throbber
Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
`DOCKET NO: 0107131.00271US5
`’142 PATENT
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT: 6,853,142, CLAIMS 40 and 41
`
`INVENTOR: ROMAN CHISTYAKOV
`
`
`
`FILED: NOV. 4, 2002
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` ISSUED: FEB. 8, 2005
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`TITLE: METHODS AND APPARATUS FOR GENERATING HIGH-
`DENSITY PLASMA
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`DECLARATION OF UWE KORTSHAGEN, PH.D., REGARDING
`CLAIMS 40 and 41 OF U.S. PATENT NO. 6,853,142
`
`I, Uwe Kortshagen, declare as follows:
`
`
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`1. My name is Uwe Kortshagen.
`
`2.
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`I received my Diploma in Physics from the University of Bochum in
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`Germany in 1988. I received my Ph.D. in Physics from University of Bochum in
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`1991 and my Habilitation in Experimental Physics from University of Bochum in
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`1995.
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`3.
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`I am a Distinguished McKnight University Professor at the University
`
`of Minnesota. I have been the Head of the Mechanical Engineering Department at
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`INTEL 1402
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`the University of Minnesota since July 2008. I have been a Professor at the
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`Mechanical Engineering Department at the University of Minnesota since August
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`2003. Between August 1999 and August 2003, I was an Associate Professor at the
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`Mechanical Engineering Department at the University of Minnesota. Between July
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`1996 and August 1999, I was an Assistant Professor at the Mechanical Engineering
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`Department at the University of Minnesota. Between April 1996 and July 1996, I
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`was a Lecturer at the Department of Physics and Astronomy at the University of
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`Bochum, Germany. Between August 2006 and June 2008, I was the Director of
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`Graduate Studies at the Mechanical Engineering Department at the University of
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`Minnesota.
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`4.
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`I have taught courses on Introduction to Plasma Technology and
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`Advanced Plasma Technology. These courses include significant amounts of
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`material on plasma technology. In addition, I have taught a Special Topics class
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`on Plasma Nanotechnology.
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`5.
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`Plasma processes for advanced technological applications has been
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`the primary area of my professional research for over 30 years. Most of my Ph.D.
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`students go on to work on plasmas either in academia or the semiconductor
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`industry.
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`6.
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`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`7.
`
`I have reviewed the specification, claims, and file history of U.S.
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`Patent No. 6,853,142 (the “‘142 patent”) (Ex. 1401). I understand that the ’142
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`patent was filed on November 4, 2002. I understand that, for purposes of
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`determining whether a publication will qualify as prior art, the earliest date that
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`the ’142 patent could be entitled to is November 4, 2002.
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`8.
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`I have reviewed the following publications:
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` D.V. Mozgrin, et al., High-Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research, Plasma Physics
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`Reports, Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1403)).
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` U.S. Pat. No. 6,413,382 (“Wang” (Ex. 1405)).
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` U.S. Pat. No. 6,190,512 (“Lantsman” (Ex. 1406)).
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` A. A. Kudryavtsev and V.N. Skerbov, Ionization relaxation in a plasma
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`produced by a pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), pp.
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`30-35, January 1983 (“Kudryavtsev” (Ex. 1404)).
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`9.
`
`I have read and understood each of the above publications. The
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`disclosure of each of these publications provides sufficient information for
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`someone to make and use the plasma generation and sputtering processes that are
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`described in the above publications.
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`10.
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`I have considered certain issues from the perspective of a person of
`
`ordinary skill in the art at the time the ‘142 patent application was filed. In my
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`opinion, a person of ordinary skill in the art for the ‘142 patent would have found
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`the ‘142 patent invalid.
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`11.
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`I have been retained by Intel Corporation (“Intel” or “Petitioner”) as
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`an expert in the field of plasma technology. I am being compensated at my normal
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`consulting rate of $350/hour for my time. My compensation is not dependent on
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`and in no way affects the substance of my statements in this Declaration.
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`12.
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`I have no financial interest in the Petitioner. I similarly have no
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`financial interest in the ’142 patent, and have had no contact with the named
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`inventor of the ’142 patent.
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`I.
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`RELEVANT LAW
`13.
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`I am not an attorney. For the purposes of this declaration, I have been
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`informed about certain aspects of the law that are relevant to my opinions. My
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`understanding of the law is as follows:
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`A. Claim Construction
`14.
`I have been informed that claim construction is a matter of law and
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`that the final claim construction will ultimately be determined by the Board. For
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`the purposes of my invalidity analysis in this proceeding and with respect to the
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`prior art, I have applied the broadest reasonable construction of the claim terms as
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`they would be understood by one skilled in the relevant art.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`15.
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`I have been informed and understand that a claim in inter partes
`
`review is given the “broadest reasonable construction in light of the specification.”
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`37 C.F.R. § 42.100(b). I have also been informed and understand that any claim
`
`term that lacks a definition in the specification is therefore also given a broad
`
`interpretation.
`
`16.
`
`I understand that some claim limitations can be presented in “means
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`plus function” format. I understand that when a means plus function format is
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`present in a claim term of challenged claim, the Board will interpret the claim term
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`using a statutory construction (under 35 U.S.C. § 112(f)) and the Board will
`
`determine the function recited in the claim and identify any structure disclosed in
`
`the specification for performing the recited function and equivalent structure as the
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`meaning of the limitation of the claim.
`
`B. 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
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`the application was filed. This means that, even if all of the requirements of a
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`claim are not found in a single prior art reference, the claim is not patentable if the
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`differences between the subject matter in the prior art and the subject matter in the
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`claim would have been obvious to a person of ordinary skill in the art at the time
`
`the application was filed.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`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:
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` the level of ordinary skill in the art at the time the application was filed;
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` the scope and content of the prior art;
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` what differences, if any, existed between the claimed invention and the
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`prior art.
`
`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
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`multiple references would have been obvious, it is appropriate to consider, among
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`other factors:
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` whether the teachings of the prior art references disclose known concepts
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`combined in familiar ways, and when combined, would yield predictable
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`results;
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` whether a person of ordinary skill in the art could implement a
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`predictable variation, and would see the benefit of doing so;
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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` whether the claimed elements represent one of a limited number of
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`known design choices, and would have a reasonable expectation of
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`success by those skilled in the art;
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` whether a person of ordinary skill would have recognized a reason to
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`combine known elements in the manner described in the claim;
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` whether there is some teaching or suggestion in the prior art to make the
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`modification or combination of elements claimed in the patent; and
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` whether the innovation applies a known technique that had been used to
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`improve a similar device or method in a similar way.
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`20.
`
`I understand that one of ordinary skill in the art has ordinary
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`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
`A.
`Plasma
`22. A plasma is a collection of ions, free electrons, and neutral atoms.
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`The negatively charged free electrons and positively charged ions are present in
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`roughly equal numbers such that the plasma as a whole has no overall electrical
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`charge. The “density” of a plasma refers to the number of ions or electrons that are
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`present in a unit volume.1
`
`23. Plasma had been used in research and industrial applications for
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`decades before the ‘142 patent was filed. For example, sputtering is an industrial
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`process that uses plasmas to deposit a thin film of a target material onto a surface
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`called a substrate (e.g., silicon wafer during a semiconductor manufacturing
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`operation). Ions in the plasma strike a target surface causing ejection of a small
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`amount of target material. The ejected target material then forms a film on the
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`substrate.
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`24. Under certain conditions, electrical arcing can occur during sputtering.
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`Arcing is undesirable because it causes explosive release of droplets from the
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`target that can splatter on the substrate. The need to avoid arcing while sputtering
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`was known long before the ‘142 Patent was filed.
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`B.
`
`Ions and Excited Atoms
`
`
`1 The terms “plasma density” and “electron density” are often used interchangeably
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`because the negatively charged free electrons and positively charged ions are
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`present in roughly equal numbers in plasmas that do not contain negatively
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`charged ions or clusters.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`25. Atoms have equal numbers of protons and electrons. Each electron
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`has an associated energy state. If all of an atom’s electrons are at their lowest
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`possible energy state, the atom is said to be in the “ground state.”
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`26. On the other hand, if one or more of an atom’s electrons is in a state
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`that is higher than its lowest possible state, then the atom is said to be an “excited
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`atom.” Excited atoms are electrically neutral—they have equal numbers of
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`electrons and protons. A collision with a free electron (e-) can convert a ground
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`state atom to an excited atom. For example, the ‘142 Patent uses the following
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`equation to describe production of an excited argon atom, Ar*, from a ground state
`
`argon atom, Ar. See ‘142 Patent at 10:12 (Ex. 1401).
`
`Ar + e-  Ar* + e-
`
`27. An ion is an atom that has become disassociated from one or more of
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`its electrons. A collision between a free, high energy electron and a ground state or
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`excited atom can create an ion. For example, the ‘142 Patent uses the following
`
`equations to describe production of an argon ion, Ar+, from a ground state argon
`
`atom, Ar, or an excited argon atom, Ar*. See ‘142 Patent at 3:1 and 9:14 (Ex.
`
`1401).
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`Ar + e-  Ar+ + 2e-
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`Ar* + e-  Ar+ + 2e-
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`28. The production of excited atoms and ions was well understood long
`
`before the ‘142 patent was filed.
`
`III. OVERVIEW OF THE ‘142 PATENT
`A.
`Summary of Alleged Invention of the ’142 Patent
`29. The ‘142 Patent describes generating a plasma by applying an
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`electrical pulse in a manner that allegedly reduces the probability of arcing.
`
`30. More specifically, the claims of the ‘142 Patent are generally directed
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`to generating a so-called, “weakly-ionized plasma” and then applying an electrical
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`pulse to increase the density of that plasma so as to form a “strongly-ionized
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`plasma.” The weakly-ionized plasma is claimed to reduce the probability of
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`forming an electrical breakdown condition.
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`31. Specific claims are directed to further operational details such as
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`supplying a feed gas to the plasma, characteristics of the electrical pulse,
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`generating a magnetic field and the type of power supply used.
`
`B.
`32.
`
`Prosecution History
`
`I understand that the first substantive office action rejected all
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`independent claims as anticipated. See 10/07/03 Office Action at 3 (Ex. 1407). I
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`understand that the applicant then amended every independent claim to require
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`“the weakly-ionized plasma reducing the probability of developing an electrical
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`breakdown condition in the chamber” or similar limitations. See 03/08/04 Resp.
`
`(Ex. 1408).
`
`33.
`
`I understand that following that amendment, the claims were allowed.
`
`I understand that the Notice of Allowance explicitly recites these limitations as the
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`examiner’s reasons for allowance. 03/29/04 Allowance at 2 (“The prior art neither
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`discloses nor suggests … the weakly-ionized plasma reducing the probability of
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`developing an electrical breakdown condition in the chamber such as required by
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`claims 1, 22, 43, 44…10 and 33.”) (Ex. 1409). However, as explained in detail
`
`below, and contrary to the Examiner’s reasons for allowance, the prior art
`
`addressed herein teaches those and all other limitations of the challenged claims.
`
`IV. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`A.
`Summary of the Prior Art
`34. As explained in detail below, limitation-by-limitation, there is nothing
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`new or non-obvious in the challenged claims of the ‘142 Patent.
`
`B. Overview of Mozgrin2
`35. Mozgrin teaches forming a plasma “without forming an arc
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`discharge.”
`
`
`2 I understand that Mozgrin was art of record, but was not substantively applied
`
`during prosecution.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`36. Fig. 7 of Mozgrin, copied below, shows the current-voltage
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`characteristic (“CVC”) of a plasma discharge.
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`
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`37. As shown, Mozgrin divides this CVC into four distinct regions.
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`38. Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2
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`(“Part 1 in the voltage oscillogram represents the voltage of the stationary
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`discharge (pre-ionization stage).”) (Ex. 1403).
`
`39. Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin
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`at 409, left col, ¶ 4 (“The implementation of the high-current magnetron discharge
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`(regime 2)…”) (Ex. 1403). Application of a high voltage to the pre-ionized plasma
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`causes the transition from region 1 to 2. Mozgrin teaches that region 2 is useful for
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`sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was characterized by an
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`intense cathode sputtering…”) (Ex. 1403).
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`40. Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at
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`409, left col, ¶ 5, (“The high-current diffuse discharge (regime 3)…”) (Ex. 1403).
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`Increasing the current applied to the “high-current magnetron discharge” (region 2)
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`causes the plasma to transition to region 3. Mozgrin also teaches that region 3 is
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`useful for etching, i.e., removing material from a surface. Mozgrin at 409, left col,
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`¶ 5 (“The high-current diffuse discharge (regime 3) is useful … Hence, it can
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`enhance the efficiency of ionic etching…”) (Ex. 1403).
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`41. Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, ¶ 3
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`(“…part 4 corresponds to the high-current low-voltage arc discharge…”) (Ex.
`
`1403). Further increasing the applied current causes the plasma to transition from
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`region 3 to the “arc discharge” region 4.3
`
`
`3 As one of ordinary skill would understand, the oscillogram shown in Mozgrin’s
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`Fig. 3 when taken as a whole corresponds to region 3 on Mozgrin’s Figs. 4 and 7,
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`i.e., Fig. 3 represents currents and voltages used to reach stable operation in region
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`3. Further, as one of ordinary skill would understand, an oscillogram
`
`corresponding to region 2 on Mozgrin’s Figs. 4 and 7 (i.e., stable operation in
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`region 2) would have a different shape, e.g., the voltage would not drop as low as
`
`shown in Fig. 3b and the current would be lower than what is shown in Fig. 3a.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`42. Within its broad disclosure of a range of issues related to sputtering
`
`and etching, Mozgrin describes arcing and how to avoid it.
`
`C. Overview of Kudryavtsev
`43. Kudryavtsev is a technical paper that studies the ionization of a
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`plasma with voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1404).
`
`In particular, Kudryavtsev describes how ionization of a plasma can occur via
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`different processes. The first process is direct ionization, in which ground state
`
`atoms are converted directly to ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex.
`
`1404). The second process is multi-step ionization, which Kudryavtsev calls
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`stepwise ionization. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1404).
`
`Kudryavtsev notes that under certain conditions multi-step ionization can be the
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`dominant ionization process. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1404).
`
`Mozgrin took into account the teachings of Kudryavtsev when designing his
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`experiments. Mozgrin at 401, ¶ spanning left and right cols. (“Designing the unit,
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`we took into account the dependences which had been obtained in
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`[Kudryavtsev]…”) (Ex. 1403).
`
`44.
`
`I understand that Kudryavtsev was not of record during the
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`prosecution of the ‘142 Patent.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`D. Overview of Wang4
`45. Wang discloses a pulsed magnetron sputtering device having an anode
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`(24), a cathode (14), a magnet assembly (40), a DC power supply (100) (shown in
`
`Fig. 7), and a pulsed DC power supply (80). See Wang at Figs. 1, 7, 3:57-4:55;
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`7:56-8:12 (Ex. 1405). Fig. 6 (annotated and reproduced below) shows a graph of
`
`the power Wang applies to the plasma. The lower power level, PB, is generated by
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`the DC power supply 100 (shown in Fig. 7) and the higher power level, PP, is
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`generated by the pulsed power supply 80. See Wang 7:56-64 (Ex. 1405). Wang’s
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`lower power level, PB, maintains the plasma after ignition and application of the
`
`higher power level, PP, raises the density of the plasma. Wang at 7:17-31 (“The
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`background power level, PB, is chosen to exceed the minimum power necessary to
`
`support a plasma... [T]he application of the high peak power, PP, quickly causes
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`the already existing plasma to spread and increases the density of the plasma.”)
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`(Ex. 1405). Wang applies the teachings of Mozgrin and Kudryavtsev in a
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`commercial, industrial plasma sputtering device.
`
`
`4 I understand that Wang was art of record, but was not substantively applied
`
`during prosecution.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`
`
`E. Overview of Lantsman
`46. Like Mozgrin and Wang, Lantsman relates to plasma sputtering
`
`systems. Lantsman at Title (“Soft Plasma Ignition in Plasma Processing
`
`Chambers”) (Ex. 1404); 1:6-8 (“This invention relates to reduction of device
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`damage in plasma processes, including DC (magnetron or non-magnetron)
`
`sputtering, and RF sputtering.”) (Ex. 1404). Also like Mozgrin and Wang,
`
`Lantsman is concerned with generating a plasma while avoiding arcing. Lantsman
`
`at 1:51-59 (“Furthermore, arcing which can be produced by overvoltages can cause
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`local overheating of the target, leading to evaporation or flaking of target material
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`into the processing chamber and causing substrate particle contamination and
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`device damage…. Thus, it is advantageous to avoid voltage spikes during
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`processing whenever possible.”) (Ex. 1404).
`
`47. Lantsman teaches supplying the feed gas during the entirety of the
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`plasma processing. Lantsman at 3:9-13 (“[A]t the beginning of processing, this
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`switch is closed and gas is introduced into the chamber. When the plasma process
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`is completed, the gas flow is stopped….”) (Ex. 1404); 4:36-38 (“To end
`
`processing, primary supply 10 is disabled, reducing the plasma current and
`
`deposition on the wafer. Then, gas flow is terminated….”) (Ex. 1404).
`
`48.
`
`I understand that Lantsman was not of record during the prosecution
`
`of the ‘142 Patent.
`
`V. CLAIM CONSTRUCTION
`49.
`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. The following discussion proposes constructions of and support
`
`therefore of those terms. I have been informed and understand that any claim
`
`terms not included in the following discussion are to be given their broadest
`
`reasonable interpretation in light of the specification as commonly understood by
`
`those of ordinary skill in the art. Moreover, should the Patent Owner, in order to
`
`avoid the prior art, contend that the claim has a construction different from its
`
`broadest reasonable interpretation, I have been informed and understand that the
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`appropriate course is for the Patent Owner to seek to amend the claim to expressly
`
`correspond to its contentions in this proceeding.
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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`50.
`
`I have interpreted some claim terms which use the language “means
`
`for” with a function identified in the same manner I understand the Board will use
`
`to determine the meaning of the means plus function claim. In the attached
`
`petition the function of the limitation is identified, the structure disclosed in the
`
`specification for performing the function (and equivalents) is identified. I have
`
`identified the function and the corresponding structure in the prior art during my
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`invalidity analysis.
`
`A.
`“weakly-ionized plasma” and “strongly-ionized plasma”
`51. The challenged claims recite “weakly-ionized plasma” and “strongly-
`
`ionized plasma.” These terms relate to the density of the plasma, i.e., a weakly-
`
`ionized plasma has a lower density than a strongly-ionized plasma. With reference
`
`to Fig. 3, the ‘142 Patent describes forming a weakly-ionized plasma between
`
`times t1 and t2 by application of the low power 302 and then goes on to describe
`
`forming a strongly-ionized plasma by application of higher power 304. ‘142
`
`Patent at 11:32-38; 12:9-16 (Ex. 1401). The ‘142 Patent also provides exemplary
`
`densities for the weakly-ionized and strongly-ionized plasmas. See ‘142 Patent at
`
`claim 17 (“wherein the peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm˗3”); claim 18 (“wherein the peak plasma density of the strongly-
`
`ionized plasma is greater than about 1012 cm˗3”) (Ex. 1401).
`
`52. Therefore, I have used the following constructions:
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`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
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` “weakly-ionized plasma” means “a lower density plasma” and
` “strongly-ionized plasma” means “a higher density plasma.”
`53. The constructions proposed above are consistent with the position the
`
`Patent Owner has taken in other jurisdictions. For example, I understand that the
`
`Patent Owner, when faced with a clarity objection during prosecution of a related
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`European patent application, argued that “it is [sic] would be entirely clear to the
`
`skilled man, not just in view of the description, that a reference to a ‘weakly-
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`ionised plasma’ in the claims indicates a plasma having an ionisation level lower
`
`than that of a ‘strongly-ionized plasma’ and there can be no lack of clarity.”
`
`04/21/08 Response in EP 1560943 (Ex. 1415).
`
`B.
`“means for ionizing a feed gas…” (claims 40 and 41)
`54. Claim 40 recites “means for ionizing a feed gas to form a weakly-
`
`ionized plasma that reduces the probability of developing an electrical breakdown
`
`condition in the chamber.” The claimed function is: “ionizing a feed gas to form a
`
`weakly-ionized plasma that reduces the probability of developing an electrical
`
`breakdown condition in the chamber.”
`
`55. Claim 41 recites “means for ionizing a feed gas to generate a weakly-
`
`ionized plasma proximate to a cathode, the weakly-ionized plasma reducing the
`
`probability of developing an electrical breakdown condition proximate to the
`
`cathode.” The claimed function is “ionizing a feed gas to generate a weakly-
`
`- 19 -
`
`

`
`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
`ionized plasma proximate to a cathode, the weakly-ionized plasma reducing the
`
`probability of developing an electrical breakdown condition proximate to the
`
`cathode.”
`
`56. The ‘142 Patent discloses at least the following corresponding
`
`structure for the “means for ionizing…” limitations of both claims 40 and 41: a
`
`power supply, generating the voltage, current and power values shown in Fig. 4
`
`(e.g., between t1 – t2 and t6 – t7), electrically coupled to cathode (e.g., 204), anode
`
`(e.g., 216) and/or an electrode (e.g., 452, 452’), wherein the cathode, anode and/or
`
`electrode are arranged relative to a sputtering target as shown in Figs. 2A-2D and
`
`6A-6D, and as described in the text of the ‘142 Patent at 5:5-36, 16:24-40, 17:40-
`
`18:12, 18:13-34, and 18:35-46 (Ex. 1401).
`
`C.
`“means for supplying power…” (claim 40) and “means for
`applying an electric field…” (claim 41)
`57. Claim 40 recites “means for supplying power to the weakly-ionized
`
`plasma by applying an electrical pulse across the weakly-ionized plasma, the
`
`electrical pulse having a magnitude and a rise-time that is sufficient to increase the
`
`density of the weakly-ionized plasma to generate a strongly-ionized plasma.” The
`
`claimed function is “supplying power to the weakly-ionized plasma by applying an
`
`electrical pulse across the weakly-ionized plasma, the electrical pulse having a
`
`- 20 -
`
`

`
`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
`magnitude and a rise-time that is sufficient to increase the density of the weakly-
`
`ionized plasma to generate a strongly-ionized plasma.”
`
`58. Claim 41 recites “means for applying an electric field across the
`
`weakly-ionized plasma in order to excite atoms in the weakly-ionized plasma and
`
`to generate secondary electrons from the cathode, the secondary electrons ionizing
`
`the excited atoms, thereby creating the strongly-ionized plasma.” The claimed
`
`function is “applying an electric field across the weakly-ionized plasma in order to
`
`excite atoms in the weakly-ionized plasma and to generate secondary electrons
`
`from the cathode, the secondary electrons ionizing the excited atoms, thereby
`
`creating the strongly-ionized plasma.”
`
`59. The ‘142 Patent discloses at least the following corresponding
`
`structure for the “means for supplying power…” of claim 40 and the “means for
`
`applying…” of claim 41: pulsed power supply (e.g., 202), generating the voltage,
`
`current and power values shown in Fig. 4 (e.g., between t2 – t4), electrically
`
`coupled to a cathode (e.g., 204) and anode (e.g., 216), wherein the cathode and
`
`anode are arranged relative to a sputtering target as shown in Figs. 2A-2D and 6A-
`
`6D, and as described in the text of the ‘142 Patent at 6:57-7:31, 8:16-25, 12:1-16,
`
`13:25-55, 13:63-14:5, 17:12-33, 19:3-14, and 19:22-32 (Ex. 1401).
`
`D.
`
`“means for diffusing…” (claim 40)
`
`- 21 -
`
`

`
`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
`60. Claim 40 recites “means for diffusing the strongly-ionized plasma
`
`with additional feed gas to allow additional power to be absorbed by the strongly-
`
`ionized plasma.” The claimed function is “diffusing the strongly-ionized plasma
`
`with additional feed gas to allow additional power to be absorbed by the strongly-
`
`ionized plasma.”
`
`61. The ‘142 Patent discloses at least the following corresponding
`
`structure: feed gas lines 224 as shown in Figs. 2A-2D and 6A-D and as described
`
`in the text of the ‘142 Patent at 4:48-5:4 (Ex. 1401).
`
`VI. SPECIFIC GROUNDS FOR REJECTION
`62. The below sections demonstrate in detail how the prior art discloses
`
`each and every limitation of claims 40 and 41 of the ’142 Patent, and how those
`
`claims are rendered obvious by the prior art.
`
`63.
`
`I have further reviewed and understand the claim charts submitted by
`
`Petitioner in the above-captioned inter partes review (Exs. 1416-1419), showing
`
`that each limitation in the foregoing claims is taught in the art. I understand these
`
`claim charts were submitted in an ongoing litigation involving the Petitioner and
`
`the Patent Owner. Those charts present in summary form the analysis below and I
`
`agree with them.
`
`A. Ground I: Claim 41 is obvious in view of the combination of
`Mozgrin and Kudryavtsev
`
`- 22 -
`
`

`
`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
`64.
`
`I have further reviewed and understand the claim chart submitted by
`
`Petitioner in the above-captioned inter partes review (Ex. 1416), showing that
`
`claim 41 is obvious in view of the combination of Mozgrin and Kudryavtsev. I
`
`understand this claim chart was submitted in an ongoing litigation involving the
`
`Petitioner and the Patent Owner. This chart presents in summary form the analysis
`
`below and I agree with it.
`
`a)
`The preamble
`65. Claim 41 begins, “[a]n apparatus for generating a strongly-ionized
`
`plasma.” As shown in Fig. 1, Mozgrin teaches generating plasma in “two types of
`
`devices: a planar magnetron and a system with specifically shaped hollow
`
`electrodes.” Mozgrin at Fig. 1; 400, right col, ¶ 4. (Ex. 1403). The densities in
`
`Mozgrin’s regions 1-3 are summarized below.
`
` Region 1: 109 – 1011 cm-3.5
`
` Region 2: exceeding 2x1013 cm-3.6
`
`5 Mozgrin at 401, right col, ¶2 (“For pre-ionization … the initial plasma density in
`
`the 109 – 1011 cm-3 range.”) (Ex. 1403).
`
`6 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. 1403).
`
`- 23 -
`
`

`
`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
` Region 3: 1.5x1015cm-3.7
`
`66. Mozgrin generates a strongly-ionized plasma in both regions 2 and 3.
`
`The density in those regions matches the exemplary density given for a strongly-
`
`ionized plasma in the ‘142 Patent. ‘142 Patent at claim 18 (“wherein the peak
`
`plasma density of the strongly-ionized plasma is greater than about 1012 cm˗3”) (Ex.
`
`1401). Mozgrin therefore teaches the preamble.
`
`b)
`“means for ionizing…”: Function
`67. As explained above in section V.B, the claimed function of the
`
`“means for ionizing…” is: “ionizing a feed gas to generate a weakly-ionized
`
`plasma proximate to a cathode, the weakly-ionized plasma reducing the probability
`
`of developing an electrical breakdown condition proximate to the cathode.”
`
`(1)
`“ionizing a feed gas to generate a weakly-ionized
`plasma proximate to a cathode”
`
`68. The ‘142 Patent uses the terms “weakly-ionized plasma” and “pre-
`
`ionized plasma” synonymously. ‘142 Patent at 5:18-19 (“The weakly-ionized
`
`plasma is also referred to as a pre-ionized plasma.”) (Ex. 1401). Mozgrin’s power
`
`
`7 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. 1403).
`
`- 24 -
`
`

`
`Kortshagen Declaration
`‘142 Patent, Claims 40 and 41
`
`supply (shown in Fig. 2) generates a pre-ionized plasma in Mozgrin’s region 1.
`
`Mozgrin at 402, right col, ¶2 (“Figure 3 shows typical voltage and current
`
`oscillograms.… Part I in the voltage oscillogram represents the voltage of the
`
`stationary discharge (pre-ionization stage).”) (Ex. 1403).
`
`69. Moreover, t

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