Trials@uspto.gov
`571-272-7822
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`
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` Paper 9
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`Entered: October 6, 2014
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`
`
`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 IPR2014-00805
`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 IPR2014-00805
`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
`
`
`
`
`
`
`
`
`IPR2014-00805
`Patent 7,811,421 B2
`
`
`I. INTRODUCTION
`On May 23, 2014, Taiwan Semiconductor Manufacturing Company,
`LTD. and TSMC North America Corporation (collectively, “TSMC”) filed a
`Petition requesting inter partes review of claims 3–7, 18–20, 31, 32, 36, 40,
`41, 44, and 45 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 8 (“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 Patent Owner Preliminary Response, we
`conclude that the information presented in the Petition demonstrates there is
`a reasonable likelihood that TSMC would prevail in challenging claims 3–7,
`18–20, 31, 32, 36, 40, 41, 44, and 45 as unpatentable under 35 U.S.C.
`§ 103(a). Pursuant to 35 U.S.C. § 314, we hereby authorize an inter partes
`review to be instituted as to claims 3–7, 18–20, 31, 32, 36, 40, 41, 44, and 45
`of the ’421 patent.
`
`A. Related District Court Proceedings
`TSMC indicates the ’421 patent was asserted in Zond, LLC v. Fujitsu
`
`Semiconductor Ltd, No.1:13-cv-11634-WGY (D. Mass.), in which TSMC is
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`a co-defendant. Pet. 1 and Paper 4. TSMC also identifies other matters
`where Zond asserted the claims of the ’421 patent against third parties. Id.
`
`B. Related Inter Partes Reviews
`Intel Corporation (“Intel”) filed a Petition to institute an inter partes
`review in IPR2014-00473, challenging the same claims based on the same
`grounds of unpatentability as those in the instant proceeding. Compare
`IPR2014-00473, Paper 2 (“’468 Pet.”), 3–60, with Pet. 3–60. On September
`2, 2014, we instituted an inter partes review of claims 3–7, 18–20, 31, 32,
`36, 40, 41, 44, and 45 of the ’421 patent in IPR2014-00473 (Paper 11,
`“’473 Dec.”), based on the following grounds of unpatentability:
`
`Claims
`
`3–5, 36, 40, and 41
`6, 31, 44, and 45
`7, 18–20, and 32
`
`Basis
`
`§ 103
`§ 103
`§ 103
`
`References
`
`Mozgrin and Kawamata
`Mozgrin and Lantsman
`Mozgrin, Lantsman, and Kawamata
`
`
`
`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. IPR2014-00473, Papers 13, 14.
`TSMC has filed a Motion for Joinder, seeking to join the instant
`proceeding with Intel Corp. v. Zond, LLC., Case IPR2014-00473 (PTAB)
`(“IPR2014-00473”). Paper 6 (“Mot.”). In view of the termination of the
`Intel Proceeding, however, TSMC’s Motion for Joinder is dismissed as moot
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`in a separate decision.
`Several companies also filed a Petition for inter partes review,
`challenging the same claims based on the same grounds of unpatentability as
`those in IPR2014-00473 and in the instant proceeding.
`These include: Fujitsu Semiconductor Limited and Fujitsu
`Semiconductor America, Inc. (Fujitsu Semiconductor Ltd. v. Zond, LLC,
`Case IPR 2014-00851 (PTAB), Paper 1); The Gillette Company (The
`Gillette Co. v. Zond, LLC,Case IPR2014-00990 (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 IPR2014-01069
`(PTAB), Paper 1.
`
`
`C. The ’421 Patent
`The ’421 patent relates to a high-deposition sputtering apparatus.
`Ex. 1101, 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 having low uniformity, poor target utilization (the target material
`erodes in a non-uniform manner), and relatively low deposition rate (low
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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 that increasing
`the power applied between the target and anode can increase the amount of
`ionized gas, therefore, increasing 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 Claims
`Of the challenged claims, none are independent. Claims 3–7, 18–20,
`31, 32, 36, 40, 41, 44, and 45 depend, directly or indirectly, from claims 1,
`17, and 34. Claims 1 and 3, reproduced below, are illustrative:
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`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.
`
`3. The sputtering source of claim 1 wherein the increase of the
`density of ions in the strongly-ionized plasma is enough to generate
`sufficient thermal energy in a surface of the sputtering target to cause
`a sputtering yield to be related to a temperature of the sputtering
`target.
`
`Ex. 1101, 22:14–24, 29–33 (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. 1104)
`Lantsman
` US 6,190,512 B1
`Feb. 20, 2001
`(Ex. 1105)
`Kawamata
` US 5,958,155
`
`Sep. 28, 1999
`(Ex. 1109)
`
`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. 1103) (hereinafter “Mozgrin”).
`
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`F. The Asserted Grounds of Unpatentability
`TSMC asserts the following grounds of unpatentability:
`
`Claim
`
`Basis
`
`References
`
`3–5, 36, 40, and 41
`3–5, 18–20, 36, 40, and 41
`6, 31, 44, and 45
`7, 18–20, and 32
`6, 31, 44, and 45
`7 and 32
`
`§ 103 Mozgrin and Kawamata
`§ 103 Wang and Kawamata
`§ 103 Mozgrin and Lantsman
`§ 103 Mozgrin, Lantsman, and Kawamata
`§ 103 Wang and Lantsman
`§ 103 Wang, Lantsman, and Kawamata
`
`
`
`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).
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`Here, both parties agree the broadest reasonable construction standard
`applies to the claims involved in the instant proceeding, and propose the
`construction for the claim terms “weakly-ionized plasma” and “strongly-
`ionized plasma.” Pet. 11–13; Prelim. Resp. 17–19.
`
`“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. 13.
`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. 1102 ¶ 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. 18–19
`(citing Ex. 1101, 12:11–12 (“The strongly-ionized plasma 268 is also
`referred to as a high-density plasma.”), 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, e.g., in TSMC Corp. v.
`Zond, Inc., IPR2014-00781, which refers to “strongly-ionized plasma [as]
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`having a large ion density” (Prelim. Resp. 19)1, and the Specification of U.S.
`Patent No. 6,806,652 B1 (“the ’652 patent”), which is being challenged in
`TSMC Corp. v. Zond, Inc., IPR2014-00861 (PTAB), which states “weakly-
`ionized plasma” is defined to mean “a plasma with a relatively low peak
`plasma density.” Prelim. Resp. 19.
`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. 19), 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. 11–13; Ex. 1102 ¶¶ 22, 43–45; Prelim. Resp. 17–
`19. More importantly, the claim terms “weakly-ionized plasma” and
`“strongly-ionized plasma” appear to be used consistently across all three
`patents. See, e.g., Ex. 1101, 8:22–28. On this record, therefore, we construe
`the claim term “weakly-ionized plasma” as “plasma with a relatively low
`
`
`1 Zond refers to Exhibit 1112 instead of Exhibit 1107, as the ’759 patent.
`We consider this an inadvertent and harmless error.
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`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
`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
`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).
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`We analyze the asserted grounds of unpatentability under 35 U.S.C.
`§ 103(a) in accordance with the above-stated principles.
`
`
`C. Asserted Ground: Claims 3–5, 18–20, 36, 40, and 41 – Obviousness over
`Wang and Kawamata
`TSMC asserts claims 3–5, 18–20, 36, 40, and 41 are unpatentable
`under § 103 as obvious over Wang and Kawamata. Pet. 30–42. As support,
`TSMC provides detailed explanations as to how each claim limitation is met
`by the combination of Wang and Kawamata. Id. TSMC proffers the
`declaration of Dr. Kortshagen. Ex. 1102.
`Zond responds that the combination of Wang and Kawamata does not
`disclose every claim element. Prelim. Resp. 45. Specifically, Zond argues
`Wang does not disclose the elements recited in independent claims 1, 17,
`and 34, from which claims 3–5, 18–20, 36, 40, and 41 depend. Id. at 44–48.
`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 3–5, 18–20,
`36, 40, and 41 would have been unpatentable over Wang and Kawamata.
`Our analysis focuses on the deficiencies alleged by Zond as to the alleged
`unpatentability of the claims.
`
`1. Wang (Ex. 1104)
`Wang discloses a power pulsed magnetron sputtering apparatus for
`
`generating a very high plasma density. Ex. 1104, Abs. Wang also discloses
`a sputtering method for depositing metal layers onto advanced
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`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:
`
`
`
`
`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 is powered by narrow pulses of negative DC power, the exact shape of
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`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.
`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. 1102 ¶ 126; see Pet. 10–11.
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`2. Kawamata (Ex. 1109)
`Kawamata discloses a process for producing thin film at a high speed
`by sputtering. Ex. 1109, Abstract; 1:5–8. In one embodiment, film source
`material is sputtered by positive ions while applying an alternating voltage to
`an electrode having the film source material disposed thereon to thereby
`cause the electrode to have a negative potential, and applying alternating
`current power to generate plasma over the film source material to cause the
`surface of the film source material to have its temperature raised by the
`plasma. Id. at 3:12–19.
`Figure 2 of Kawamata illustrates that changes of the surface
`temperature of granules 3 (Surface temp.) and rate of film formation on
`substrate 2 (Deposition rate) with reference to the input power (Input
`power). Figure 2 is reproduced below:
`
`Figure 2 is a graph showing the relationship between input power and
`
`surface temperature, and input power and deposition rate.
`
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`3. 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 and
`commensurately recited in claims 17 and 34. Pet. 30–39. 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 10–11.
`TSMC further asserts Wang discloses arcing can occur when a plasma is
`ignited, i.e., before a first pulse is applied. Id. at 33. 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. TSMC, thus, asserts Wang describes forming the strongly-
`ionized plasma (and subsequently, weakly-ionized plasma, strongly-ionized
`plasma, etc.) without arcing. Id. at 34.
`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” — does not disclose the recited
`“creates a weakly ionized plasma . . . without an occurrence of an arc” as
`recited in claim 1. Prelim. Resp. 45.
`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. 1104, 7:3–6. That initial ignition is described by
`Wang as being performed only once so particulates produced by arcing are
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`much reduced. Id. at 7:47–49. Therefore, when the voltage pulse is applied,
`particulates produced by arcing are much reduced. It follows, as a result of
`that initial ignition, the voltage pulse creates a weakly-ionized plasma and
`then a strongly ionized plasma without arcing, as recited in claim 1 and,
`commensurately recited in claims 17 and 34.
`Claims 3 and 18 recite “wherein the increase of the density of ions in
`the strongly-ionized plasma is enough to generate sufficient thermal energy
`in a surface of the sputtering target to cause a sputtering yield to be related to
`a temperature of the sputtering target.” Ex. 1101, 22:29–33; 23:26–30.
`Claim 40 recites “wherein the adjusting an amplitude and a rise time of the
`voltage pulse increases the density of ions in the strongly-ionized plasma
`enough to generate sufficient thermal energy” is commensurately recited.
`Id. at 24:42–47.
`TSMC argues Wang teaches applying high peak power PP increases
`the density of the plasma. Pet. 39 (citing Ex. 1102, ¶116 ). TSMC
`additionally argues Kawamata teaches that generating plasma over the film
`source material causes the surface temperature of the film source material to
`rise. Pet. 24, 39; Ex. 1109, 3:12–20. Furthermore, according to TSMC,
`Kawamata teaches the surface temperature of the sputtering target is a
`function of the input power and as the surface temperature increases, the
`deposition rate increases. Pet. 27, 39; Ex. 1109, 7:51–58. TSMC further
`points out the ’421 patent admits “the deposition rate is proportion to the
`sputtering yield.” Ex. 1101, 2:9–10.
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`In response, Zond contends Wang does not anticipate the invention as
`recited in claims 1, 17, and 34. Prelim. Resp. 44–48. Zond further asserts
`Kawamata does not cure the deficiencies of Wang. Id. at 49. As discussed
`above with respect to claims 1, 17, and 34, we are persuaded by TSMC’s
`arguments that Wang anticipates claims 1, 17, and 34.
`Zond next argues Kawamata uses non–pulsed, continuous sources for
`heating a target of optical granules. Id. at 37–38, 48; Ex. 1109, Figs. 3, 7,
`and 12. According to Zond, TSMC does not proffer evidence that suggests
`combining the thermal properties of Kawamata’s continuous AC (alternating
`current) system with Wang’s pulsed system nor does TSMC proffer
`evidence addressing the arcing risk in a pulsed system operated to yield such
`thermal properties, or choosing or adjusting an “amplitude and rise time” of
`the pulse. Prelim. Resp. 48–49.
`In view of the record before us, we are persuaded by TSMC’s
`arguments. We determine Wang describes target 14 is powered by narrow
`pulses of negative DC power, the exact shape of which depends on the
`design of the pulsed DC power supply 80, and significant rise times and fall
`times are expected. Ex. 1104, 5:18–27. We credit Dr. Kortshagen’s
`testimony that 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. 1102 ¶ 37–38; see Pet.
`39. Thus, we determine Wang teaches adjusting an amplitude and a rise
`time of the voltage pulse increases the ion density in the strongly-ionized
`plasma.
`
`17
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`IPR2014-00805
`Patent 7,811,421 B2
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`
`We are also persuaded Kawamata’s plasma generation can raise the
`sputtering material temperature. Ex. 1109, 3:14–20. We further are
`persuaded Kawamata teaches adjusting the input power changes the surface
`temperature of the film source material (granules 3) and the deposition rate.
`Id. at 7:49–53; Fig. 2. The ’421 patent states “[i]n general, the deposition
`rate is proportional to the sputtering yield;” therefore, based on TSMC’s
`arguments, we are persuaded the sputtering yield is also related to the
`surface temperature of the film source material, i.e. the sputtering target. Ex.
`1101, 2:9–10. Accordingly, based on the current record, TSMC has
`persuaded us the combination of Wang and Kawamata teaches claims 3, 18,
`and 40.
`Moreover, we are not persuaded by Zond’s argument that TSMC does
`not proffer sufficient evidence that an ordinarily skilled artisan would have
`found it obvious to combine the teachings of Kawamata into the system of
`Wang. Specifically, Zond contends TSMC has not provided evidence
`suggesting combining the properties of Kawamata’s continuous AC system
`with a pulsed system of Wang or addressing the arcing risk in a pulsed
`system operated to yield the recited thermal properties would have been
`obvious. Prelim. Resp. 49.
`However, given the evidence on this record, those arguments are not
`persuasive. “It is well-established that a determination of obviousness based
`on teachings from multiple references does not require an actual, physical
`substitution of elements.” In re Mouttet, 686 F.3d 1322, 1332 (Fed. Cir.
`2012) (citing In re Etter, 756 F.2d 852, 859 (Fed. Cir. 1985) (en banc)
`
`18
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`IPR2014-00805
`Patent 7,811,421 B2
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`(noting that the criterion for obviousness is not whether the references can
`be combined physically, but whether the claimed invention is rendered
`obvious by the teachings of the prior art as a whole)). In that regard, one
`with ordinary skill in the art is not compelled to follow blindly the teaching
`of one prior art reference over the other without the exercise of independent
`judgment. Lear Siegler, Inc. v. Aeroquip Corp., 733 F.2d 881, 889 (Fed.
`Cir. 1984); see also KSR, 550 U.S. at 420–21 (A person with ordinary skill
`in the art is “a person of ordinary creativity, not an automaton,” and “in
`many cases . . . will be able to fit the teachings of multiple patents together
`like pieces of a puzzle.”).
`Based on the record before us, we are persuaded an ordinarily skilled
`artisan would have found it obvious to combine the teachings of Kawamata
`and Wang. More specifically, we credit Dr. Kortshagen’s declaration
`(Ex. 1102 ¶ 118–119), and we are persuaded an ordinarily skilled artisan
`would have found it obvious to use input power to control the density of the
`plasma, thereby controlling the temperature of the sputtering material so as
`to control the sputtering yield. As TSMC identifies, Wang teaches creating
`high density plasma increases sputtering rate, and Kawamata teaches
`producing a thin film by sputtering at a high speed. Pet. 40; Ex. 1102 ¶ 119.
`Thus, we agree an ordinarily skilled artisan would have considered
`Kawamata’s teaching as both references discuss enhancement of the
`sputtering rate. Furthermore, we are persuaded, based on TSMC’s assertion
`and the testimony of Dr. Kortshagen, that this would have been a
`
`19
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`IPR2014-00805
`Patent 7,811,421 B2
`
`combination of known techniques with each element behaving as expected.
`Pet. 40, Ex. 1102 ¶ 120.
`Accordingly, given the evidence before us, we determine that the
`Petition and supporting evidence demonstrate sufficiently that combining the
`technical disclosures of Wang and Kawamata as recited in claims 3 and 18
`would have been obvious. Zond has not presented arguments specific to
`claims 4, 5, 19, 20, 36, and 41.
`Therefore, upon review of the record before us, TSMC has
`demonstrated a reasonable likelihood of prevailing on its assertion that
`claims 3–5, 18–20, 36, 40, and 41 would have been over the combination of
`Wang and Kawamata under 35 U.S.C. § 103.
`
`
`D. Asserted Ground: Claims 6, 31, 44, and 45 – Obviousness over Wang
`and Lantsman
`TSMC asserts that claims 6, 31, 44, and 45 would have been under
`§ 103 over Wang and Lantsman. Pet. 55–59. As support, TSMC provides
`explanations as to how each claim limitation is met by Wang and Lantsman.
`Id. TSMC proffers the declaration of Dr. Kortshagen as support. Ex. 1102.
`
`Zond responds that the combination of Wang and Lantsman does not
`disclose every claim element. Prelim. Resp. 49–52.
`We have reviewed the parties’ contentions and supporting evidence.
`Given the evidence on this record, we determine that TSMC has
`demonstrated a reasonable likelihood of prevailing on its assertion that
`claims 6, 31, 44, and 45 would have been unpatentable over Wang and
`
`20
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`IPR2014-00805
`Patent 7,811,421 B2
`
`Lantsman. Our discussion focuses on the deficiencies alleged by Zond as to
`the alleged unpatentability of the claims.
`
`
`1. Lantsman (Ex. 1105)
`Lantsman discloses a plasma ignition system for plasma processing
`chambers having primary and secondary power supplies, used to generate a
`plasma current and a process initiation voltage, respectively. Ex. 1105,
`Abstract. The primary power supply provides the primary power to
`electrically drive the cathode during the plasma process and the secondary
`power supply supplies an initial plasma ignition voltage to “pre-ignite” the
`plasma so that when the primary power supply is applied, the system
`smoothly transitions to final plasma development and deposition. Id. at
`2:48–51.
`The system is applicable to magnetron and non-magnetron sputtering
`and RF sputtering systems. Id. at 1:6–8. Lantsman also provides that
`“arcing which can be produced by overvoltages can cause local overheating
`of the target, leading to evaporation or flaking of target material into the
`processing chamber and causing substrate particle contamination and device
`damage,” and “[t]hus, it is advantageous to avoid voltage spikes during
`processing wherever possible.” Id. at 1:51–59.
`Lantsman also discloses that “at the beginning of processing . . . gas is
`introduced into the chamber” and “[w]hen the plasma process is completed,
`the gas flow is stopped.” Id. at 3:10–13. This is illustrated in Figure 6 of
`Lantsman reproduced below:
`
`21
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`IPR22014-008005
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`Patennt 7,811,4221 B2
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`
`Figuure 6 illustrrates that thhe gas floww is initiateed and the
`
`gas flow aand
`for the
`
`
`
`
`
`presssure begin to ramp uppwards towward normmal process
`ing levels
`
`
`proccessing stagge. Id. at 55:39–42.
`
`
`
`2.
`
`Analysiss
`sing a gas
`
`
`
`
`Claims 66 and 31 reecite “furthher compri
`flow contrroller that
`
`
`
`
`
`
`
`ongly-uses the strod gas diffuhat the feeded gas so thw of the feecontrrols a flow
`
`
`
`
`
`
`
`ionizzed plasmaa,” while cllaim 44 reccites “diffuusing the wweakly-ionnized
`
`
`
`
`
`
`
`plasmma with a vvolume of f the feed ggas while ioonizing thee volume oof the feed
`
`
`
`
`
`
`
`gas tto create addditional wweakly-ionized plasmma” and claaim 45 reciites
`
`
`
`
`
`
`
`
`“furtther comprrising exchhanging a vvolume of ffeed gas too diffuse thhe stronglyy-
`
`
`
`
`
`
`ionizzed plasmaa while appplying the vvoltage puulse to the ccathode as
`sembly to
`
`
`
`
`
`
`
`geneerate additiional strongly-ionizedd plasma ffrom the voolume of thhe feed
`
`
`
`
`gas.”” Ex. 11011, 22:40–42; 24:1–3; 24:59–67
`.
`
`
`
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`
`
`TSMC aargues becaause an orddinarily skkilled artisaan would uunderstand
`
`
`
`
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`
`
`
`Wanng suppliess feed gas dduring the processingg, it would d have beenn obvious tto
`22
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`IPR2014-00805
`Patent 7,811,421 B2
`
`an ordinarily skilled artisan to continue to exchange the feed gas in Wang
`during production of the strongly-ionized plasma (i.e., during the application
`of high peak power PP pulses) as taught by Lantsman. Pet. 55–56. TSMC
`relies on Wang’s Figure 1, as teaching mass flow controller 34 meters gas
`into the chamber and Lantsman as teaching exchanging feed gas during the
`entire plasma processing. Id.
`Zond argues TSMC relies on Lantsman as disclosing gas flow into a
`plasma chamber; however, Lantsman does not teach the rate of gas flow is
`controlled during the portion of a pulse that generates a strongly-ionized
`plasma. Prelim. Resp. 51. Furthermore, Zond argues Lantsman does not
`teach the gas flow rate is generated at a sufficient rate to diffuse th
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