`
`Filed on behalf of GLOBALFOUNDRIES U.S., Inc., GLOBALFOUNDRIES
`Dresden Module One LLC & CO. KG, GLOBALFOUNDRIES Dresden Module
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Two LLC & CO. KG
`
`By: David M. Tennant, Reg. No. 48,362
`White & Case LLP
`
`701 Thirteenth Street, NW
`
`Washington, DC 20005
`Tel: (202) 626-3684
`Email: dtennant@whitecase.com
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`GLOBALFOUNDRIES U.S., INC., GLOBALFOUNDRIES DRESDEN
`MODULE ONE LLC & CO. KG, GLOBALFOUNDRIES DRESDEN MODULE
`
`TWO LLC & CO. KG
`
`Petitioner
`
`V.
`
`ZOND, INC.
`Patent Owner
`
`Case No.
`
`PETITION FOR INTER PARTES REVIEW OF
`
`U.S. PATENT NO. 7,604,716
`
`CHALLENGING CLAIMS 12 AND 13
`
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`TABLE OF CONTENTS
`
`I. Mandatory Notices .......................................................................................... .. l
`
`A. Real Party—in—Interest .................................................................................. .. 1
`
`B. Related Matters ........................................................................................... .. 1
`
`C.
`
`D.
`
`Counsel ....................................................................................................... .. 1
`
`Service Information .................................................................................... .. 1
`
`II. Certification of Grounds for Standing ............................................................ .. 2
`
`III. Overview of Challenge and Relief Requested ............................................... .. 2
`
`A.
`
`Prior Art Patents and Printed Publications ................................................. .. 2
`
`B. Grounds for Challenge ............................................................................... .. 3
`
`IV. Brief Description of Technology ................................................................... .. 4
`
`A.
`
`B.
`
`Plasma ......................................................................................................... .. 4
`
`Ions and Excited Atoms .............................................................................. .. 5
`
`V. Overview of the ‘7l6 Patent ........................................................................... .. 6
`
`A.
`
`B.
`
`Summary of Alleged Invention of the ’716 Patent .................................... .. 6
`
`Prosecution History .................................................................................... .. 7
`
`VI. Overview of the Primary Prior Art References ............................................. .. 8
`
`A.
`
`Summary of the Prior Art ........................................................................... .. 8
`
`B. Overview of Mozgrin ................................................................................. .. 8
`
`C. Overview of Wang.................................................................................... .. 10
`
`VII.
`
`Claim Construction ................................................................................... .. 11
`
`A.
`
`“weakly-ionized plasma” and “strongly—ionized plasma” ....................... .. 12
`
`VIII.
`
`Specific Grounds for Petition ................................................................... .. 14
`
`A. Ground I: Claims 12 and 13 are obvious in View of the combination of
`
`Mozgrin and Lantsman ..................................................................................... .. 14
`
`1.
`
`Independent claim 1 is anticipated by Mozgrin .................................... .. l4
`
`2. Dependent claims 12 and 13 are obvious in view of the combination of
`Mozgrin and Lantsman ................................................................................. .. 24
`
`B. Ground II: Claims 12 and 13 are obvious over Wang in View of Lantsman
`32
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`1.
`
`Independent claim 1 is anticipated by Wang ........................................ .. 32
`
`2. Dependent claims 12 and 13 are obvious in View of the combination of
`Wang and Lantsman ...................................................................................... .. 39
`
`IX. Conclusion ................................................................................................... .. 45
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`TABLE OF AUTHORITIES
`
`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007).
`
`37 C.F.R. §42.22(a)(1)
`
`37 C.F.R. § 42.100(b)
`
`37 C.F.R. §42.104(a)
`
`37 C.F.R. §42.104(b)(1)-(5)
`
`77 Fed. Reg. 48764 (Aug. 14, 2012).
`
`iii
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`I.
`
`MANDATORY NOTICES
`
`A.
`
`Real Party-in-Interest
`
`GLOBALFOUNDRIES U.S., Inc., GLOBALFOUNDRIES Dresden Module
`
`One LLC & Co. KG, GLOBALFOUNDRIES Dresden Module Two LLC & Co.
`
`KG (collectively, “Petitioner”) are the real parties-in—interest.
`
`B.
`
`Related Matters
`
`Zond has asserted U.S. Patent No. 7,604,716 (“’716 Patent”) (Ex. 1101)
`
`against numerous parties in the District of Massachusetts. See List of Related
`
`Litigations (Ex. 1118). Petitioner is also filing additional Petitions for Inter Partes
`
`review in several patents that name the same alleged inventor. The below—listed
`
`claims of the ’7l6 Patent are presently the subject of two substantially identical
`
`petitions for inter partes review with Case Nos. IPR20l4-00521 and IPR2014-
`
`00973. Petitioner plans to seek joinder with IPR2014-00521.
`
`C.
`
`Counsel
`
`Lead Counsel: David M. Tennant (Reg. No. 48,362)
`
`Backup Counsel: Dohm Chankong (Reg. No. 70,524)
`
`D.
`
`Service Information
`
`Pursuant to 37 C.F.R. § 42.8(b)(4), papers concerning this matter should be
`
`served on the following. Petitioner consents to electronic service.
`
`David M. Tennant (Reg. No. 48,362)
`
`E—mail:
`
`dtennant@whitecase.com
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Post and hand delivery: White & Case LLP
`
`701 Thirteenth Street, NW
`
`Washington, DC 20005
`
`Telephone: (202) 626-3684
`
`Fax: (202) 639-9355
`
`II.
`
`CERTIFICATION OF GROUNDS FOR STANDING
`
`Petitioner certifies pursuant to Rule 42.l04(a) that the patent for which
`
`review is sought is available for inter partes review and that Petitioner is not
`
`barred or estopped from requesting an inter partes review challenging the patent
`
`claims on the grounds identified in this Petition.
`
`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED
`
`Pursuant to Rules 42.22(a)(l) and 42. l 04(b)(l)—(2), Petitioner challenges
`
`claims 12 and 13 of the ’7l6 Patent.
`
`A.
`
`Prior Art Patents and Printed Publications
`
`The following references are pertinent to the grounds of unpatentability
`
`explained below: 1
`
`1.
`
`D.V. Mozgrin, et al, High—Current Low-Pressure Quasi-Stationary
`
`Discharge in a Magnetic Field: Experimental Research, Plasma Physics Reports,
`
`1 The ‘7l6 Patent issued prior to the America Invents Act (the “AIA”).
`
`Accordingly, Petitioner has chosen to use the pre-AIA statutory framework to refer
`
`to the prior art.
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Vol. 21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1103)), which is prior art under
`
`102(b).
`
`2.
`
`U.S. Pat. No. 6,413,382 (“Wang” (EX. 1104)), which is prior art under
`
`l02(a) and (e).
`
`3.
`
`U.S. Pat. No. 6,190,512 (“Lantsman” (Ex. 1105)), which is prior art under
`
`102(b).
`
`B.
`
`Grounds for Challenge
`
`Petitioner requests cancellation of claims 12 and 13 of the ’7l6 Patent as
`
`unpatentable under 35 U.S.C. §103. This Petition, supported by the declaration of
`
`Dr. Uwe Kortshagen (“Kortshagen Decl.” (Ex. 1102)) filed herewith,2
`
`demonstrates that there is a reasonable likelihood that Petitioner will prevail with
`
`respect to at least one challenged claim and that each challenged claim is not
`
`patentable.3 See 35 U.S.C. § 314(a).
`
`2 Dr. Kortshagen has been retained by Petitioner. The declaration at Ex. 1102 is a
`
`copy of Dr. Kortshagen’s declaration filed in IPR2014-00521, discussed above.
`
`3 The term “challenged claims” as used herein refers to claims 12 and 13 of the
`
`‘716 Patent. Petitioner seeks to invalidate the remaining claims of the ‘716 Patent
`
`in separate petitions.
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`
`A.
`
`Plasma
`
`A plasma is a collection of ions, free electrons, and neutral atoms.
`
`Kortshagen Decl. 11 22 (Ex. 1102). The negatively charged free electrons and
`
`positively charged ions are present in roughly equal numbers such that the plasma
`
`as a whole has no overall electrical charge. The “density” of a plasma refers to the
`
`number of ions or electrons that are present in a unit volume. Kortshagen Decl. 1]
`
`22 (Ex. 1102).“
`
`Plasmas had been used in research and industrial applications for decades
`
`before the ‘716 patent was filed. Kortshagen Decl. fi[ 23 (Ex. 1102). For example,
`
`sputtering is an industrial process that uses plasma to deposit a thin film of a target
`
`material onto a surface called a substrate (e. g., silicon wafer during a
`
`semiconductor manufacturing operation). Kortshagen Decl. 11 23 (Ex. 1102). Ions
`
`in the plasma strike a target surface causing ejection of a small amount of target
`
`material. Kortshagen Decl. 11 23 (Ex. 1102). The ejected target material then
`
`forms a film on the substrate. Kortshagen Decl. 11 23 (Ex. 1102).
`
`4 The terms “plasma density” and “electron density” are often used interchangeably
`
`because the negatively charged free electrons and positively charged ions are
`
`present in roughly equal numbers in plasmas that do not contain negatively
`
`charged ions or clusters. Kortshagen Decl. 1] 22, FN1 (Ex. 1102).
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Under certain conditions, electrical arcing can occur during sputtering.
`
`Kortshagen Decl. 1] 24 (Ex. 1102). Arcing is undesirable because it causes
`
`explosive release of droplets from the target that can splatter on the substrate.
`
`Kortshagen Decl. 1] 24 (Ex. 1102). The need to avoid arcing while sputtering was
`
`known long before the ‘7l6 patent was filed. Kortshagen Decl. 1] 24 (Ex. 1102).
`
`B.
`
`Ions and Excited Atoms
`
`Atoms have equal numbers of protons and electrons. Kortshagen Decl. 1] 25
`
`(Ex. 1102). Each electron has an associated energy state. Kortshagen Decl. 1] 25
`
`(Ex. 1102). If all of an atom’s electrons are at their lowest possible energy state,
`
`the atom is said to be in the “ground state.” Kortshagen Decl. 1] 25 (Ex. 1102).
`
`On the other hand, if one or more of an atom’s electrons is in a state that is
`
`higher than its lowest possible state, then the atom is said to be an “excited atom.”
`
`Kortshagen Decl. 1] 26 (Ex. 1102). Excited atoms are electrically neutral— they
`
`have equal numbers of electrons and protons. Kortshagen Decl. 1] 26 (Ex. 1102).
`
`A collision with a free electron (e-) can convert a ground state atom to an excited
`
`atom. Kortshagen Decl. 1] 26 (Ex. 1102). For example, the ‘7l6 Patent uses the
`
`following equation to describe production of an excited argon atom, Ar*, from a
`
`ground state argon atom, Ar. See ‘7l6 Patent at 9:7 (Ex. 1101).
`
`Ar+e‘ 9Ar*+e'
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`An ion is an atom that has become disassociated from one or more of its
`
`electrons. Kortshagen Decl. 1] 27 (Ex. 1102). A collision between a free, high
`
`energy, electron and a ground state or excited atom can create an ion. Kortshagen
`
`Decl. 1] 27 (Ex. 1102). For example, the ‘7l6 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 ‘7l6 Patent at 2:65 and 9:9 (Ex. 1101).
`
`Ar + e" 9 Ar+ + 2e’
`
`Ar* + e" 9 Ar+ + 2e"
`
`The production of excited atoms and ions was well understood long before
`
`the ‘716 patent was filed. Kortshagen Decl. 11 28 (Ex. 1102).
`
`V.
`
`OVERVIEW OF THE ‘716 PATENT
`
`A.
`
`Summary of Alleged Invention of the ’7 16 Patent
`
`The ‘7l6 Patent describes generating a plasma by applying an electrical
`
`pulse in a manner that allegedly reduces the probability of arcing. Kortshagen
`
`Decl. 1] 29 (Ex. 1102).
`
`More specifically, the claims of the ‘716 Patent are generally directed to
`
`generating a, so called, “weakly-ionized plasma” and then applying an electrical
`
`pulse to increase the density of that plasma so as to form a “strongly-ionized
`
`plasma.” Kortshagen Decl. 1] 30 (Ex. 1102). The weakly-ionized plasma is
`
`claimed to reduce the probability of forming an electrical breakdown condition.
`
`Kortshagen Decl. 1] 30 (Ex. 1102).
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Specific claims are directed to further operational details such as supplying a
`
`feed gas to the plasma, characteristics of the electrical pulse, generating a magnetic
`
`field and the type of power supply used. Kortshagen Decl. 11 31 (Ex. 1102).
`
`B.
`
`Prosecution History
`
`The ‘716 patent is a continuation of U.S. Pat. App. No. 10/065,629 (now
`
`U.S. Pat. No. 6,853,142) (Ex. 1106). See ‘7l6 Patent at Certificate of Correction
`
`(Ex. 1101).
`
`The first substantive office action rejected all independent claims as
`
`anticipated. See 03/27/08 Office Action at 2 (Ex. 1107). The applicant then
`
`amended every independent claim to require “substantially eliminating the
`
`probability of developing an electrical breakdown condition in the chamber” and
`
`“without developing an electrical breakdown condition in the chamber” or similar
`
`limitations. See 09/24/08 Resp. (Ex. 1108).
`
`Following that amendment, the claims were allowed. The Notice of
`
`Allowance explicitly recites these limitations as the examiner’s reasons for
`
`allowance. 06/11/09 Allowance at 2 (“The closest prior art of record Kouznetsov
`
`WO 98/40532 fails to teach the claimed elements including ‘substantially
`
`eliminating the probability of developing an electrical breakdown condition in the
`
`chamber’ and ‘without developing an electrical breakdown condition in the
`
`chamber.”) (Ex. 1109). However, as explained in detail below, and contrary to the
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Examiner’s reasons for allowance, the prior art addressed herein teaches those and
`
`all other limitations of the challenged claims. Kortshagen Decl. 11 34 (Ex. 1102).
`
`VI. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`
`A.
`
`Summary of the Prior Art
`
`As explained in detail below, limitation—by-limitation, there is nothing new
`
`or non—obvious in the challenged claims of the ‘716 Patent. Kortshagen Decl. 11 35
`
`(Ex. 1102).
`
`B.
`
`Overview of Mozgrins
`
`Mozgrin teaches forming a plasma “without forming an arc discharge.”
`
`Kortshagen Decl. 11 36 (Ex. 1102). Fig. 7 of Mozgrin, copied below, shows the
`
`current-voltage characteristic (“CVC”) of a plasma discharge.
`
`U, V
`500- 1000
`
` 3
`
`15 — 45 -------------------------------- --
`
`
`4
`
`0
`
`15 -225
`
`1000 -1300 1,?
`
`Fig. 7. Generalized ampere-voltaic characteristic CVC of
`quasi-stationary discharge.
`
`As shown, Mozgrin divides this CVC into four distinct regions.
`
`5 Mozgrin is art of record, but was not substantively applied during prosecution.
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, 1] 2 (“Part
`
`1 in the Voltage oscillogram represents the Voltage of the stationary discharge (pre-
`
`ionization stage)” (emphasis added)) (Ex. 1103). Kortshagen Decl. 11 39 (Ex.
`
`1 102).
`
`Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin at 409,
`
`left col, 1] 4 (“The implementation of the high-current magnetron discharge
`
`(regime 2). . .” (emphasis added)) (Ex. 1103). Kortshagen Decl. 11 40 (Ex. 1102).
`
`Application of a high Voltage to the pre—ionized plasma causes the transition from
`
`region 1 to 2. Kortshagen Decl. 11 40 (Ex. 1102). Mozgrin teaches that region 2 is
`
`useful for sputtering. Mozgrin at 403, right col, 1] 4 (“Regime 2 was characterized
`
`by an intense cathode sputtering. . .”) (Ex. 1103). See also Kortshagen Decl. 1] 40
`
`(Ex. 1 102).
`
`Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at 409, left
`
`col, 1] 5, (“The high-current diffuse discharge (regime 3). . .” (emphasis added))
`
`(Ex. 1103). Kortshagen Decl. 1] 41 (Ex. 1102). Increasing the current applied to
`
`the “high-current magnetron discharge” (region 2) causes the plasma to transition
`
`to region 3. Kortshagen Decl. 1] 41 (Ex. 1102). Mozgrin also teaches that region 3
`
`is useful for etching, i.e., removing material from a surface. Mozgrin at 409, left
`
`col, 1] 5 (“The high-current diffuse discharge (regime 3) is useful
`
`Hence, it can
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`enhance the efficiency of ionic etching. . .”) (Ex. 1103). See also Kortshagen Dec].
`
`1141 (Ex. 1102).
`
`Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, 1] 3
`
`(“. . .part 4 corresponds to the high—current low—voltage arc discharge...”
`
`(emphasis added)) (Ex. 1103). Kortshagen Decl. 1] 42 (Ex. 1102). Further
`
`increasing the applied current causes the plasma to transition from region 3 to the
`
`“arc discharge” region 4. Kortshagen Decl. 1] 42 (Ex. 1102).
`
`Within its broad disclosure of a range of issues related to sputtering and
`
`etching, Mozgrin describes arcing and how to avoid it. Kortshagen Decl. 1143 (Ex.
`
`1 102).
`
`C.
`
`Overview of Wangfi
`
`Wang discloses a pulsed magnetron sputtering device having an anode (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; 7:56-
`
`8:12 (Ex. 1104). See also Kortshagen Decl. 1] 44 (EX. 1102). 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 the DC power supply 100 (shown in Fig. 7)
`
`and the higher power level, Pp, is generated by the pulsed power supply 80. See
`
`Wang 7:56-64 (EX. 1104); see also Kortshagen Decl. 1] 44 (Ex. 1102). Wang’s
`
`6 Wang is art of record, but was not substantively applied during prosecution.
`
`10
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`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
`
`background power level, P3, is chosen to exceed the minimum power necessary to
`
`support a plasma...
`
`[T]he application of the high peak power, Pp, quickly causes
`
`the already existing plasma to spread and increases the density of the plasma”)
`
`(Ex. 1104). See also Kortshagen Decl. 1] 44 (Ex. 1102). Wang applies the
`
`teachings of Mozgrin in a commercial, industrial plasma sputtering device.
`
`Kortshagen Decl. 11 44 (Ex. 1102).
`
`No arcing
`
`”sIrongly-ionized plasma"
`
`I
`
`Posslble
`arc
`
`I :
`
`I
`I
`
`:
`Ign|tlon :
`I
`
`
`
`. 6
`
`"weakly- onized plasma"
`
`VII. CLAIM CONSTRUCTION
`
`A claim in inter partes review is given the “broadest reasonable construction
`
`in light of the specification.” 37 C.F.R. § 42.100(b). Any claim term that lacks a
`
`11
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`definition in the specification is therefore also given a broad interpretation.7 In re
`
`ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007). The
`
`following discussion proposes constructions of and support therefore of those
`
`terms. 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, the appropriate course is for
`
`the Patent Owner to seek to amend the claim to expressly correspond to its
`
`contentions in this proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
`
`A.
`
`“weakly-ionized plasma” and “strongly—ionized plasma”
`
`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. Kortshagen Decl. 1] 46
`
`(Ex. 1102). With reference to Fig. 3, the ‘716 Patent describes forming a weakly-
`
`ionized plasma between times t1 and t2 by application of the low power 302 and
`
`7 Petitioner adopts the “broadest reasonable construction” standard as required by
`
`the governing regulations. 37 C.F.R. § 42.100(b). Petitioner reserves the right to
`
`pursue different constructions in a district court, where a different standard is
`
`applicable.
`
`12
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`then goes on to describe forming a strong1y—ionized plasma by application of
`
`higher power 304.
`
`‘716 Patent at 11:24-30; 11:66-12:6 (Ex. 1101). See also
`
`Kortshagen Decl. 11 46 (Ex. 1102). The ‘716 Patent also provides exemplary
`
`densities for the weakly-ionized and strongly—ionized plasmas. See ‘716 Patent at
`
`claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
`
`than about 1012 cm3’’); claim 24 (“wherein the peak plasma density of the strongly-
`
`ionized plasma is greater than about 1012 cm’3”) (Ex. 1101). Kortshagen Decl. 11 46
`
`(Ex. 1102).
`
`Thus, the proposed construction for “weakly—ionized plasma” is “a lower
`
`density plasma.” Likewise, the proposed construction for “strongly-ionized
`
`plasma” is “a higher density plasma.”
`
`Petitioner’s proposed construction is consistent with the position the Patent
`
`Owner has taken in other jurisdictions. For example, the Patent Owner, when
`
`faced with a clarity objection during prosecution of a related 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-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. 1110).
`
`13
`
`
`
`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`VIII. SPECIFIC GROUNDS FOR PETITION
`
`Pursuant to Rule 42.104(b)(4)—(5), the below sections, and as confirmed in
`
`the Kortshagen Decl. ‘H 49 (Ex. 1102), demonstrate in detail how the prior art
`
`discloses each and every limitation of claims 12 and 13 of the ’716 Patent, and
`
`how those claims are rendered obvious by the prior art.
`
`Ground I: Claims 12 and 13 are obvious in View of the
`A.
`combination of Mozgrin and Lantsmans
`
`The claim chart that Petitioner served on Feb. 11, 2014 in its ongoing
`
`litigation involving the Petitioner and the Patent Owner, showing that claims 12
`
`and 13 are obvious in view of the combination of Mozgrin and Lantsman, is
`
`submitted hereto as Exhibit 1116 (Ex. 1116). Dr. Kortshagen reviewed that chart
`
`and agrees with it. Kortshagen Decl. 1] 51 (Ex. 1102).
`
`1.
`
`Independent claim 1 is anticipated by Mozgrin
`
`a)
`
`The preamble
`
`Claim 1 begins, “[a]n apparatus for generating a strongly-ionized plasma.”
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`As shown in Fig. 1, Mozgrin teaches generating plasma in “two types of
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`devices: a planar magnetron and a system with specifically shaped hollow
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`8 Petitioner establishes invalidity of claim 1 in another petition. Claim 1 is
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`addressed herein for the purpose of demonstrating invalidity of claims that depend
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`from claim 1.
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`14
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`
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`electrodes.” Mozgrin at Fig. 1; 400, right col, 1] 4. (Ex. 1103). The densities in
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Mozgrin’s regions 1-3 are summarized below.
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`0 Region 1: 109 -10“ cm’3.9
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`0 Region 2: exceeding 2x10” cm‘3.]0
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`0 Region 3:
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`l.5x1015 cm'3.“
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`Mozgrin generates a strongly—ionized plasma in both regions 2 and 3.
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`Kortshagen Decl. 11 54 (Ex. 1102). The density in those regions matches the
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`exemplary density given for a strongly—ionized plasma in the ‘716 Patent.
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`‘716
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`Patent at claim 24 (“wherein the peak plasma density of the strongly—ionized
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`plasma is greater than about 1012 cm’3”) (Ex. 1101). See also Kortshagen Decl. 11
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`54 (Ex. 1102).
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`9 Mozgrin at 401, right col, 112 (“For pre—ionization
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`the initial plasma density in
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`the 109 — 10” cm'3 range.”) (Ex. 1103).
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`10 Mozgrin at 409, left col, 1] 4 (“The implementation of the high-current
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`magnetron discharge (regime 2) in sputtering
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`plasma density (exceeding
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`2x10” cm'3).”) (Ex. 1103).
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`11 Mozgrin at 409, left C01, 115 (“The high-current diffuse discharge (regime 3) is
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`useful for producing large-Volume uniform dense plasmas n,-2 1.5x10]5cm'3. . .”).
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`(Ex. 1103).
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`15
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`b)
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`Limitation (a)
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`“an ionization source that generates a weakly-
`(1)
`ionized plasma from a feed gas contained in a chamber”
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`The ‘716 Patent uses the terms “weakly—ionized plasma” and “pre—ionized
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`plasma” synonymously.
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`‘716 Patent at 5:14-15 (“The weakly-ionized plasma 232
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`is also referred to as a pre—ionized plasma.”) (EX. 1101). See also Kortshagen
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`Decl. 1] 55 (Ex. 1102). Mozgrin’s power supply (shown in Fig. 2) generates a pre-
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`ionized plasma in Mozgrin’s region 1. Mozgrin at 402, right col, 112 (“Figure 3
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`shows typical voltage and current oscillograms. . .. Part I in the voltage oscillogram
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`represents the Voltage of the stationary discharge (pre—ionization stage).”) (Ex.
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`1103). See also Kortshagen Decl. 11 55 (Ex. 1102).
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`Moreover, the density of Mozgrin’s pre—ionized plasma matches the
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`exemplary density for weakly-ionized plasma given in the ‘716 Patent.
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`‘716 Patent
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`at claim 23 (“wherein a peak plasma density of the weakly-ionized plasma is less
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`than about 1012 cm'3”) (emphasis added) (Ex. 1101); Mozgrin at 401, right col, 112
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`(“[i]or pre-ionization, we used a stationary magnetron discharge;
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`provided the
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`initial plasma density in the 109 — 10" cm'3 range.”) (Ex. 1103) (emphasis added).
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`See also Kortshagen Decl. fl 56 (Ex. 1102).
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`Mozgrin also teaches generating its plasma from feed gasses such as Argon
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`and Nitrogen. Mozgrin at 400, right col, 1] 3 (“We investigated the discharge
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`regimes in various gas mixtures at 10” — 10 torr. . .”) (emphasis added); 402, 11
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`16
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`spanning left and right cols (“We studied the high—current discharge in wide ranges
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`of discharge current. . .and operating pressure. . .using various gases (Ar, N2, SF6,
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`and H2) or their mixtures of various composition. . .”) (emphasis added) (Ex.
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`1103). See also Kortshagen Decl. 11 57 (Ex. 1102).
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`Fig. 2 of Mozgrin discloses a power supply in the form of a discharge supply
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`unit:
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`/
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`
`The “discharge supply unit” ionizes a feed gas to generate a weakly-ionized
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`plasma and does so with Voltage, current and power Very similar to those used in
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`the ‘716 Patent.” Compare Fig. 4 of the ’716 Patent (Ex. 1101) to Fig. 3(b) of
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`Mozgrin (Ex. 1103). Kortshagen Decl. 11 59 (Ex. 1102).
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`Finally, Mozgrin’s weakly—ionized plasma was generated between the anode
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`and cathode, both of which reside within a chamber. See also Kortshagen Decl. 1]
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`60 (Ex. 1102). For example, Mozgrin states “[t]he gas from the discharge volume
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`was pumped out; minimal residual gas pressure was about 8 X 106 torr.” Mozgrin
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`12 Although Mozgrin’s Fig. 3 does not show power, the Fig. discloses power
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`because power is the product of Voltage and current, both of which are shown.
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`Kortshagen Decl. 1] 59, FN9 (Ex. 1102).
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`17
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`
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
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`at 401, left col, 1] 3 (Ex. 1103). That is, Mozgrin pumped the gas out to achieve a
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`desired base pressure within the chamber. See also Mozgrin at Figs. 1 and 6 (Ex.
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`1103). See also Kortshagen Decl. 11 60 (Ex. 1102).
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`“the weakly-ionized plasma substantially
`(2)
`eliminating the probability of developing an electrical
`breakdown condition in the chamber”
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`Mozgrin states “pre—ionization was not necessary; however, in this case, the
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`probability of discharge transferring to arc mode increased.” Mozgrin at 406, right
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`col, 1] 3 (Ex. 1103). Thus, Mozgrin teaches that failing to make the weakly-ionized
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`plasma increases the probability of arcing and that creation of the weakly-ionized
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`plasma (Mozgrin’s region 1) reduces “the probability of developing an electrical
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`breakdown condition proximate to the cathode.” Kortshagen Decl. 1] 61 (Ex.
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`1102).
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`The Patent Owner mischaracterized Mozgrin
`(a)
`during prosecution of the related U.S. Pat. No.
`7,147,759
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`The ‘716 Patent (Ex. 1101) and the ’759 Patent (EX. 1111) name the same
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`inventor and are owned by a common assignee. Both patents are asserted in
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`related litigation identified in Section I.B. During prosecution of the ‘759 Patent,
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`the Patent Owner argued that Mozgrin does not teach “without forming an arc.”
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`See 05/02/06 Resp. of ‘759 Patent file history at 2, 5, 7 and 13-16 (Ex. 1112).
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`However, the Patent Owner was wrong. Kortshagen Decl. 11 62 (Ex. 1102).
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`18
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Mozgrin does teach “without forming an arc” as required by the ‘759 Patent as
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`well as “substantially eliminat[ing] the probability of developing an electrical
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`breakdown condition in the chamber” as required by the ‘71 6 Patent. Kortshagen
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`Decl. {l 62 (Ex. 1102).
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`As shown in Mozgrin’s Fig. 7, if voltage is steadily applied, and current is
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`allowed to grow, the plasma will eventually transition to the arc discharge region
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`(Mozgrin’s region 4). However, ifthe current is limited, the plasma will remain
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`in the arc-free regions 2 (sputtering) or 3 (etching). Kortshagen Decl. ‘ll 63 (Ex.
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`1102).
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`Mozgrin is an academic paper and it explores all regions, including the arc
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`discharge region, so as to fully characterize the plasma. Kortshagen Decl. 11 64
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`(Ex. 1102). But Mozgrin ’s discussion ofarcing does not mean that arcing is
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`inevitable. Kortshagen Decl. 1] 64 (Ex. 1102). Rather, Mozgrin ’s explanation of
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`the conditions under which arcing occurs provides a recipe for avoiding arcs.
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`Kortshagen Decl. 1] 64 (Ex. 1102). Mozgrin explicitly notes that arcs can be
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`avoided. See Mozgrin at 400, left col, 1] 3 (“Some experiments on magnetron
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`systems of various geometry showed that discharge regimes which do not transit
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`to arcs can be obtained even at high currents”) (emphasis added) (Ex. 1103). See
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`also Kortshagen Decl. 1] 64 (Ex. 1102).
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`19
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`One of ordinary skill would have understood that the arc discharge region
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`should be avoided during plasma generation that is used for applications such as
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`sputtering or etching. Kortshagen Decl. 11 65 (Ex. 1102). For example, Plasma
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`Etching: An Introduction, by Manos and Flamm (“Manos”), a well—known
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`textbook on plasma processing, which was published in 1989, over a decade before
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`the ‘716 Patent was filed, states that “arcs. . .are a problem. . .” Manos at 231
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`(emphasis added) (Ex. 1113).
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`One of ordinary skill would have further understood that Mozgrin’s arc
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`region can be avoided, such as by generating a weakly-ionized plasma as explained
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`above. Kortshagen Decl. 1] 66 (Ex. 1102). Mozgrin’s determination of conditions
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`that cause transition to the arc regime is useful because it teaches one of ordinary
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`skill how to avoid arcs. Kortshagen Decl. ‘H 66 (Ex. 1102).
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`Specifically, one of ordinary skill reading Mozgrin would have understood
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`that controlling discharge parameters, such as by generating the weakly-ionized
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`plasma, causes the plasma to remain in the arc-free regions 2 (sputtering) or 3
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`(etching). See Mozgrin at 406, right col, 113 (Ex. 1103). See also Kortshagen Decl.
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`1] 67 (Ex. 1102).
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`c)
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`Limitation (b)
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`“power supply that supplies power to the weakly-
`(1)
`ionized plasma though [sic] an electrical pulse that is
`applied across the weakly-ionized plasma,”
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`20
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`U.S. PATENT 7,604,716
`Petition for Inter Partes Review
`
`Figs. 3(b) and 3(a) of Mozgrin shows the voltage and current, respectively
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`(both of which are nearly identical to that of Fig. 4 of the ‘716 Patent)”, generated
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`by the power supply and applied to the plasma in Mozgrin’s Region 1 (Mozgrin’s
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`power supply is shown in Fig. 2). Kortshagen Decl. 11 68 (Ex. 1102). Mozgrin’s
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`Fig. 3 does not have a separate graph for power, but because power equals Voltage
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`times current, Mozgrin’s Fig. 3 discloses the power generated by the supply.
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`Kortshagen Decl. 11 68 (Ex. 1102).
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`Mozgrin’s electrical pulse is generated by the “high-Voltage supply unit” of
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`Mozgrin’s power supply (shown in Mozgrin’s Fig. 2 (Ex. 1103)). Kortshagen
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`Decl. 1] 69 (Ex. 1102). Region 1 of Mozgrin’s Fig. 3(b) represents the Voltage used
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`for pre-ionization, corresponding to generation of the weakly—ionized plasma.
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`Mozgrin at 402, right col, 1] 2 (“Part 1 in the Voltage oscillogram represents the
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`Voltage of th