Trials@uspto.gov
`571-272-7822
`
`
`
` Paper 9
`
`Entered: October 6, 2014
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`TAIWAN SEMICONDUCTOR MANUFACTURING COMPANY, LTD.
`and TSMC NORTH AMERICA CORPORATION,
`Petitioner,
`v.
`
`ZOND, LLC,
`Patent Owner
`____________
`
`Case IPR2014-00800
`Patent 7,811,421 B2
`____________
`
`
`
`
`Before KEVIN F. TURNER, DEBRA K. STEPHENS, JONI Y. CHANG,
`SUSAN L. C. MITCHELL, and JENNIFER M. MEYER,
`Administrative Patent Judges.
`
`STEPHENS, Administrative Patent Judge.
`
`
`DECISION
`Institution of Inter Partes Review
`37 C.F.R. § 42.108
`
`
`
`
`
`
`
`571-272-7822
`
`
`
` Paper 9
`
`Entered: October 6, 2014
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`TAIWAN SEMICONDUCTOR MANUFACTURING COMPANY, LTD.
`and TSMC NORTH AMERICA CORPORATION,
`Petitioner,
`v.
`
`ZOND, LLC,
`Patent Owner
`____________
`
`Case IPR2014-00800
`Patent 7,811,421 B2
`____________
`
`
`
`
`Before KEVIN F. TURNER, DEBRA K. STEPHENS, JONI Y. CHANG,
`SUSAN L. C. MITCHELL, and JENNIFER M. MEYER,
`Administrative Patent Judges.
`
`STEPHENS, Administrative Patent Judge.
`
`
`DECISION
`Institution of Inter Partes Review
`37 C.F.R. § 42.108
`
`
`
`
`
`
`
`
`IPR2014-00800
`Patent 7,811,421 B2
`
`
`I. INTRODUCTION
`On May 22, 2014, Taiwan Semiconductor Manufacturing Company,
`LTD. and TSMC North America Corporation (collectively, “TSMC”) filed a
`Petition requesting an inter partes review of claims 1, 2, 8, 10–13, 15–17,
`22–25, 27–30, 33, 34, 38, 39, 42, 43, and 46–48 (“the challenged claims”) of
`U.S. Patent No. 7,811,421 B2 (“the ’421 patent”). Paper 1 (“Pet.”). Zond,
`LLC (“Zond”) filed a Patent Owner Preliminary Response. Paper 7
`(“Prelim. Resp.”). We have jurisdiction under 35 U.S.C. § 314.
`The standard for instituting an inter partes review is set forth in
`35 U.S.C. § 314(a), which provides:
`THRESHOLD.—The Director may not authorize an inter
`partes review to be instituted unless the Director determines
`that the information presented in the petition filed under section
`311 and any response filed under section 313 shows that there
`is a reasonable likelihood that the petitioner would prevail with
`respect to at least 1 of the claims challenged in the petition.
`
`Taking into account Zond’s Preliminary Response, and based on the
`information presented in the Petition, we are persuaded a reasonable
`likelihood exists that TSMC would prevail in challenging claims 1, 2, 8, 10–
`13, 15–17, 22–25, 27–30, 33, 34, 38, 39, 42, 43, and 46–48 as unpatentable.
`Pursuant to 35 U.S.C. § 314, we hereby authorize an inter partes review as
`to claims 1, 2, 8, 10–13, 15–17, 22–25, 27–30, 33, 34, 38, 39, 42, 43, and
`46–48 of the ’421 patent.
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`Patent 7,811,421 B2
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`
`A. Related District Court Proceedings
`TSMC indicates that the ’421 patent was asserted in Zond, LLC v.
`
`Fujitsu Semiconductor Ltd, No.1:13-cv-11634-WGY (D. Mass.), in which
`TSMC is a co-defendant. Pet. 1; Paper 5, 1. TSMC also identifies other
`proceedings in which Zond asserted the ’421 patent. Id.
`
`B. Related Inter Partes Review
`Intel Corporation (“Intel”) filed a Petition to institute an inter partes
`review in IPR2014-00468, challenging the same claims based on the same
`grounds of unpatentability as those in the instant proceeding. Compare
`IPR2014-00468, Paper 4 (“’468 Pet.”), 2–58, with Pet. 3–59. On September
`2, 2014, we instituted an inter partes review of claims 1, 2, 8, 10–13, 15–17,
`22–25, 27–30, 33, 34, 38, 39, 42, 43, and 46–48 of the ’421 patent in
`IPR2014-00468 (Paper 12, “’468 Dec.”), based on the following grounds of
`unpatentability:
`
`Claim
`1, 2, 8, 10–13, 16, 17, 22–25,
`28–30, 33, 34, 39, 42, 43, 46–48
`15, 27, 38
`
`Basis
`
`References
`
`§ 102 Wang
`
`§ 103 Wang and Mozgrin
`
`
`
`The trial, however, was terminated in light of the Written Settlement
`Agreement, made in connection with the termination of the proceeding in
`accordance with 35 U.S.C. § 317(b) and 37 C.F.R. § 42.74(b), between Intel
`and Zond. IPR2014-00468, Papers 14, 15. TSMC has filed a Motion for
`Joinder, seeking to join the instant proceeding with Intel Corp. v. Zond,
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`IPR2014-00800
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`LLC, Case IPR2014-00468 (PTAB) (“IPR2014-00468”). Paper 6 (“Mot.”).
`In view of the termination of the Intel Proceeding, however, TSMC’s
`Motion for Joinder is dismissed as moot in a separate decision.
`The following parties also filed Petitions for inter partes review that
`challenge the same claims based on the same grounds of unpatentability as
`those in IPR2014-00468 and in the instant proceeding: Fujitsu
`Semiconductor Limited and Fujitsu Semiconductor America, Inc. (Fujitsu
`Semiconductor Ltd. v. Zond, LLC, Case IPR 2014-00844 (PTAB), Paper 1);
`The Gillette Company (The Gillette Co. v. Zond, LLC, Case IPR2014-00991
`(PTAB), Paper 2); and Advanced Micro Devices, Inc., Renesas Electronics
`Corporation, Renesas Electronics America, Inc., GLOBALFOUNDRIES
`U.S., Inc., GLOBALFOUNDRIES Dresden Module One LLC & Co. KG,
`GLOBALFOUNDRIES Dresden Module Two LLC & Co. KG, Toshiba
`America Electronic Components, Inc., Toshiba America Inc., Toshiba
`America Information Systems, Inc., and Toshiba Corporation (collectively,
`“AMD”) (Advanced Micro Devices, Inc. v. Zond, LLC, Case IPR2014-01037
`(PTAB), Paper 2).
`
`C. The ’421 patent
`The ’421 patent relates to a high-deposition sputtering apparatus.
`Ex. 1001, Abs. At the time of the invention, sputtering was a well-known
`technique for depositing films on semiconductor substrates. Id. at 1:15–16.
`The ’421 patent indicates prior art magnetron sputtering systems deposit
`films that have low uniformity, poor target utilization (the target material
`erodes in a non-uniform manner), and relatively low deposition rate (low
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`Patent 7,811,421 B2
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`amount of material deposited on the substrate per unit time). Id. at 1:63–
`2:14. To address these problems, the ’421 patent discloses increasing the
`power applied between the target and anode can increase the amount of
`ionized gas and, therefore, increase the target utilization and sputtering yield.
`Id. at 3:20–22. However, increasing the power also “increases the
`probability of establishing an undesirable electrical discharge (an electrical
`arc) in the process chamber.” Id. at 3:23–29.
`According to the ’421 patent, magnetron sputtering apparatus 200
`includes cathode assembly 216, which includes cathode 218 and sputtering
`target 220. Id. at 6:46–49. Pulsed power supply 234 is directly coupled to
`cathode assembly 216. Id. at 7:7–9. Pulsed power supply 234 generates
`peak voltage levels of between about 5 kV and about 30 kV, and operating
`voltages are generally between about 50 V and 1 kV. Id. at 7:17–20.
`The ’421 patent forms a weakly-ionized or pre-ionized plasma that
`substantially eliminates the probability of establishing a breakdown
`condition in the chamber when high-power pulses are applied between the
`cathode and anode. Id. at 9:16–19. Once the weakly-ionized plasma is
`formed, high-power pulses are applied between the cathode and anode to
`generate a strongly-ionized plasma from the weakly-ionized plasma. Id. at
`9:29–31, 10:8–9.
`
`D. Illustrative Claim
`Of the challenged claims, claims 1, 17, 34, and 46–48 are
`independent. Claims 2, 8, 10–13, 15, 16, 22–25, 27–30, 33, 38, 39, 42, and
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`Patent 7,811,421 B2
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`43 depend, directly or indirectly, from claims 1, 17, and 34. Claim 1,
`reproduced below, is illustrative:
`
`1. A sputtering source comprising:
`
`a) a cathode assembly comprising a sputtering target that is
`positioned adjacent to an anode; and
`
`b) a power supply that generates a voltage pulse between the
`anode and the cathode assembly that creates a weakly-ionized
`plasma and then a strongly-ionized plasma from the weakly-
`ionized plasma without an occurrence of arcing between the
`anode and the cathode assembly, an amplitude, a duration and a
`rise time of the voltage pulse being chosen to increase a density
`of ions in the strongly-ionized plasma.
`
`Ex. 1001, 22:14–24 (emphases added).
`
`
`E. The Prior Art Relied Upon
`TSMC relies upon the following prior art references:
`Wang
` US 6,413,382 B1
`July 2, 2002
`(Ex. 1004)
`Lantsman
` US 6,190,512 B1
`Feb. 20, 2001
`(Ex. 1005)
`
`D.V. Mozgrin, et al., High-Current Low-Pressure Quasi-Stationary
`Discharge in a Magnetic Field: Experimental Research, 21 PLASMA
`PHYSICS REPORTS 400–409 (1995) (Ex. 1003) (hereinafter “Mozgrin”).
`
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`
`F. The Asserted Grounds of Unpatentability
`TSMC asserts the following grounds of unpatentability:
`
`Claims
`1, 2, 8, 10–13, 15, 16, 34, 38,
`39, 43, 46–48
`1, 2, 8, 10–13, 16, 17, 22–25,
`28–30, 33, 34, 39, 42, 43, 46–48
`17, 22–25, 27–30, 33, 42
`15, 27, 38
`
`Basis
`
`References
`
`§ 102 Mozgrin
`
`§ 102 Wang
`
`§ 103 Mozgrin and Lantsman
`§ 103 Wang and Mozgrin
`
`
`
`II. DISCUSSION
`
`A. Claim Interpretation
`In an inter partes review, claim terms in an unexpired patent are given
`their broadest reasonable construction in light of the specification of the
`patent in which they appear. 37 C.F.R. § 42.100(b). Claim terms are given
`their ordinary and customary meaning as would be understood by one of
`ordinary skill in the art in the context of the entire disclosure. In re
`Translogic Tech. Inc., 504 F.3d 1249, 1257 (Fed. Cir. 2007). An inventor
`may rebut that presumption by providing a definition of the term in the
`specification with reasonable clarity, deliberateness, and precision. In re
`Paulsen, 30 F.3d 1475, 1480 (Fed. Cir. 1994). In the absence of such a
`definition, limitations are not to be read from the specification into the
`claims. In re Van Geuns, 988 F.2d 1181, 1184 (Fed. Cir. 1993).
`Here, both parties agree the broadest reasonable construction standard
`applies to the claims involved in the instant proceeding, and propose
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`constructions for the claim terms “weakly-ionized plasma” and
`“strongly-ionized plasma.” Pet. 12–14; Prelim. Resp. 13–15.
`
`“weakly-ionized plasma” and “strongly-ionized plasma”
`Claim 1 recites “a voltage pulse . . . that creates a weakly-ionized
`plasma and then a strongly-ionized plasma from the weakly-ionized
`plasma.” TSMC proposes the claim term “weakly-ionized plasma” should
`be interpreted as “a lower density plasma,” and the claim term “strongly-
`ionized plasma” should be interpreted as “a higher density plasma.” Pet.
`12–14. TSMC’s Declarant, Dr. Uwe Kortshagen, defines the term “density”
`in the context of plasma as “the number of ions or electrons that are present
`in a unit volume.” Ex. 1002 ¶ 22.
`In its Preliminary Response, Zond proposes the claim term “weakly-
`ionized plasma” should be interpreted as “a plasma with a relatively low
`peak density of ions,” and the claim term “strongly-ionized plasma” as “a
`plasma with a relatively high peak density of ions.” Prelim. Resp. 14–15
`(citing Ex. 1001, 12:11–12 (“The strongly-ionized plasma 268 is also
`referred to as a high-density plasma.”) and 9:24–25 (“the weakly-ionized
`plasma has a low-level of ionization”)).
`Zond directs our attention to the Specification of U.S. Patent No.
`7,147,759 B2 (“the ’759 patent”), being challenged in, for example, TSMC
`Corp. v. Zond, Inc., Case IPR2014-00781, which refers to “strongly-ionized
`plasma [as] having a large ion density” (Prelim. Resp. 14; Ex. 1007, 10:3–5)
`and of U.S. Patent No. 6,806,652 B1 (“the ’652 patent”), which is being
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`challenged in TSMC v. Zond, Inc., Case IPR2014-00861 (PTAB), which
`states:
`The high-power pulses generate a high-density plasma
`
`from the initial plasma. The term “high-density plasma” is also
`referred to as a “strongly-ionized plasma.” The terms “high-
`density plasma” and “strongly-ionized plasma” are defined
`herein to mean a plasma with a relatively high peak plasma
`density. For example, the peak plasma density of the high-
`density plasma is greater than about 1012 cm-3. The discharge
`current that is formed from the high-density plasma can be on
`the order of about 5 kA with a discharge voltage that is in the
`range of about 50V to 500V for a pressure that is in the range of
`about 5 mTorr to 10 Torr.
`IPR2014-00861, Ex. 1101, 10:57–67.
`We recognize when construing claims in patents that derive from the
`same parent application and share common terms, “we must interpret the
`claims consistently across all asserted patents.” NTP, Inc. v. Research In
`Motion, Ltd., 418 F.3d 1282, 1293 (Fed. Cir. 2005). Here, although Zond
`characterizes the ’652 patent as “a related patent” and refers to the ’759
`patent (Prelim. Resp. 15), Zond does not explain how either the ’652 patent
`or the ’759 patent is related to the involved patent in the instant proceeding
`(i.e., the ’421 patent). The ’652 and ’759 patents do not share the same
`written disclosure, nor do they derive from the same parent application as
`the ’421 patent.
`Nevertheless, we observe no significant difference exists between the
`parties’ constructions. Pet. 12–14; Ex. 1002 ¶ 22; Prelim. Resp. 13–15.
`More importantly, the claim terms “weakly-ionized plasma” and “strongly-
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`ionized plasma” appear to be used consistently across all three patents. See,
`e.g., Ex. 1001, 8:22–28. On this record, therefore, we construe the claim
`term “weakly-ionized plasma” as “plasma with a relatively low peak density
`of ions,” and the claim term “strongly-ionized plasma” as “plasma with a
`relatively high peak density of ions.”
`
`B. Principles of Law
`Anticipation
`In rejecting claims under 35 U.S.C. § 102, “[a] single prior art
`reference that discloses, either expressly or inherently, each limitation of a
`claim invalidates that claim by anticipation.” Perricone v. Medicis Pharm.
`Corp., 432 F.3d 1368, 1375 (Fed. Cir. 2005) (citation omitted).
`[U]nless a reference discloses within the four corners of the
`document not only all of the limitations claimed but also all of
`the limitations arranged or combined in the same way as recited
`in the claim, it cannot be said to prove prior invention of the
`thing claimed and, thus, cannot anticipate under
`35 U.S.C. § 102.
`Net MoneyIN, Inc. v. VeriSign, 545 F.3d 1359, 1371 (Fed. Cir. 2008).
`We analyze the grounds asserted under 35 U.S.C. § 102 in accordance
`with the above-stated principles.
`
`
`Obviousness
`A patent claim is unpatentable under 35 U.S.C. § 103(a) if the
`differences between the claimed subject matter and the prior art are such that
`the subject matter, as a whole, would have been obvious at the time the
`invention was made to a person having ordinary skill in the art to which said
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`subject matter pertains. KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 406
`(2007). The question of obviousness is resolved on the basis of underlying
`factual determinations including: (1) the scope and content of the prior art;
`(2) any differences between the claimed subject matter and the prior art;
`(3) the level of ordinary skill in the art; and (4) objective evidence of
`nonobviousness. Graham v. John Deere Co., 383 U.S. 1, 17–18 (1966).
`In that regard, an obviousness analysis “need not seek out precise
`teachings directed to the specific subject matter of the challenged claim, for
`a court can take account of the inferences and creative steps that a person of
`ordinary skill in the art would employ.” KSR, 550 U.S. at 418; see
`Translogic, 504 F.3d at 1259. A prima facie case of obviousness is
`established when the prior art itself would appear to have suggested the
`claimed subject matter to a person of ordinary skill in the art. In re Rinehart,
`531 F.2d 1048, 1051 (CCPA 1976). The level of ordinary skill in the art is
`reflected by the prior art of record. See Okajima v. Bourdeau,
`261 F.3d 1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579
`(Fed. Cir. 1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978).
`We analyze the grounds asserted under 35 U.S.C. § 103(a) in
`accordance with the above-stated principles.
`
`
`C. Asserted Ground: Claims 1, 2, 8, 10–13, 16, 17, 22–25, 28–30, 33,
`34, 39, 42, 43, and 46–48 – Anticipation by Wang
`TSMC asserts claims 1, 2, 8, 10–13, 16, 17, 22–25, 28–30, 33, 34, 39,
`
`42, 43, and 46–48 are anticipated under § 102 by Wang. Pet. 33–50. As
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`support, TSMC provides detailed explanations as to how each claim
`limitation is met by Wang. Id. TSMC proffers a declaration of
`Dr. Kortshagen as support. Ex. 1002.
`
`Zond responds Wang does not disclose every claim element. Prelim.
`Resp. 26–29.
`We have reviewed the parties’ contentions and supporting evidence.
`Given the evidence on this record, we determine TSMC has demonstrated a
`reasonable likelihood of prevailing on its assertion that claims 1, 2, 8, 10–13,
`16, 17, 22–25, 28–30, 33, 34, 39, 42, 43, and 46–48 are anticipated by
`Wang. Our discussion focuses on the deficiencies alleged by Zond as to the
`alleged unpatentability of claims 1, 2, 8, 10–13, 16, 17, 22–25, 28–30, 33,
`34, 39, 42, 43, and 46–48.
`
`1. Wang (Ex. 1004)
`Wang discloses a power pulsed magnetron sputtering apparatus for
`
`generating a very high plasma density. Ex. 1004, Abs. Wang also discloses
`a sputtering method for depositing metal layers onto advanced
`semiconductor integrated circuit structures. Id. at 1:4–15. Figure 1 of Wang
`illustrates a cross-sectional view of a power pulsed magnetron sputtering
`reactor. Figure 1 is reproduced below:
`
`12
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`As shown in Figure 1 of Wang, magnetron sputtering apparatus 10 has
`target 14 which has a cathode, magnet assembly 40, and pulsed DC power
`supply 80. Id. at 3:57–4:55. According to Wang, the apparatus is capable of
`creating high density plasma in region 42, which ionizes a substantial
`fraction of the sputtered particles into positively charged metal ions and also
`increases the sputtering rate. Id. at 4:13–34. Wang further describes target
`14 as powered by narrow pulses of negative DC power, the exact shape of
`which depends on the design of pulsed DC power supply 80, and significant
`rise times and fall times are expected. Id. at 5:18–27.
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`
`Figure 6 of Wang illustrates how the apparatus applies a pulsed power
`to the plasma. Figure 6 is reproduced below:
`
`
`As shown in Figure 6 of Wang, the target power waveform maintains
`the target at background power level PB between high power pulses 96 with
`peak power level PP. Id. at 7:13–17. Background power level PB exceeds
`the minimum power necessary to support a plasma in the chamber at the
`operational pressure (e.g., 1kW). Id. at 7:17–19. Peak power PP is at least
`10 times (preferably 100 or 1000 times) background power level PB. Id. at
`7:19–22. The application of high peak power PP causes the existing plasma
`to spread quickly, and increases the density of the plasma. Id. at 7:28–30.
`According to Declarant Dr. Kortshagen, Wang’s apparatus generates a
`low-density (weakly-ionized) plasma during the application of background
`power PB, and a high-density plasma during the application of peak power
`PP. Ex. 1002 ¶ 40; see Pet.10–11.
`
`2. Analysis
`TSMC argues Wang discloses “a voltage pulse . . . that creates a
`weakly-ionized plasma and then a strongly-ionized plasma from the weakly-
`ionized plasma without an occurrence of arcing,” as recited in claim 1. Pet.
`14
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`34–37. According to TSMC, a low density plasma is generated with the
`background power, PB, and a high density plasma is created with the peak
`power, PP. Id. at 34. TSMC further asserts Wang discloses arcing can occur
`when a plasma is ignited, i.e., before a first pulse is applied. Id. at 36.
`Furthermore, TSMC contends, since plasma need not be reignited thereafter,
`arcing will not occur during subsequent applications of the background and
`peak power levels, PB and PP. Id. at 37. TSMC, thus, asserts Wang
`describes forming the strongly-ionized plasma (and subsequently weakly-
`ionized plasma, strongly-ionized plasma, etc.) without arcing. Id.
`In the Preliminary Response, Zond argues the portion of Wang’s
`disclosure on which TSMC relies — “the initial plasma ignition needs to be
`performed only once and at much lower power levels so that particulates
`produced by arcing are much reduced” (emphasis added) — does not
`disclose the recited “creates a weakly ionized plasma . . . without an
`occurrence of an arc” as recited in claim 1. Prelim. Resp. 27.
`We are not persuaded. The discussion in Wang upon which TSMC
`relies, discusses initial plasma ignition that occurs before the waveform
`illustrated in Figure 6 of Wang is applied. Ex. 1004, 7:3–6. That initial
`ignition is described by Wang as being performed only once so particulates
`produced by arcing are much reduced. Id. at 7:47–49. Therefore, we
`determine, based on the record before us, when the voltage pulse is applied,
`particulates produced by arcing are much reduced. It follows, on the current
`record, that as a result of that initial ignition, the voltage pulse creates a
`weakly-ionized plasma, and then a strongly-ionized plasma, without arcing,
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`as recited in claim 1 and commensurately recited in claims 17, 34, and 46–
`48.
`
`Zond additionally asserts Wang only acknowledges the power pulses
`have a rise time that can vary from the desired square shape, and that the
`actual shape varies with the power supply design. Prelim. Resp. 29.
`According to Zond, Wang does not disclose the power supply chooses or
`adjusts the rise time of a voltage pulse. Id.
`Wang discloses a voltage pulse changes from the background power
`level PB to the peak power PP, to increase the density of the plasma. Ex.
`1004, 7:28–30, Fig. 6. Wang further discloses these power levels are
`selected. Id. at 7:17-25. While we agree with Zond that Wang illustrates an
`idealized pulse form—having a very short rise time as the slope of each
`power pulse is perpendicular (see id. at Figs. 4, 6), Wang explains that the
`exact shape of the voltage pulse depends on the design of the pulsed power
`supply, and “significant rise times and fall times are expected.” Id. at 5:23–
`29. Thus, we are persuaded Wang discloses “an amplitude, a duration and a
`rise time of the voltage pulse being chosen” as recited in claim 1 and
`commensurately recited in claims 17, 34, and 46-48.
`Thus, on this record, we are persuaded Wang describes
`a voltage pulse . . . that creates a weakly-ionized plasma and then a
`strongly-ionized plasma from the weakly-ionized plasma without an
`occurrence of arcing . . . an amplitude, a duration and a rise time of
`the voltage pulse being chosen to increase a density of ions in the
`strongly-ionized plasma,”
`
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`as recited in claim 1 and commensurately recited in claims 14, 34, and 46-
`48.
`
`Accordingly, based on the current record, TSMC persuades us Wang
`discloses the invention as recited in claims 1, 2, 8, 10–13, 16, 17, 22–25, 28–
`30, 33, 34, 39, 42, 43, and 46–48. Therefore, TSMC has demonstrated a
`reasonable likelihood of prevailing on its assertion that claims 1, 2, 8, 10–13,
`16, 17, 22–25, 28–30, 33, 34, 39, 42, 43, and 46–48 would have been
`anticipated by Wang.
`
`
`D. Asserted Ground: Claims 15, 27, and 38 –
`Obvious over Wang and Mozgrin
`TSMC asserts claims 15, 27, and 38 would have been obvious under
`
`§ 103 over Wang and Mozgrin. Pet. 56–59. As support, TSMC provides
`detailed explanations as to how each claim limitation is met by the cited
`references, and rationales for combining the references. Id. TSMC proffers
`a declaration of Dr. Kortshagen. Ex. 1002.
`Zond argues the Petition should be denied with respect to the
`combination of Wang and Mozgrin against claims 15, 27, and 28 because
`the Petition does not follow the Graham v. Deere framework by neglecting
`to identify the differences between the claims and the cited references and
`by failing to propose any findings for the level of skill in the art. Prelim.
`Resp. 33–34. Zond also argues the Petition does not support the “inferential
`leap” that an ordinarily skilled artisan would have been motivated to use
`
`17
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`Mozgrin’s voltages in Wang given the substantial differences between the
`Wang and Mozgrin equipment. Id. at 34.
`We have reviewed the parties’ contentions and supporting evidence.
`Given the evidence on this record and the Discussion regarding Wang set
`forth above, we determine TSMC has demonstrated a reasonable likelihood
`of prevailing on its assertion claims 15, 27, and 38 would have been obvious
`over Wang and Mozgrin. Our discussion focuses on the deficiencies alleged
`by Zond as to the alleged unpatentability of claims 15, 27, and 38.
`
`1. Mozgrin (Ex. 1003)
`Mozgrin discloses experimental research conducted on high-current
`low-pressure quasi-stationary discharge in a magnetic field. Ex. 1003, 400,
`Title; right column. In Mozgrin, pulse or quasi-stationary regimes are
`discussed in light of the need for greater discharge power and plasma
`density. Id. In Mozgrin, experiments are conducted using a discharge
`device configuration having a cathode (1), anode (2), and magnetic system
`(3), as shown in Figure 1(a). Id. at 401.
`Figure 3(b) of Mozgrin illustrates an oscillogram of voltage of the
`quasi-stationary discharge. Id. at 402. Figure 3(b) is reproduced below:
`
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`
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`In Figure 3(b), Part 1 represents the voltage of the stationary discharge (pre-
`ionization stage); Part 2 displays the square voltage pulse application to the
`gap (Part 2a), where the plasma density grows and reaches it quasi-
`stationary value (Part 2b); and Part 3 displays the discharge current growing
`and attaining its quasi-stationary value. Id. at 402, right col.
`
`2. Analysis
`To support its assertion, that claims 15, 27, and 38 are unpatentable
`under § 103 over Wang and Mozgrin, TSMC bases its arguments on those
`set forth with respect to claim 1 in the anticipation ground based on Wang,
`and further, proffers arguments addressing the additional recitations of
`claims 15, 27, and 38, i.e., the sputtering source of independent claims 1, 17,
`and 34, respectively, “wherein the amplitude of the voltage pulse is in the
`range of approximately 1V to 25 kV.” Pet. 56–59; Ex. 1001, 23:4–6, 23:57–
`59, 24:37–38. Specifically, TSMC argues Wang teaches a pulse with a peak
`power level PP of 1Mw. Pet. 56. According to TSMC, an ordinarily skilled
`artisan would have understood Wang’s voltage pulse was a multi-stage pulse
`producing a peak power pulse PP of constant power for the duration of the
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`pulse τw as shown in Figure 6 reproduced above. Id. at 57. This would
`result in a higher voltage. Id. During a second stage, the voltage applied to
`the target would be decreasing. Id. During the third state, the plasma
`density would stabilize, resulting in substantially constant voltage for the
`duration of the high peak power pulse PP. Id. at 57–58.
`
`We determine Wang does teach a pulse with three separate stages.
`Ex. 1004, Fig. 6. Wang further teaches a background power level PB of 1kW
`is typically sufficient to support a plasma, and preferably, the peak power PP
`is at least 10 to 1000 times the background power PB. Id. at 7:22–25.
`TSMC next contends the voltage pulse in Mozgrin’s Figure 3(b) has a
`similarly shaped voltage pulse with the three same phases as Wang;
`therefore, an ordinarily skilled artisan would have understood Wang’s
`voltage pulse to look similar to that taught by Mozgrin. Pet. 58. TSMC then
`reasons, because Mozgrin teaches if the discharge current ranged from 0.2 to
`15 A, the discharge voltage was approximately 550 Volts. Id.; Ex. 1003,
`402, last paragraph – 403, first paragraph. Therefore, as set forth by TSMC,
`Mozgrin teaches the voltage would be within the recited range of
`approximately 1 V to 25 kV.
`Accordingly, based on the record before us, we are persuaded the
`combination of Wang and Mozgrin teaches “wherein the amplitude of the
`voltage pulse is in the range of approximately 1 V to 25 kV” as recited in
`claims 15, 27, and 38.
`Zond’s additional argument that the Petition does not support the
`reasoning that one of ordinary skill would have been motivated to use
`
`20
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`Mozgrin’s voltage in Wang due to the substantial differences between the
`equipment used by Wang and Mozgrin (Prelim. Resp. 34) is not persuasive.
`Zond appears to be arguing the systems of Wang and Mozgrin must be
`compatible without articulating the “substantial differences” between the
`equipment used by Wang and Mozgrin (id.), while TSMC appears to be
`relying on Mozgrin as teaching a voltage pulse with specific characteristics.
`Pet. 58–59. Furthermore, TSMC has stated “[b]oth Mozgrin and Wang [are]
`related to pulsed magnetron sputtering systems and one of ordinary skill
`reading Wang would have looked to Mozgrin to determine details, such as
`voltage levels, omitted from Wang.” Id. at. 58. TSMC additionally asserted
`“[u]se of Mozgrin’s voltage level in Wang would have been a combination
`of old elements to yield predictable results.” Id. at 58–59.
`Thus, based on the record before us, we are persuaded TSMC has
`articulated sufficient reasoning as to why an ordinarily skilled artisan would
`have found combining Mozgrin’s voltage pulse with Wang’s system
`obvious. Accordingly, TSMC has demonstrated a reasonable likelihood of
`prevailing on its assertion that claims 15, 27, and 38 would have been
`obvious over Wang and Mozgrin.
`
`
`21
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`§ 102
`
`§ 103
`
`Mozgrin
`
`Mozgrin and Lantsman
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`IPR2014-00800
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`
`E. Other Asserted Grounds of Unpatentability
`TSMC also asserts the following grounds of unpatentability:
`
`Basis
`
`References
`
`Claims
`1, 2, 8, 10–13, 15, 16, 34, 38, 39,
`43, and 46–48
`17, 22–25, 27–30, 33, and 42
`
`The Board’s rules for inter partes review proceedings, including those
`pertaining to institution, are “construed to secure the just, speedy, and
`inexpensive resolution of every proceeding.” 37 C.F.R. § 42.1(b); see also
`35 U.S.C. § 316(b), (regulations for inter partes review take into account
`“the efficient administration of the Office” and “the ability of the Office to
`timely complete [instituted] proceedings”). Therefore, we exercise our
`discretion and do not institute a review based on the other asserted grounds
`for reasons of administrative necessity to ensure timely completion of the
`instituted proceeding. See 37 C.F.R. § 42.108(a).
`
`
`III. CONCLUSION
`For the foregoing reasons, we determine based on the information
`presented in the Petition, taking into account Zond’s Preliminary Response,
`TSMC has demonstrated a reasonable likelihood that the challenged claims
`are unpatentable based on the grounds set forth in the ORDER. Therefore,
`we authorize an inter partes review of claims 1, 2, 8, 10–13, 15–17, 22–25,
`27–30, 33, 34, 38, 39, 42, 43, and 46–48. At this stage in the proceeding, we
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`have not made a final determination with respect to claim construction or the
`patentability of the challenged claims.
`
`
`IV. ORDER
`For the foregoing reasons, it is hereby:
`ORDERED that pursuant to 35 U.S.C. § 314(a), an inter partes
`review is hereby authorized for the following grounds of unpatentability for
`the ’421 patent:
`
`
`
`Claims
`1, 2, 8, 10–13, 16, 17, 22–25, 28–
`30, 33, 34, 39, 42, 43, and 46–48
`15, 27, and 38
`
`Basis
`
`§ 102
`
`§ 103
`
`References
`
`Wang
`
`Wang and Mozgrin
`
`
`
`FURTHER ORDERED that no other ground of unpatentability
`asserted in the Petition is authorized for this inter partes review; and
`FURTHER ORDERED that pursuant to 35 U.S.C. § 314(c) and
`37 C.F.R. § 42.4, notice is hereby given of the institution of a trial; the trial
`will commence on the entry date of this decision.
`
`
`
`
`
`
`
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`IPR2014-00800
`Patent 7,811,421 B2
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`For PETITIONER:
`David L. McCombs
`david.mccombs.ipr@haynesboone.com
`
`
`David M. O’Dell
`david.odell.ipr@haynesboone.com
`
`Richard C. Kim
`rckim@duanemorris.com
`
`
`PATENT OWNER:
`
`Bruce J. Barker
`bbarker@chsblaw.com
`
`Gregory J. Gonsalves
`gonsalves@gonsalveslawfirm.com
`
`
`
`24
`
`
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