 1208)).
`
`Of these, I understand that only Mozgrin was of record during prosecution of
`
`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
`
`someone to make and use the plasma generation and sputtering processes that are
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`described in the above publications.
`
`10.
`
`I have considered certain issues from the perspective of a person of
`
`ordinary skill in the art at the time the ‘652 Patent application was filed. In my
`
`opinion, a person of ordinary skill in the art for the ‘652 Patent would have found
`
`the ‘652 Patent invalid.
`
`11.
`
`I have been retained by Intel Corporation (“Intel” or “Petitioner”) as
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`an expert in the field of plasma technology. I am being compensated at my normal
`
`consulting rate of $350/hour for my time. My compensation is not dependent on
`
`and in no way affects the substance of my statements in this Declaration.
`
`12.
`
`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
`
`inventor of the ‘652 Patent.
`
`I.
`
`RELEVANT LAW
`13.
`
`I am not an attorney. For the purposes of this declaration, I have been
`
`informed about certain aspects of the law that are relevant to my opinions. My
`
`understanding of the law is as follows:
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`A. Claim Construction
`14.
`I have been informed that claim construction is a matter of law and
`
`that the final claim construction will ultimately be determined by the Board. For
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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 have been understood by one skilled in the relevant art.
`
`15.
`
`I have been informed and understand that a claim in inter partes
`
`review is given the “broadest reasonable construction in light of the specification.”
`
`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
`
`term that lacks a definition in the specification is therefore also given a broad
`
`interpretation.
`
`B. Anticipation
`16.
`I have been informed and understand that a patent claim can be
`
`considered to have been anticipated at the time the application was filed. This
`
`means that if all of the requirements of a claim are found in a single prior art
`
`reference, the claim is not patentable. I have also been informed that a U.S. Patent
`
`can incorporate by reference subject matter from another U.S. Patent or Patent
`
`Publication. In such instances, I have been informed that I should consider them to
`
`be a single prior art reference. I further understand that a claim is anticipated by a
`
`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
`
`reference.
`
`C. Obviousness
`17.
`I have been informed and understand that a patent claim can be
`
`considered to have been obvious to a person of ordinary skill in the art at the time
`
`the application was filed. This means that, even if all of the requirements of a
`
`claim are not found in a single prior art reference, the claim is not patentable if the
`
`differences between the subject matter in the prior art and the subject matter in the
`
`claim would have been obvious to a person of ordinary skill in the art at the time
`
`the application was filed.
`
`18.
`
`I have been informed and understand that a determination of whether
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`a claim would have been obvious should be based upon several factors, including,
`
`among others:
`
` the level of ordinary skill in the art at the time the application was filed;
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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.
`
`19.
`
`I have been informed and understand that the teachings of two or
`
`more references may be combined in the same way as disclosed in the claims, if
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`such a combination would have been obvious to one having ordinary skill in the
`
`art. In determining whether a combination based on either a single reference or
`
`multiple references would have been obvious, it is appropriate to consider, among
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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
`
`results;
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` whether a person of ordinary skill in the art could implement a
`
`predictable variation, and would see the benefit of doing so;
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` whether the claimed elements represent one of a limited number of
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`known design choices, and would have a reasonable expectation of
`
`success by those skilled in the art;
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` whether a person of ordinary skill would have recognized a reason to
`
`combine known elements in the manner described in the claim;
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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
`
`improve a similar device or method in a similar way.
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`20.
`
`I understand that one of ordinary skill in the art has ordinary
`
`creativity, and is not an automaton.
`
`21.
`
`I understand that in considering obviousness, it is important not to
`
`determine obviousness using the benefit of hindsight derived from the patent being
`
`considered.
`
`II. BRIEF DESCRIPTION OF TECHNOLOGY
`22. The ‘652 Patent, entitled “High-Density Plasma Source Using Excited
`
`Atoms,” generally relates to the field of plasma processing. Plasma processing
`
`involves using plasma to modify the chemical and physical properties of the
`
`surface of a material.
`
`23. Plasma processing had been used in research and industrial
`
`applications for decades before the ‘652 Patent was filed. For example, sputtering
`
`is an industrial process that uses plasmas to deposit a thin film of a target material
`
`onto a surface called a substrate (e.g., silicon wafer during a semiconductor
`
`manufacturing operations). Ions in the plasma strike a target surface causing
`
`ejection of a small amount of target material. The ejected target material then
`
`forms a film on the substrate.
`
`24. The use of high-density plasmas and excited atoms in plasma
`
`processing was also well-understood before the filing of the ‘652 Patent. For
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`example, as discussed further below, Mozgrin (Ex. 1203) and Kudryavtsev (Ex.
`
`1206), developed high-density plasma processing techniques using excited atoms.
`
`A.
`Plasma
`25. A plasma is a collection of ions, free electrons, and neutral atoms.
`
`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.
`
`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
`
`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.
`
`B.
`Excited atoms
`27. Atoms have equal numbers of protons and electrons. Each electron
`
`has an associated energy state. If all of an atom’s electrons are at their lowest
`
`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
`
`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-).
`
`29. An ion is an atom that has become disassociated from one or more of
`
`its electrons, and thus has a positive charge. A collision between a free, high
`
`energy electron and a ground state atom or an excited atom can create an ion. The
`
`‘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+:
`
`Ar + e- [] Ar* + e-
`
`Ar* + e- [] Ar+ + 2e-
`
`‘652 Patent at 14:1-14 (Ex. 1201).1
`
`
`1 U.S. Pat. No. 7,147,759 (Ex. 1207), by the same named inventor, shows these
`
`multi-step ionization equations at 9:37-51. There is a printing error in the ‘652
`
`Patent (i.e., with empty boxes replacing arrows), but the equations are shown
`
`correctly in the ‘759 Patent.
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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 the Alleged Invention of the ‘652 Patent
`31. The ‘652 Patent, claim 35, relates to a high-density plasma source that
`
`creates a plasma in two stages: (i) an excited atom source with a first power
`
`supply generates an initial plasma and excited atoms from a feed gas, and (ii) a
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`second power supply is used to “super-ionize” the initial plasma to generate a high-
`
`density plasma. Claim 35 also specifies the function of “transporting” the initial
`
`plasma with excited atoms from a first location where they are generated to a
`
`separate location where the high density plasma is generated.
`
`32. The ‘652 Patent has multiple embodiments in which an initial plasma
`
`and excited atoms are created at a first location, and then transported to a second
`
`location where a second power supply provides high power pulses. See, e.g.,
`
`Figure 2 and description at 5:43, et seq.; Figure 12 and description at 25:30 et seq.
`
`(Ex. 1201).
`
`33.
`
`In the FIG. 12 embodiment, the first location is excited atom source
`
`732b (annotated in color below) is powered by a first power supply 731. ‘652
`
`Patent at 2:52-55 (Ex. 1201):
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`FIG. 12 of ‘652 Patent (Ex. 1201)
`
`
`
`The excited atom source 732b generates an initial plasma and excited atoms. ‘652
`
`Patent at 25:35-38 (Ex. 1201) (“The excited atom source 732b generates an initial
`
`plasma and excited atoms including metastable atoms from ground state atoms
`
`supplied by a volume of feed gas 234.”). The excited atom source 732b directs the
`
`initial plasma and excited atoms through a skimmer 736 to an area proximate
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`cathode 732a. 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.
`
`1201). The skimmer is designed to block most of the electrons and ions, but it
`
`allows the ground state and excited atoms to pass through to cathode section 732a.
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`The excited atom source is configured such that a continued flow of gas causes the
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`initial plasma and excited atoms to be moved (“transported”) from the skimmer to
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`the second location proximate to cathode 732a and anode 706. See ‘652 Patent,
`
`FIG. 12 (Ex. 1201).
`
`34. At the second location proximate to cathode 732a and anode 706, a
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`second power supply 222 generates an electric field that is said to “super-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 atoms is
`
`present proximate to the inner cathode section 732a …, the second power supply
`
`222 generates an electric field (not shown) proximate to the volume of excited
`
`atoms [that] super-ionizes the initial plasma….”) (Ex. 1201). The ‘652 Patent
`
`defines the term “super-ionized” as meaning “that at least 75% of the neutral atoms
`
`in the plasma are converted to ions.” ‘652 Patent, 5:8-10 (Ex. 1201).2
`
`35. The excited atom source 732b that generates excited atoms from the
`
`feed gas is distinct and in a separate location from cathode 732a, anode 706, and
`
`
`2 The “super-ionized” plasma is of the “initial plasma” generated from the feed gas
`
`and not a plasma of other materials. For example, in a sputtering process, it is
`
`known that systems can get significant ionization of sputtered metal. See, e.g.,
`
`U.S. Patent No. 6,413,382 to Wang at 5:62-65 (“It is anticipated that the copper
`
`ionization fraction using the Torpedo magnetron will be well over 80% at these
`
`high peak powers.”) (Ex. 1204).
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`power supply 222 that “super-ionize” the plasma. The ‘652 Patent explains, for
`
`example, that multiple excited atoms sources can be used, in which case they could
`
`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
`
`excited atom sources (not shown) can surround the inner cathode section 732a.”
`
`‘652 Patent, 25:42-44 (Ex. 1201).
`
`36. The ‘652 patent does not disclose how specifically to generate a
`
`super-ionized plasma other than to raise the energy. For example, in the discussion
`
`of FIG. 12, the ‘652 patent merely states that the “electric field super-ionizes the
`
`initial plasma by raising the energy of the initial plasma including the volume of
`
`excited atoms which causes collisions between neutral atoms, electrons, and
`
`excited atoms including metastable atoms in the initial plasma.” ‘652 Patent at
`
`27:22-37 (Ex. 1201).
`
`IV. CLAIM CONSTRUCTION
`A.
`Introduction
`37. A claim in inter partes review is given the “broadest reasonable
`
`construction in light of the specification.” 37 C.F.R. § 42.100(b). Any claim term
`
`that lacks a definition in the specification is therefore also given a broad
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`interpretation.3 In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir.
`
`2007). Should the Patent Owner, in order to avoid the prior art, contend that the
`
`claim has a construction different from its broadest reasonable interpretation, the
`
`appropriate course is for the Patent Owner to seek to amend the claim to expressly
`
`correspond to its contentions in this proceeding. See 77 Fed. Reg. 48764 (Aug. 14,
`
`2012).
`
`B.
`
`“means for generating an initial plasma and excited atoms from a
`volume of feed gas”
`
`1.
`
`Function
`
`38. The function is “generating both an initial plasma and excited atoms
`
`from a volume of feed gas.”
`
`39.
`
`It is well known that any plasma of the type generated using
`
`techniques in the ‘652 Patent will have some amount of ground state atoms,
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`excited atoms, electrons, and ions. To give meaning to the claim language that
`
`generates “an initial plasma and excited atoms,” 4 this function should be
`
`understood to refer to generating an initial plasma along with some additional
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`3 Petitioner adopts the “broadest reasonable construction” standard as required by
`
`37 C.F.R. § 42.100(b). Petitioner reserves the right to pursue different
`
`constructions in a district court, where a different standard is applicable.
`
`4 All bold/italics emphasis is added.
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`amount of excited atoms. The ‘652 Patent generates additional excited atoms
`
`relative to the rest of the plasma by blocking some of the ions and electrons in the
`
`plasma, e.g., with a skimmer (Fig. 12). When the plasma is transported from the
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`means for generating, it will have more excited atoms than it otherwise would. Id.
`
`According to the ‘652 Patent, “[t]he excited atoms can increase the density of the
`
`plasma. Since excited atoms generally require less energy to ionize than ground
`
`state gas atoms, a volume of excited atoms can generate a higher density plasma
`
`than a similar volume of ground state feed gas atoms for the same input energy.”
`
`‘652 Patent 6:45-50 (Ex. 1201).
`
`2.
`
`Structure
`
`40. There are two types of corresponding structures for the “means for
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`generating:”
`
`(1) an excited atom source (FIG. 12); and
`
`(2) a gap structure (e.g., FIGS. 2-6).
`
`41. The first structure corresponding to the function is excited atom
`
`source 732b shown in Figure 12 and described at 25:30-28:16, with the structure is
`
`identified more specifically at 25:60-26:15 (Ex. 1201). See also Section V.A.,
`
`supra.
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`42. The second structure corresponding to the function is shown in Figure
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`2 and other figures with a similar gap structure along with some “configuration” to
`
`generate excited atoms and includes:
`
` a gap 212 or region 214) defined by (a) an outer cathode section
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`(202b, 658, 702b, or 724) and (b) an anode (210, 656b, or 722b)
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`spaced apart from the cathode; and
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` a first power supply 206 which is distinct and separate from the
`
`power supply (“second power supply” 222) used to super-ionize the
`
`plasma (“The first power supply can be a DC, AC, or a RF power
`
`supply.” ‘652 Patent at 9:4-5 (Ex. 1201)).
`
`C.
`
`“means for transporting the initial plasma and excited atoms
`proximate to a cathode assembly”
`
`1.
`
`Function
`
`43. The function is “moving the initial plasma and excited atoms from
`
`where they were generated to a location near a cathode assembly.”
`
`44. A plain reading of this function is that the initial plasma with excited
`
`atoms is generated in one location (as discussed above, in a gap or with an “excited
`
`atom source”), and moved to another location near a cathode assembly where the
`
`plasma is super-ionized.
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`2.
`
`Structure
`
`45. The structures for performing the function are a gas exchange system
`
`238, 242 that flows gas through the outer cathode sections
`
`202b/656b/702b/722b/732b (shown, e.g., in Figures 2, 3, 5, 6, and 12); through gap
`
`214; toward inner cathode assembly 202a/732a. See ‘652 Patent at 8:1-28; 10:8-
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`17; 14:37-43; 17:63-18:9; 21:63-22:8; 27:15-20 (Ex. 1201).
`
`46. Because the “means for generating” already includes a cathode, the
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`“cathode assembly” referred to in the “means for transporting” – that is, the
`
`location to which the initial plasma is transported – must refer to a different
`
`cathode from the structure that corresponds to the “means for generating”. The
`
`embodiments shown in all the figures consist of an “outer” cathode and an “inner”
`
`cathode. See, e.g., ‘652 Patent, 5:43-55; 12:49-50; 16:11-20; 19:37-42; 20:20-25;
`
`21:22-35; 22:48-57; 24:66-25:11; and Figures 2A, 2B, 3, 5, 6, 7, 8, 9, 10, and 11
`
`(Ex. 1201). The inner cathode is the “cathode assembly” to which the initial
`
`plasma is transported.
`
`D.
`
` “means for super-ionizing the initial plasma proximate to the
`cathode assembly”
`
`1.
`
`Function
`
`47. Super-ionizing is defined to mean that “at least 75% of the neutral
`
`atoms in the plasma are converted to ions.” ‘652 Patent, 5:8-10 (Ex. 1201).
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`Therefore, the function of the means described above is “converting at least 75%
`
`of the neutral atoms in the initial plasma into ions near the cathode assembly.”
`
`48.
`
`I further understand that in related district court litigation, Patent
`
`Owner has similarly proposed construing “super-ionizing” to mean “converting at
`
`least 75% of the neutral atoms in the plasma to ions.” Plaintiff Zond LLC’s
`
`Preliminary Proposed Claim Constructions, Civil Action No. 13-cv-11634-WGY
`
`at 3 (Ex. 1213).
`
`2.
`
`Structure
`
`49. The corresponding structures are a second power supply 222 ,
`
`separate from the first power supply which generates the initial plasma. The
`
`second power supply 222 generates an electric field across inner cathode 202a
`
`(e.g., Fig. 2A, 2B, 3, 5, and 6) or inner cathode 732a (Fig. 12); and inner anode 226
`
`or 658 (e.g., Fig. 2A, 2B, 3, 5, and 6); or inner anode 706 (Fig. 12). See, e.g., ‘652
`
`Patent at 7:20-29; 16:33-41; 18:10-21; 20:48-56; 22:9-16; 27:23-37 (Ex. 1201).
`
`V. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the prior art
`50. As explained in detail below, limitation-by-limitation, there is nothing
`
`new or non-obvious in Zond’s claim.
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`B. Overview of Mozgrin
`51. Mozgrin discloses a high density plasma source. Fig. 7 of Mozgrin,
`
`copied below, shows the current-voltage characteristic (“CVC”) of a plasma
`
`discharge generated by Mozgrin.
`
`
`
`As shown, Mozgrin divides this CVC into four distinct regions.
`
`52. Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2
`
`(“Part 1 in the voltage oscillogram represents the voltage of the stationary
`
`discharge (pre-ionization stage).”) (Ex. 1203).
`
`53. Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin
`
`at 409, left col, ¶ 4 (“The implementation of the high-current magnetron
`
`discharge (regime 2)…”) (Ex. 1203). Application of a high voltage to the pre-
`
`ionized plasma causes the transition from region 1 to 2. Mozgrin teaches that
`
`region 2 is useful for sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was
`
`characterized by an intense cathode sputtering…”) (Ex. 1203).
`
`- 20 -
`
`

`

`54. Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at
`
`409, left col, ¶ 5 (“The high-current diffuse discharge (regime 3)…”) (Ex. 1203).
`
`Increasing the current applied to the “high-current magnetron discharge” (region 2)
`
`causes the plasma to transition to region 3. Mozgrin also teaches that region 3 is
`
`useful for etching, i.e., removing material from a surface. Mozgrin at 409, left col,
`
`¶ 5 (“The high-current diffuse discharge (regime 3) is useful …. Hence, it can
`
`enhance the efficiency of ionic etching…”) (Ex. 1203).
`
`55. Mozgrin’s region 4 is the arc region. Mozgrin teaches avoiding arcs
`
`by, for example, limiting the current so that the plasma will remain in the arc-free
`
`regions 2 (sputtering) or 3 (etching).
`
`56.
`
`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. 1203). In Mozgrin’s region 3, the plasma density
`
`is even higher. Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge
`
`(regime 3) is useful for producing large-volume uniform dense plasmas ni 
`
`1.5x1015cm3…”) (Ex. 1203). This density in region 3 is three orders of magnitude
`
`greater than what the ‘652 Patent describes as “high-density.” ‘652 Patent at
`
`10:62-63 (“[T]he peak plasma density of the high-density plasma is greater than
`
`- 21 -
`
`

`

`about 1012 cm-3”). Mozgrin took into account the teachings of Kudryavtsev.
`
`Mozgrin at 401, ¶ spanning left and right cols. (“Designing the unit, we took into
`
`account the dependences which had been obtained in [Kudryavtsev]…”) (Ex.
`
`1203).
`
`C. Overview of Kudryavtsev
`57. Kudryavtsev is a technical paper that studies the ionization of a
`
`plasma with voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1206).
`
`In particular, Kudryavtsev describes how ionization of a plasma can occur via
`
`different processes. The first process is direct ionization, in which ground state
`
`atoms are converted directly to ions. See, e.g., Id. at Fig. 6 caption (Ex. 1206).
`
`The second process is multi-step ionization, which Kudryavtsev calls stepwise
`
`ionization. See, e.g., Id. (Ex. 1206). Kudryavtsev notes that under certain
`
`conditions multi-step ionization can be a dominant ionization process. See, e.g.,
`
`Id. (Ex. 1206).
`
`58. 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).
`
`- 22 -
`
`

`

`
`
`Kudryavtsev at 31, right col, ¶ 7 (Ex. 1206).
`
`59. 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
`
`lowest excited state (middle line labeled “2”). See also Kudryavtsev at Fig. 6 (Ex.
`
`1206). The thin arrows labeled Γ1e show that direct ionization produces ions at a
`
`roughly constant rate in both the slow and fast stages. The thick arrow labeled Γ2e
`
`- 23 -
`
`

`

`in Fig. 1b shows that multi-step ionization can produce ions at a much greater rate
`
`than direct ionization.
`
`60. 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. 1206). 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. 1206).
`
`D. Overview of Fahey
`61. 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. 1205); see also Fahey at 381, right col, ¶ 2 (“The source
`
`is capable of providing very stable thermal energy beams of … argon metastable
`
`atoms.”) (Ex. 1205). Figure 1 of Fahey shows a schematic of the disclosed beam
`
`source. Fahey, Figure 1 (Ex. 1205). Fahey’s excited atom source has substantially
`
`- 24 -
`
`

`

`the same structure as the ‘652 Patent’s excited atom source in Figure 12, as shown
`
`below in the discussion of claim limitation 35(a).
`
`E. Overview of Iwamura
`62.
`Iwamura discloses “a plasma treatment apparatus for treating a
`
`surface of an object….” Iwamura at 2:51-52 (Ex. 1208). Iwamura can operate at
`
`atmosphere, or under vacuum. Id. at 12:20-26 (Ex. 1208). 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. 1208); .
`
`63.
`
`Iwamura discloses multiple ways for generating excited atoms, and
`
`discloses the desirability of providing a first excitation step followed by a further
`
`energy providing step, and also claims such a system. Iwamura at 2:1-50, claim 1
`
`(Ex. 1208); .
`
`- 25 -
`
`

`

`VI. SPECIFIC GROUNDS FOR PETITION
`64. Pursuant to Rule 42.104(b)(4)-(5), the below sections demonstrate in
`
`detail how the prior art discloses each and every limitation of challenged claim 35
`
`of the ‘652 Patent, and how this claim is rendered obvious by the prior art.
`
`A. Ground I: Claim 35 would have been obvious over Mozgrin,
`Kudryavtsev, and Fahey
`1.
`
`The preamble : “[a] high-density plasma source
`comprising.”
`65. The ‘652 Patent defines “high-density plasma” as follows: “The terms
`
`‘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,
`
`10:59-63 (Ex. 1201).
`
`66.
`
`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. 1203). In Mozgrin’s region 3, the plasma density
`
`is even higher. Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge
`
`(regime 3) is useful for producing large-volume uniform dense plasmas ni 
`
`1.5x1015cm-3…”) (Ex. 1203). This density in region 2

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