Patent No. 6,806,652
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`_____________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________________
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`
`GLOBALFOUNDRIES U.S., INC.,
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`GLOBALFOUNDRIES DRESDEN MODULE ONE LLC & CO. KG,
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`GLOBALFOUNDRIES DRESDEN MODULE TWO LLC & CO. KG
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`
`
`Petitioner
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`v.
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`ZOND, LLC
`Patent Owner
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`U.S. Patent No. 6,806,652
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`_____________________
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`Inter Partes Review Case No. 2014-01089
`_____________________
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`PATENT OWNER’s PRELIMINARY RESPONSE
`UNDER 37 CFR § 42.107(a)
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`Claim 35
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`Patent No. 6,806,652
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`TABLE OF CONTENTS
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`I.
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`INTRODUCTION ..................................................................................................................1
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`II. TECHNOLOGY BACKGROUND ....................................................................................3
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`A. The Need for More Uniformly Distributed Plasmas.....................................................3
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`B. The ‘652 Patent: Dr. Chistyakov Invents a Technique for Generating Super
`Ionized Plasma Having A Uniform Charge Distribution. ........................................5
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`III. SUMMARY OF PETITIONER’S PROPOSED GROUNDS ..........................................9
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`IV. CLAIM CONSTRUCTION UNDER 37 C.F.R. §§ 42.104(B)(3) ...................................10
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`A. Construction of “means for generating an initial plasma and excited ions
`from a volume of feed as” ..........................................................................................10
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`B. Construction of “means for transporting the initial plasma and excited atoms
`proximate to a cathode assembly” ............................................................................16
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`C. Construction of “super-ionizing the initial plasma proximate to the cathode
`assembly” ....................................................................................................................18
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`V. PETITIONER HAS FAILED TO SHOW A REASONABLE LIKELIHOOD
`OF PREVAILING ON INDEPENDENT CLAIM 35. ...................................................21
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`A. Defects In Ground I: Petitioner Failed To Demonstrate A Reasonable
`Likelihood That 35 is Obvious Over Mozgrin, Kudryavtsev, and Fahey. ............21
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`a. Overview of Mozgrin ..........................................................................................22
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`b. Kudryavtsev .........................................................................................................24
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`c. Overview of Fahey ..............................................................................................28
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`d. Differences Between Claim 35 and the Ground I References .........................29
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`e.
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`Conclusion: Petitioner Has Not Shown a Reasonable Likelihood of
`Success That Claim 35 is Obvious for the Reasons Asserted in
`Ground I. ........................................................................................................36
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`B. Defects In Ground II: Petitioner Failed To Demonstrate A Reasonable
`Likelihood That Claim 35 is Obvious Over Mozgrin, Kudryavtsev, Fahey
`and Iwamura. ..............................................................................................................36
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`C. Defects In Ground III: Petitioner Failed To Demonstrate A Reasonable
`Likelihood That Claim 35 is Obvious Over Mozgrin and Iwamura.....................42
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`D. Defects In Ground IV: Petitioner Failed To Demonstrate A Reasonable
`Likelihood That Claim 35 is Obvious Over Mozgrin, Iwamura and Fahey ........44
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`E. The Petition Fails to Identify Any Compelling Rationale for Adopting
`Redundant Grounds of Rejection .............................................................................49
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`VI. CONCLUSION ....................................................................................................................54
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`Patent No. 6,806,652
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`I.
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`Introduction
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`The present petition for inter partes review is the third of three petitions
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`by The Gillette Company that challenge the patentability of every claim of
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`U.S. Patent No. 6,806,652 (“the ‘652 patent”). These petitions are part of a
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`campaign seeking to annul ten Zond patents, and every one of hundreds of
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`claims awarded to Zond. The present petition targets independent claim 35 of
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`the ‘652 patent.
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`The ‘652 patent is generally directed to a plasma source for generating a
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`super-ionized plasma having a high density of ions. The patent proposes a
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`source in which a volume of feed gas is converted to an initial plasma that is
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`filled with exited atoms. The plasma/excited atom mixture is then transported
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`to a region that is proximate to a cathode assembly, where the conditions
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`cause the transported mixture to super-ionize. This technique allows the initial
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`plasma to be created from a volume of feed gas under a first condition that
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`seeds the initial plasma with excited atoms. This facilitates the creation of a
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`denser, super-ionized plasma in the next stage. Thus, the transportation of this
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`mixture to another location exposes the mixture to a set of conditions that
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`generate a super-ionized plasma from the mixture. This staged technique
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`avoids the risk of arcing often associated with the formation of dense plasmas.
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`The present petition does not cite to any prior art reference that teaches
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`the claimed plasma source. Instead it weaves together up to four different
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`prior art references in an attempt to recreate the claims from carefully chosen
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`excerpts. The selected references have publication dates that span nearly 20
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`years. Yet in all that time, not one reference wrote down or proposed the
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`plasma source patented by Zond. Thus, as explained in this statement, the
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`Petitioner inadvertently resorts to hindsight analysis in the hope of persuading
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`the Board that the claim method was in fact obvious all along: Using the
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`claims as a schematic, the Petitioner carefully selects a set of prior art
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`references and assembles them to suit its objective.
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`In short, the art cited by the Petitioner for teaching sources of excited
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`atoms date back to 1979,1 nearly 24 years before Dr. Christyakov filed his
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`application for the ‘652 patent. But in all that time the Petitioner can find no
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`reference that suggested coupling the output of an excited atom source with a
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`super-ionization stage, to transport excited atoms to a super-ionization region,
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`despite the advantages of doing so. As the Supreme Court noted long ago:
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`But it is plain from the evidence, and from the very fact that it was
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`not sooner adopted and used, that it did not, for years, occur in
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`this light even to the most skilled persons. It may have been under
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`1 Ex. 1005, Fahey.
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`their very eyes, they may almost be said to have stumbled over it;
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`but they certainly failed to see it, to estimate its value and to bring
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`it to notice.2
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`II. Technology Background
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`A. The Need for More Uniformly Distributed Plasmas
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`The ‘652 patent explains that for certain plasma applications, such as
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`plasma etching or plasma sputtering, it is undesirable for the plasma’s ion
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`concentration to vary significantly from one location to another. For example
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`if the ion concentration is relatively high in one region, it can cause
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`corresponding non-uniformities in the target.3 The patent therefore is
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`directed to an improved method that generates highly dense plasmas with a
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`more uniform distribution of charged particles.
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`To provide context for understanding the improvements, the ‘652 patent
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`first describes a prior plasma generation system shown in figure 1 reproduced
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`below:4
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`2 The Barbed Wire Patent, 143 U.S. 275 (1891).
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`3 Ex. 1201, ‘652 Patent, col. 4, lines 23 – 30.
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`4 Ex. 1201, ‘652 patent, col. 4, lines 8 – 31.
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`In this system, a feed gas 110 flows into a chamber 104 at a location that is
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`remote from the region 105 where the plasma is formed.5 The patent explains
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`that neutral gas in the region 105 between electrodes 114 and 124 is ionized by
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`applying a voltage across the electrodes 114, 124 to create a plasma. In such
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`systems, ions tend to concentrate in certain portions of region 105.
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`The uniformity of the plasma can be improved by increasing the power
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`applied to the plasma via the voltage across the electrodes, to thereby increase
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`5 Ex. 1201, ‘652 patent, col. 3, lines 15 – 18.
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`the ion density and disperse the charged particles.6 However, increasing
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`plasma density and uniformity in this manner can significantly increase the
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`risk of an undesirable electrical breakdown and arcing condition.7
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`The ‘652 patent is therefore directed to an improved technique for
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`generating a super-ionized plasma with a relatively uniform density of charged
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`particles, while reducing the risk of arcing at such high charge densities.
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`B. The ‘652 Patent: Dr. Chistyakov Invents a Technique for
`Generating Super Ionized Plasma Having A Uniform Charge
`Distribution.
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`The ‘652 patent proposes a combination of features that generate a
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`super-ionized, uniformly distributed plasma, while mitigating the risk of
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`arcing. For example, in the system shown in figure 3 below, a feed gas 234 is
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`directed into a region 214 between electrodes 201b and 210.
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`6 Ex. 1201, ‘652 patent, col. 4, lines 31 – 32.
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`7 Ex. 1201, ‘652 patent, col. 4, lines 32 - 37.
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`A voltage from a first power supply 206 generates an electric field 250 across
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`the feed gas 214 as shown in the enlarged portion shown in figure 2B below.
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`The region 214 is designed to promote excitation of neutral atoms from the
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`feed gas for transportation into region 252, where the excited atoms are then
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`ionized by the high power pulses applied to electrodes 202a, 226. To generate
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`excited atoms in region 214, the size of the gap 212 and the parameters of the
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`electric field across the gap are chosen to promote the excitation of atoms in
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`region 214 for transportation to region 252.8 For example, where the feed gas is
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`argon (which requires 11.55 electron volts to become excited), the electric field
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`150 is adjusted to maximize the excitation rate of argons atoms so that “the
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`vast majority of ground state feed gas atoms are not directly ionized, but
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`instead undergo a step-wise ionization process.”9 Thus, the region operates as
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`a source of excited ions that generates more than a mere incidental amount of
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`excited atoms.
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`The region 214 is shaped to act as a conduit so that the pressure of the
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`feed gas physically transports the newly formed ions and the excited atoms
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`through region 214 into an adjacent region 252 where another electrode 202a
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`resides that is surrounded by a magnetic field generated by magnets 304.10 As
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`is known in the art, a magnetic field imposes a force on charges that move
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`through the field. The shape of the magnetic field is chosen so that such forces
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`trap electrons in the regions 308, where the magnetic field is weak:
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`8 Ex. 1201, ‘652 patent, col. 13, lines 42 – 47.
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`9 Ex. 1201, ‘652 patent, col. 13, lines 42 – 54.
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`10 Ex. 1201, ‘652 patent, col. 6, lines 50 – 52; col. 10, lines 10 – 12; col. 14,
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`lines 37 – 65.
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`“[T]he magnetic field 306 traps electrons in the initial plasma. A
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`large fraction of the electrons are concentrated in the region 308
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`that corresponds to the weakest area of the magnetic field 306 that
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`is generated by the magnet assembly 302.”11
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`Thus, as the transported mixture is injected into the region 310 and its
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`magnetic field, the concentration of electrons and excited atoms in the region
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`increases.
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`A second power supply 222 applies high power pulses to electrode 202a
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`to thereby launch additional power into the transported mixture in the region
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`to super-ionize the mixture.12 The patent explains that it takes significantly less
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`energy to ionize excited atoms than ground states atoms.13 Thus, the excitation
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`of ground state atoms in region 214, and the transportation of those excited
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`atoms to region containing electrons trapped by the magnetic field, facilitates
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`ionization in region and the generation of a super-ionized plasma.14
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`In short, the disclosed technique generates a super-ionized plasma by
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`first applying an electric field across a volume of feed gas, wherein the electric
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`11 Ex. 1201, ‘652 patent, col. 16, lines 24 – 30.
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`12 Ex. 1201, ‘652 patent, col. 11, lines 54 - 57
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`13 Ex. 1201, ‘652 patent, col. 14, lines 15 – 18.
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`14 Ex. 1201, ‘652 patent, col 14, lines 15 – 65,
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`field is chosen to partially ionize the feed gas and to promote the excitation of
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`neutral, ground state gas atoms. The resultant mixture of ions filled with
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`excited neutral gas atoms is then transported to another location where a
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`magnetic field traps a high concentration of electrons, while another electric
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`field applies more power to the mixture, to thereby ionize the excited atoms
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`and generate a super-ionized plasma.
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`III. Summary of Petitioner’s Proposed Grounds
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`For the Board’s convenience, here is a summary of the Petition’s proposed
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`claim rejections:
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`Ground
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`Claims
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`Basis
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`Art
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`35
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`35
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`35
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`35
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`103 Mozgrin, Kudryavtsev, and Fahey
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`103 Mozgrin, Kudryavtsev, Fahey, and Iwamura
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`103 Mozgrin and Iwamura
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`103 Mozgrin, Iwamura, and Fahey
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`I
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`II
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`III
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`IV
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`IV. Claim Construction Under 37 C.F.R. §§ 42.104(b)(3)
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`Pursuant to Rule §42.104(b)(3), the Petitioner “must identify [] how the
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`claim is to be construed” for purposes of comparing the challenged claim the
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`cited art.
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`A. Construction of “means for generating an initial plasma and
`excited ions from a volume of feed as”
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`The stated function of this means is to generate an initial plasma and
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`excited ions from a volume of gas, and more specifically from a “volume of
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`feed gas.” A “feed gas,” as its name implies, is a flow of gas. This
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`interpretation is consistent with the specification, which depicts the feed gas
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`234 in fig. 2b as a flowing gas represented by arrows 234:
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`The claims thus require ionization and excitation of a gas that is being fed.
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`This element says that the plasma and excited atoms are generated
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`“from a volume of feed gas.” This language specifically requires that both
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`ionization and excitation occur in the same volume of feed gas. This
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`interpretation is consistent with the specification’s disclosure in the figure
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`above, wherein a volume of feed gas in region 214 is both ionized and excited
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`by electric field 250 across the volume.15 Accordingly, the function of the
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`claimed means is the generation of both an initial plasma and excited atoms from the
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`same volume of feed gas, wherein a feed gas is a gas that is flowing.
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`One corresponding structure is shown in the excerpt from figure 2b
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`below:
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`As shown, cathode 202b and anode 210 define a volume of feed gas. A
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`voltage applied across the electrodes generates an electric field 250 across the
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`15 Ex. 1201, ‘652 patent, col. 8, line 63 – col. 9, line 5.
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`volume 214 that generates an initial plasma and excited atoms from the
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`volume of feed gas:16
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`After the formation of the initial plasma in the region 214, the first
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`power supply 206 (FIG. 2A) applies a high-power pulse between
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`the outer cathode section 202b and the first anode 210. This high-
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`power pulse generates the electric field 250 in the region 214. The
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`electric field 250 results in collisions occurring between neutral
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`atoms, electrons, and ions in the initial plasma. These collisions
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`generate numerous excited atoms in the initial plasma. The
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`excited atoms can include atoms that are in a metastable state.17
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`As the patent explains, the electric field applied across the volume is
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`particularly chosen to promote the excitation of “numerous” atoms.18 The
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`patent also explains that the dimensions of the volume are configured to
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`promote the excitation of atoms (since it influences the electric field resulting
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`from the applied voltage):
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`In one embodiment, the dimensions of the gap 212 between the
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`outer cathode section 202b and the first anode 210 are chosen so
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`as to maximize the rate of excitation of the atoms. The value of
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`the electric field 250 in the region 214 depends on the voltage level
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`16 Ex. 1201, ‘652 patent, co. 8, line 63 – col. 9, line 8.
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`17 Ex. 1201, ‘652 patent, col. 13, lines 8 – 16.
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`18 Ex. 1201, ‘652 patent, col. 6, lines 44 -50; col. 12, lines
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`applied by the first power supply 206 and the dimensions of the
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`gap 212. In some embodiments, the strength of the electric field
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`250 can be in the range of about 2V/cm to 10.sup.5 V/cm
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`depending on various system parameters and operating conditions
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`of the plasma system.
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`***
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`In one embodiment, the dimensions of the gap 212 and the
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`parameters of the applied electric field 250 are varied in order to
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`determine the optimum condition for a relatively high rate of
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`excitation of the atoms in the region 214. Since an argon atom
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`requires energy of about 11.55 eV to become excited, the applied
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`electric field 250 can be adjusted to maximize the excitation rate of
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`the argon atoms. As argon feed gas 234 flows through the region
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`214, the initial plasma is formed and many of the atoms in the
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`initial plasma then become excited by the applied electric field
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`250`.19
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`Thus, the structure in figure 2 corresponding to the claimed means is the
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`electrode chamber 214 that receives a feed gas and defines a volume of gas,
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`and an applied voltage(s) across the volume, wherein the volume 214 and the
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`voltage(s) are configured to generate an initial plasma and promote the
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`excitation of atoms.
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`19 Ex. 1201, ‘652 patent, col. 13, lines 26 - 54
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`Another structure for performing the claimed function is shown in the
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`excerpt from figure 12 below.
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`Here, “tube 733 and enclosure 735 define an electrode chamber 739 that is in
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`fluid communication with a gas inlet 740.”20 An electric field is generated
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`across the volume of gas in the electrode chamber 739 that excites the atoms in
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`the feed gas and generates an initial plasma:
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`In one illustrative mode of operation, ground state atoms in the
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`volume of feed gas 234 are supplied to the excited atom source
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`20 Ex. 1201, ‘652 patent, col. 26, lines 5 – 7.
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`732b through the gas inlet 740. A gas valve (not shown) controls
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`the flow of the feed gas 234. The pressure in the electrode chamber
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`739 is optimized to produce an initial plasma and exited atoms
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`including metastable atoms by adjusting parameters, such as the
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`flow rate of the feed gas 234, the diameter of the nozzle 734, and
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`the diameter of the aperture 737 of the skimmer 736. The first
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`power supply 731 generates an electric field (not shown) between
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`the needle electrode 741 and the skimmer 736. The electric field
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`raises the energy of the ground state atoms to an excited state that
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`generates the initial plasma and the excited atoms. Many of the
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`excited atoms are metastable atoms. The electric field can also
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`generate some ions and electrons along with the exited atoms.21
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`Thus, the corresponding structure in figure 12 is the electrode chamber 739
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`that receives a feed gas, defines a volume of feed gas, and applies voltage(s)
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`across the electrode chamber, wherein the chamber and voltage(s) are
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`configured to generate an initial plasma and promote the excitation of atoms
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`from the volume of feed gas in the chamber.
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`21 Ex. 1201, ‘652 patent, col. 26, lines 53 – 67.
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`B. Construction of “means for transporting the initial plasma and
`excited atoms proximate to a cathode assembly”
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`The petitioner interprets the claimed function of “transporting the initial
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`plasma and excited atoms” as - “moving the initial plasma and excited
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`atoms.” This “interpretation” substitutes the word “moving” for the word
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`“transporting,” but petitioner does not explain why, or explain the intended
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`difference between the substitute word - “moving” - and the original claim
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`term – “transporting.”
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`Patent Owner proposes that the function of the claimed means is to
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`“transport the initial plasma and excited atoms to a region that is proximate to
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`a cathode assembly.”
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`The corresponding structure in figure 2A below is the gas source that
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`continues to deliver feed gas to the volume 214 under sufficient pressure to
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`achieve the claimed function, in combination with the exit of the region 214
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`and its placement in proximately to the surface of cathode 202a:
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` The petitioner states that the cathode 202a must be a “different
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`cathode” from the electrode 202b. However, the claim language does not
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`impose such a limitation. The claim requires that the initial plasma and excited
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`atoms are transported to a location proximate to a cathode assembly, where
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`the means for super-ionizing generates a high-density plasma. It does not say
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`that the cathode assembly that performs super-ionization must be distinct as
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`petitioner alleges. It merely requires that the location proximate to the cathode
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`assembly be a location where super-ionization occurs.
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`Turning now to figure 12, the corresponding structure for performed the
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`claimed transportation function is a gas source that continues to deliver feed
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`gas to the volume 739 under sufficient pressure to achieve the claimed
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`function, in combination with the exit of nozzle 736 and its placement in
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`proximately to the surface of cathode 732a:
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`Thus, in general, the corresponding structure for performing the claimed
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`transportation function is a gas source that continues to deliver feed gas to a
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`structure that defines and contains a feed gas, and under sufficient pressure to
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`achieve the claimed transportation, in combination with the placement of an
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`output of that structure in proximity to a cathode assembly where the plasma is
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`super-ionized.
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`C. Construction of “super-ionizing the initial plasma proximate to
`the cathode assembly”
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`The petitioner proposes that the claimed function of “super-ionizing the
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`initial plasma proximate to the cathode assembly” should be construed as -
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`“converting at least 75% of the neutral atoms in the initial plasma into ions
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`near the cathode assembly.” The specification cited in support of this
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`interpretation says - “the ‘term super-ionized’ is defined herein to mean that at
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`least 75% of the neutral atoms in the plasma are converted.” This merely
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`indicates that in a plasma that is “super-ionized,” 75% of the neutrals in the
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`original feed gas have been converted to ions in the super-ionized plasma.
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`Thus, the Patent Owner proposes that the function of the claimed “means for
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`super-ionizing” is to ionize the plasma that is proximate to the cathode so that
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`at least 75% of the neutrals in the original feed gas have been converted to
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`ions.
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`The corresponding structure in figure 2 is a cathode surface that emits an
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`electric field of sufficient strength to super-ionize the transported mixture of
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`exited atoms and initial plasma:
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`Figure 2
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`Specification
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`“The second power supply 222 generates a
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`strong electric field between the second
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`anode 226 and the inner cathode section
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`202a. The strong electric field super-ionizes
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`the initial plasma to generate a high-density
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`plasma having an ion density that is greater
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`than the ion density of the initial plasma.”22
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`22 Ex. 1201, ‘652 patent, col. 16, lines 33 – 38.
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`The corresponding structure in figure 12 is also a cathode surface that emits
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`an electric field of sufficient strength to super-ionize the transported mixture of
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`exited atoms and initial plasma:
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`Figure 12
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`Specification
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`“After a sufficient volume of excited atoms
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`including metastable atoms is present
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`proximate to the inner cathode section 732a
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`of the cathode assembly 732, the second
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`power supply 222 generates an electric field
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`(not shown) proximate to the volume of
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`excited atoms between the inner cathode
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`section 732a and the second anode 706.
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`The electric field super-ionizes the initial
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`plasma by raising the energy of the initial
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`plasma including the volume of excited
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`atoms which causes collisions between
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`neutral atoms, electrons, and excited atoms
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`including metastable atoms in the initial
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`plasma.”23
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`Thus, more generally, the structure for performing the function of the
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`claimed super-ionizing means is a cathode surface that emits an electric field of
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`23 Ex. 1201, ‘652 patent, col. 27, lines 22 – 32.
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`sufficient strength to super-ionize the transported mixture of exited atoms and
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`initial plasma.
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`V.
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`Petitioner Has Failed to Show a Reasonable Likelihood of Prevailing
`on Independent Claim 35.
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`
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`A. Defects In Ground I: Petitioner Failed To Demonstrate A
`Reasonable Likelihood That 35 is Obvious Over Mozgrin,
`Kudryavtsev, and Fahey.
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`Ground I alleges that claim 35 is obvious in view of the combination of
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`Mozgrin, Kudryavtsev and Fahey. We begin by exploring the relevant scope
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`and content of these references. Even though Mozgrin and Kudryavtsev have
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`been discussed at length in previous papers, we revisit these references here
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`with an eye toward the features pertinent to the claims at issue, then address
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`Fahey.
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`a. Overview of Mozgrin
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`Mozgrin summarizes a variety of experiments he made using a planar
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`electrode structure of figure 1(a), and a bell shaped electrode structure shown
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`in figure 1(b), shown below:24
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`Planar Electrodes
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`Shaped Electrodes
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`Mozgrin says that the space between the electrodes was “filled up with either
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`neutral gas or pre-ionized gas” before a “voltage pulse” was applied.25 This
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`merely indicates that the space between the electrodes was “filled,” but makes
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`no mention of any flow of gas during the process, and therefore certainly does
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`not indicate a rate of gas flow in the region between the electrodes that could
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`transport any matter from the region between the electrodes.
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`24 Ex. 1203, Mozgrin, p. 401.
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`25 Ex. 1203, Mozgrin, page 401, left column.
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`To provide the “pre-ionized gas” between the electrodes, Mozgrin
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`applied DC voltage across the electrodes with “Stationary Discharge Supply
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`Unit” shown below.26
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`The “Stationary Supply Unit” emits a non-pulsed DC voltage to the electrodes
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`(before the voltage pulse is applied) to pre-ionize the gas that residing between
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`the electrodes.
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`Mozgin does not mention any excitation of atoms in the gas as a result
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`of this voltage from stationary supply unit. Therefore Mozgrin does not teach
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`or suggest that the DC voltage and the dimensions of the gap between the
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`electrodes should or could be chosen to promote excitation of the neutral gas
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`atoms as specified in the claim, nor any mention that such excited atoms can
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`be used as a precursor for generation ions to form a dense plasma. Nor, does
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`Mozgrin make any mention or suggestion that his pre-ionized plasma could or
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`should be transported to a different location for further ionization as specified
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`in the claims.
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`26 Ex. 1203, Mozgrin, page 401, right col.
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`Instead, the pre-ionized gas created by Mozgrin’s DC voltage apparently
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`remains in the same location when Mozgrin’s High-Voltage component
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`superimposes the voltage pulse across the electrodes to thereby grow the
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`density of the pre-ionized gas.27 Thus, the high voltage component increases
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`the density of the pre-ionized plasma, while the plasma remains in the same
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`location where the stationary unit created it.
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`b. Kudryavtsev
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`Petitioner next cites to Kudryavtsev for his discussion of the formation of
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`excited atoms and ions.28 We discuss Kudryavtsev at length below but the
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`most important issue for purposes of claim 35 is that Kudryavtsev simply does
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`not address the formation of excited atoms in a volume of feed gas while that
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`feed gas is being initially ionized as recited in claim 35. Kudryavtsev does not
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`consider or discuss the formation of excited atoms and an initial plasma from a
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`volume of feed gas. His article deals with the reaction of an existing plasma
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`when an electric field is suddenly applied, and the formation of ions and
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`excited atoms as a result of that pulse.
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`27 Ex. 1203, Mozgrin, p. 401, right col.
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`28 Petition at page 21.
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`In figure 6 below, Kudryavtsev’s mathematical model predicts that
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`different types of ionization will occur in a tube-shaped electrode, depending
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`on the tube’s radius R, the gas pressure p in the tube, the strength of the
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`applied electric field E, and the density of ground state argon atoms n1, as
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`shown in the diagram below:
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`Under the conditions represented by region II of this diagram, direct ionization
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`predominates (i.e., gas atoms directly ionize without first transitioning to an
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`excited state); in region III electron density does not increase; and in region I
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`“step-wise ionization predominates” (i.e., atoms are first excited and then
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`ionized).29
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`Kudyavtsev thus teaches that whether such a tube-shaped system will
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`implement direct ionization or multi-stage ionization will depend on various
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`29 Ex. 1206, Kudryatsev, page 34.
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`factors, including the radius of the electrodes, the gas pressure within the
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`electrode tube, and the strength of the applied electric field.
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`To test the accuracy of his equations, Kudryavtsev conducted a variety
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`of experiments with a device having a pair of electrodes spaced nearly two feet
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`(52 cm) apart from each other at opposite ends of a narrow tube less than an
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`inch (2.5 cm) in diameter.30 A gas in the tube was “pre-ionized” by applying a
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`DC current,” but Kudryavtsev does not describe any details of this process,
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`such as whether the gas was flowing during ionization.31
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`A voltage pulse was then delivered to the “pre-ionized” plasma within
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`the tube circuit. Kudryavtsev does not provide any values for his voltage pulse
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`and no current values, and never teaches that the proper selection of a voltage
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`pulse can optimize the generation of excited atoms in his tube. In fact, he
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`merely says that he used a “specially designed electric circuit” for generating
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`pulses, without any teaching of that design and its relation to promoting the
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`generation of excites atoms.
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`But more importantly, Kudryatsev’s voltage pulse was applied to the
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`“per-ionized” plasma within the same tube where the pre-ionized plasma was
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