`Filed on behalf of: Taiwan Semiconductor Manufacturing Company, Ltd. and
`TSMC North America Corp.
`David M. O’Dell, Reg. No. 42,044
`David L. McCombs, Reg. No. 32,271
`Richard C. Kim, Reg. No. 40,046
`
`By:
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`TAIWAN SEMICONDUCTOR MANUFACTURING COMPANY, LTD. and
`TSMC NORTH AMERICA CORP.
`Petitioner
`
`v.
`
`ZOND, INC.
`Patent Owner
`
`Case IPR___________________
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 6,805,779
`CHALLENGING CLAIMS 30-40
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`
`TABLE OF CONTENTS
`
`Contents
`I.
`Mandatory Notices................................................................................... - 1 -
`A.
`Real Party-in-Interest..................................................................... - 1 -
`B.
`Related Matters.............................................................................. - 1 -
`C.
`Counsel.......................................................................................... - 2 -
`D.
`Service Information ....................................................................... - 2 -
`Certification of Grounds for Standing ...................................................... - 2 -
`II.
`III. Overview of Challenge and Relief Requested.......................................... - 2 -
`A.
`Prior Art Patents and Printed Publications....................................... - 3 -
`B.
`Grounds for Challenge ................................................................... - 3 -
`IV. Brief Description of Technology............................................................... - 4 -
`A.
`Plasma ........................................................................................... - 4 -
`B.
`Ions, excited atoms, and metastable atoms ...................................... - 5 -
`Overview of the ‘779 Patent ..................................................................... - 7 -
`A.
`Summary of Alleged Invention of the ‘779 Patent........................... - 7 -
`B.
`Prosecution History ...................................................................... - 10 -
`C.
`Claims 30 and 40.......................................................................... - 12 -
`VI. Overview of the primary prior art references........................................... - 14 -
`A.
`Summary of the Prior Art ............................................................. - 14 -
`B.
`Overview of Mozgrin ................................................................... - 14 -
`C.
`Overview of Kudryavtsev............................................................. - 16 -
`D.
`Overview of Iwamura................................................................... - 17 -
`E.
`Overview of Pinsley and Angelbeck ............................................. - 17 -
`VII. Claim construction ................................................................................. - 19 -
`A.
`“multi-step ionization” ................................................................. - 19 -
`VIII. Specific Grounds for Petition.................................................................. - 20 -
`
`V.
`
`i
`
`
`
`A.
`
`B.
`
`C.
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`Ground I: Claims 30-33, 35, 37, and 40 would have been obvious in
`view of the combination of Mozgrin, Kudryavtsev and Pinsley..... - 20 -
`1.
`Independent claim 30 .............................................................- 20 -
`2.
`Independent claim 40 .............................................................- 32 -
`Ground II: Claims 34, and 39 would have been obvious in view of the
`combination of Mozgrin, Kudryavtsev, Pinsley, and Wells ........... - 38 -
`Ground III: Claim 36 would have been obvious in view of the
`combination of Mozgrin, Kudryavtsev, Pinsley, and Lovelock...... - 39 -
`Ground IV: Claim 30-33, 35, 37, and 40 would have been obvious in
`view of Iwamura and Angelbeck .................................................. - 41 -
`1.
`Independent claim 30 .............................................................- 41 -
`2.
`Independent claim 40 .............................................................- 52 -
`3. Dependent claims 31-33, 35, and 37 .......................................- 53 -
`Ground V: Claims 34, and 39 are obvious in view of the combination
`of Iwamura, Angelbeck, and Wells............................................... - 57 -
`Ground VI: Claim 36 would have been obvious in view of the
`combination of Iwamura, Angelbeck and Lovelock ...................... - 58 -
`IX. Conclusion ............................................................................................. - 60 -
`
`D.
`
`E.
`
`F.
`
`ii
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`
`I.
`
`MANDATORY NOTICES
`
`A.
`
`Real Party-in-Interest
`
`Taiwan Semiconductor Manufacturing Company, Ltd. and TSMC North
`
`America Corp. are the real parties-in-interest (“Petitioner”).
`
`B.
`
`Related Matters
`
`Zond has asserted U.S. Patent No. 6,805,779 (“‘779 Patent”) (Ex. 1201)
`
`against numerous parties in the District of Massachusetts, 1:13-cv-11570-RGS
`
`(Zond v. Intel); 1:13-cv-11577-DPW (Zond v. AMD, Inc., et al); 1:13-cv-11581-
`
`DJC (Zond v. Toshiba Am. Elec. Comp. Inc.); 1:13-cv-11591-RGS (Zond v. SK
`
`Hynix, Inc.); 1:13-cv-11625-NMG (Zond v. Renesas Elec. Corp.) ; 1:13-cv-11634-
`
`WGY (Zond v. Fujitsu, et al.); 1 and 1:13-cv-11567-DJC (Zond v. Gillette, Co.).
`
`Petitioner has also filed IPR 2014-00598 and IPR 2014-00686 for other claims of
`
`the ‘779 Patent.
`
`The below-listed claims of the ‘142 Patent are presently the subject of a
`
`substantially identical petition for inter partes review styled Intel Corporation v.
`
`Zond, Inc., which was filed May 16, 2014 and assigned Case No. IPR2014-00765.
`
`Petitioner will seek joinder with that inter partes review under 35 U.S.C. § 315(c),
`
`37 C.F.R. §§ 42.22 and 42.122(b).
`
`1 The Petitioner is a co-defendant with Fujitsu in this lawsuit.
`
`- 1 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`
`C.
`
`Counsel
`
`Lead Counsel: David M. O’Dell (Registration No. 42,044)
`
`Backup Counsel: David L. McCombs (Registration No. 32,271)
`
`Backup Counsel: Richard C. Kim (Registration No. 40,046)
`
`D.
`
`Service Information
`
`E-mail:
`
`David.odell.ipr@haynesboone.com
`
`david.mccombs.ipr@haynesboone.com
`
`rckim@duanemorris.com
`
`Post and hand delivery: David M. O’Dell
`Haynes and Boone, LLP
`2323 Victory Ave., Suite 700
`Dallas, Texas 75219
`
`Telephone: 972-739-8635
`
`Fax: 214-200-0853
`
`Counsel agrees to service by email.
`
`II.
`
`CERTIFICATION OF GROUNDS FOR STANDING
`
`Petitioner certifies pursuant to Rule 42.104(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)(1) and 42.104(b)(1)-(2), Petitioner challenges
`
`claims 30-40 of the ‘779 Patent.
`
`- 2 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`Prior Art Patents and Printed Publications
`
`A.
`
`The following references, and others listed in the Table of Exhibits, are
`
`pertinent to the grounds of unpatentability explained below, and are each prior art
`
`under 102(b):
`
`1.
`
`D.V. Mozgrin, et al., High-Current Low-Pressure Quasi-Stationary Discharge
`
`in a Magnetic Field: Experimental Research, Plasma Physics Reports, Vol. 21, No.
`
`5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1203)).
`
`2.
`
`A. A. Kudryavtsev, et al., Ionization relaxation in a plasma produced by a
`
`pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), January 1983
`
`(“Kudryavtsev” (Ex. 1204)).
`
`3.
`
`4.
`
`5.
`
`7.
`
`8.
`
`U.S. Patent No. 3,761,836 (“Pinsley” (Ex. 1205)).
`
`U.S. Patent No. 3,514,714 (“Angelbeck” (Ex. 1206)).
`
`U.S. Patent No. 5,753,886 (“Iwamura” (Ex. 1207)).
`
`PCT Pat. Pub. No. WO 83/01349 (“Wells” (Ex. 1214)).
`
`European Pat. Pub. No. EP 0 242 028 (“Lovelock” (Ex. 1215)).
`
`B.
`
`Grounds for Challenge
`
`Petitioner requests cancellation of claims 30-40 of the ‘779 Patent
`
`(“challenged claims”) as unpatentable under 35 U.S.C. § 103. This Petition,
`
`supported by the declaration of Dr. Uwe Kortshagen (“Kortshagen Decl.” (Ex.
`
`- 3 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`1202)) 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. See 35 U.S.C. § 314(a).
`
`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`
`A.
`
`Plasma
`
`A plasma is a collection of ions, free electrons, and neutral atoms (including
`
`various excited states). 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. ¶ 22 (Ex. 1202). 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. Id. at (Ex. 1202).
`
`Plasmas had been used in research and industrial applications for decades
`
`before the ‘779 Patent was filed. For example, sputtering is an industrial process
`
`that uses plasmas to deposit a thin film of a target material onto a surface called a
`
`substrate (e.g., silicon wafer during a semiconductor manufacturing operation). Ions
`
`2 Dr. Kortshagen has been retained by TSMC. The declaration at Ex. 1202 is a
`
`copy of Dr. Kortshagen’s declaration filed in IPR2014-00497, discussed above.
`
`- 4 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`in the plasma strike a target surface causing ejection of a small amount of target
`
`material. The ejected target material then forms a film on the substrate. Id. at ¶ 23
`
`(Ex. 1202).
`
`B.
`
`Ions, excited atoms, and metastable atoms
`
`Atoms have equal numbers of protons and electrons. Each electron has an
`
`associated energy state. If all of an atom’s electrons are at their lowest possible
`
`energy state, the atom is said to be in the “ground state.” Id. at ¶ 24 (Ex. 1202).
`
`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.”
`
`Id. at ¶ 25 (Ex. 1202). A metastable atom is a type of excited atom that is relatively
`
`long-lived, because it cannot transition into the ground state through dipole
`
`radiation, i.e., through the emission of electromagnetic radiation. Id. (Ex. 1202).
`
`See also ‘779 Patent at 7:22-25 (“The term ‘metastable atoms’ is defined herein to
`
`mean excited atoms having energy levels from which dipole radiation is
`
`theoretically forbidden. Metastable atoms have relatively long lifetimes compared
`
`with other excited atoms.”) (Ex. 1201). “All noble gases have metastable states.”
`
`‘779 Patent at 7:37 (Ex. 1201). When generating excited atoms, multiple levels of
`
`excited states are formed. Of these, some of the lowest states are metastable, and
`
`would typically be more common than the higher states. Dr. Kortshagen provides
`
`- 5 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`additional support with reference to Ex. 1211 and Ex. 1212. Kortshagen Decl. ¶ 26
`
`(Ex. 1202).
`
`Excited and metastable atoms are electrically neutral – they have equal
`
`numbers of electrons and protons. A collision with a low energy free electron (e-)
`
`can convert a ground state atom to an excited or metastable atom. Id. at ¶ 27 (Ex.
`
`1202). For example, the ‘779 Patent uses the following equation to describe
`
`production of an excited argon atom, Ar*, from a ground state argon atom, Ar. See
`
`‘779 Patent at 8:7 (Ex. 1201).
`
`Ar + e- Ar* + e-
`
`An ion is an atom that has become disassociated from one or more of its
`
`electrons. A collision between a free, high energy electron and a ground state,
`
`excited, or metastable atom can create an ion. For example, the ‘779 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 ‘779 Patent at 3:40 and 8:9 (Ex.
`
`1201).
`
`Ar + e- Ar+ + 2e-
`
`Ar* + e- Ar+ + 2e-
`
`The production of excited atoms, metastable atoms, and ions was well
`
`understood long before the ‘779 Patent was filed. Kortshagen Decl. ¶¶ 28-29 (Ex.
`
`1202).
`
`- 6 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`
`V.
`
`OVERVIEW OF THE ‘779 PATENT
`
`A.
`
`Summary of Alleged Invention of the ‘779 Patent
`
`The ‘779 Patent relates to generating a plasma using a multi-step ionization
`
`process with an excited/metastable atom/molecule source that generates excited
`
`atoms, or metastable atoms, or molecules, and then provides the excited/metastable
`
`atoms or molecules to a plasma chamber where the plasma is formed, thereby
`
`generating a plasma with a “multi-step ionization” process. Id. at Decl. ¶ 30 (Ex.
`
`1202). For convenience, this section will just use the term “excited atom source.”
`
`In any event, there appears to be no substantial difference between excited and
`
`metastable sources. Id. (Ex. 1202). The ‘779 Patent does not indicate any particular
`
`difference in the operation of an excited atom source when it is a metastable atom
`
`source. Id. (Ex. 1202). The specification repeatedly refers to “an excited atom
`
`source such as a metastable atom source,” see, e.g., ‘779 Patent at 2:13-14, 17-18,
`
`22-24 (Ex. 1201), and says that “[i]n some embodiments, the metastable atom
`
`source 204 generates some excited atoms that are in excited states other than a
`
`metastable state.” Id. at 5:63-65 (Ex. 1201).
`
`Admitted prior art FIG. 1 of the ‘779 Patent shows a plasma chamber
`
`consisting of a magnetron sputtering system, without an excited atom source.
`
`Kortshagen Decl. ¶ 31 (Ex. 1202). It generates plasma through a process that the
`
`patent refers to as a direct ionization process. ‘779 Patent at 3:36-47 (“The
`
`- 7 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`
`ionization process in known plasma sputtering
`
`apparatus is generally referred to as direct
`
`ionization…. The collision between the neutral
`
`argon atom and the ionizing electron results in an
`
`argon ion (Ar+) and two electrons.”) (Ex. 1201).
`
`As is generally known, this system has an
`
`anode, a cathode assembly 114 for holding a target
`
`material to be sputtered, and a magnet 130 that generates a magnetic field 132
`
`proximate to the target to trap and concentrate electrons. Id. at 2:46-3:18 (Ex. 1201).
`
`See also Kortshagen Decl. ¶ 32 (Ex. 1202).
`
`The alleged invention generally relates to coupling an excited or metastable
`
`atom source to some plasma chamber. ‘779 Patent at 5:27-34 (“The metastable
`
`atom source 204 can be coupled to any type of process chamber, such as the
`
`chamber 104 of FIG. 1. In fact, a plasma generator according to the present
`
`invention can be constructed by coupling a metastable atom source to a
`
`commercially available plasma chamber. Thus, commercially available plasma
`
`generators can be modified to generate a plasma using a multi-step ionization
`
`process according to the present invention.”) (Ex. 1201). See also Kortshagen Decl.
`
`¶ 33 (Ex. 1202).
`
`FIGS. 2 and 3 of the ‘779 Patent show such plasma generators “according to
`
`- 8 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`the present invention” that are coupled with separate metastable atom sources
`
`(annotated in color below). ‘779 Patent at 2:3-11; FIGS. 2 and 3 (Ex. 1201).
`
`Specifically, FIG. 2 shows metastable atom source 204, and FIG. 3 shows
`
`metastable atom source 304 (annotated in color above). Kortshagen Decl. ¶ 35 (Ex.
`
`1202). The metastable atom sources 204 and 304 “generat[e] a volume of
`
`metastable atoms 218 from [a] volume of ground state atoms. See, e.g., ‘779 Patent
`
`at 4:56-58 (Ex. 1201). Metastable atoms 218 are transported from the source where
`
`they are generated to the region between the cathode 114/306 and substrate support
`
`136/352, where plasma 202/302 is formed. Kortshagen Decl. ¶ 35 (Ex. 1202).
`
`Power supply 222 (also annotated in color above) provides power to the
`
`metastable atom source. See, e.g., ‘779 Patent at 4:60-62 (Ex. 1201). Another
`
`(pulsed) power supply 201 (in FIG. 2) or power supply 316 (in FIG. 3) raises the
`
`energy of the metastable atoms to generate a plasma 202. See, e.g., id. at 11:4-14
`
`(“A power supply 316 is electrically coupled to the volume of metastable atoms 218.
`
`- 9 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`The power supply 316 can be any type of power supply, such as a pulsed power
`
`supply, a RF power supply, an AC power supply, or a DC power supply. … The
`
`power supply 316 generates an electric field 322 between the cathode 306 and the
`
`anode 308 that raises the energy of the volume of metastable atoms 218 so that at
`
`least a portion of the volume of metastable atoms 218 are ionized, thereby
`
`generating the plasma 302.”) (Ex. 1201). See also Kortshagen Decl. ¶ 36 (Ex.
`
`1202).
`
`The metastable atom sources shown in FIGS. 2 and 3 can be mounted to the
`
`inside wall of the chamber 230 (FIG. 3), or on the outside wall (FIG. 2). See, e.g.,
`
`‘779 Patent at 4:31-34 and 9:51-62 (Ex. 1201). See also Kortshagen Decl. ¶ 37 (Ex.
`
`1202).
`
`Consistent with the claim language, FIGS. 2 and 3, and the specification, the
`
`“excited atom source” and “metastable atom source” generate the excited atoms in a
`
`source that is distinct from, and coupled to, the components that later raise the
`
`energy of the excited or metastable atoms to generate a plasma with “multi-step
`
`ionization,” a term the ‘779 Patent defines as “an ionization process whereby ions
`
`are ionized in at least two distinct steps.”3 ‘779 Patent at 6:60-63 (Ex. 1201).
`
`B.
`
`Prosecution History
`
`The first substantive office action for the application that led to the ‘779
`
`3 All bold/italics emphasis is added.
`
`- 10 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`Patent rejected all independent claims as being anticipated based on prior art that
`
`showed a first chamber for generating excited/metastable atoms, and a second
`
`chamber for increasing the energy of the excited atoms, and for generating a plasma
`
`using multi-step ionization. See 02/11/04 Office Action at 2-3 (Ex. 1208).
`
`The applicant did not dispute the rejection, but amended the independent
`
`claims at issue here to require that the distinct source further includes “generating a
`
`magnetic field proximate to a volume of ground state atoms [molecules] to
`
`substantially trap electrons proximate to the ground state atoms [molecules].” See
`
`05/06/04 Resp. at 2, 4, 6, 8 and 10 (Ex. 1209). The claims were then allowed.
`
`Notwithstanding this difference in specifying the use of a magnetic field, the
`
`‘779 Patent does not indicate that an excited atom source with a magnetic field has
`
`any special significance over other ways for generating excited/metastable atoms or
`
`molecules. The specification indicates that there were many ways to generate
`
`excited atoms, and shows multiple embodiments – e.g., FIGS. 4, 5, 8, 9, and 11—
`
`without magnets, although some have coils that could create magnetic fields. The
`
`“magnet” of the source chamber recited in the claims refers particularly to the
`
`embodiments of FIGS. 6, 7 and10, and specifically to magnets 504a, 504b, 506a and
`
`506b for generating magnetic fields 508a and 508b in FIG. 6; magnets 566a-d and
`
`570a-d in FIG. 7; and magnets 712 and 714 in FIG. 10. ‘779 Patent at FIGS. 6 and
`
`7; 14:46-15:45; 16:12-20 (Ex. 1201).
`
`- 11 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`European Counterpart. The applicants had also identified these magnets,
`
`located in the excited atom source of FIG. 6, as the claimed magnets in counterpart
`
`claims in Europe, and for generating magnetic fields 508. The claim read in part:
`
`characterised in that the excited atom source (204) comprises a
`magnet (504, 506) that is arranged to generate a magnetic field (508)
`that traps electrons proximate to the ground state atoms.
`
`24 July 2007 Response in EP 1614136 (Ex. 1210)
`
`However, as explained in detail below, and contrary to the Examiner’s
`
`reasons for allowance, the prior art addressed herein teaches using magnets and a
`
`magnetic field in this manner, along with the other limitations of the challenged
`
`claims. Kortshagen Decl. ¶ 43 (Ex. 1202).
`
`C.
`
`Claims 30 and 40
`
`Claims 30 and 40 are method claims relating to “multi-step ionization,” a term
`
`the ‘779 Patent defines as “an ionization process whereby ions are ionized in at least
`
`two distinct steps.” ‘779 Patent at 6:60-63 (Ex. 1201). The distinct steps are
`
`provided by using a metastable atom (or molecule) source to generate a plasma with
`
`an enhanced level of excited atoms (or molecules), provide them into a plasma
`
`chamber, and then add further energy to create a second high density plasma from
`
`the first initial plasma. Kortshagen Decl. ¶ 44 (Ex. 1202).
`
`It is generally known that any plasma of the types described in the ‘779 patent
`
`will have a combination of ground state atoms, various excited (neutral) states
`
`- 12 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`including metastable states, ions, and electrons. Id. at ¶ 45 (Ex. 1202). However,
`
`the ‘779 patent describes ways to generate distinct volumes of metastable atoms
`
`using magnetic fields, electron ion absorbers, and other means to inhibit ions and
`
`electrons from flowing with a plasma, and thereby causing a distinct volume of
`
`metastable atoms or molecules to pass to the chamber. See, e.g., Figures 6, 8, 9, 10,
`
`11, and 12A-12C (Ex. 1201).
`
`Figures 2 and 6 show examples where the excited atom source generates a
`
`plasma, blocks out at least some of the ions and electrons, and provides the excited
`
`atoms or molecules to the chamber.
`
`The ‘779 Patent notes that if ground state atoms are introduced between the
`
`anode and cathode of the plasma chamber and energized, those ground state atoms
`
`will be ionized through direct ionization, and not multi-step ionization as claimed in
`
`claims 30 and 40:
`
`Ground state atoms 326 from the feed gas source 328 are injected in the
`region 324 between the anode 308 and the cathode 306. The metastable
`atoms 218 interact with the ground state atoms 326 in the region 324
`
`- 13 -
`
`
`
`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`between the anode 308 and the cathode 306. The power supply 316
`then generates the electric field 322 across the mixture of metastable
`atoms 218 and ground state atoms 326. The electric field 322 raises the
`energy of the metastable atoms 218 and ground state atoms 326 so that
`at least a portion of the metastable atoms 218 and the ground state
`atoms 326 are ionized, thereby generating the plasma 302 with a
`combination of a direct ionization process and a multi-step ionization
`process. In other embodiments, the feed gas source 328 contains a
`molecular gas.”
`‘779 Patent at 12:52-65 (Ex. 1201).
`
`Accordingly, the magnetic field that is generated is one that is used to hold the
`
`electrons in the metastable atom source to implement the first step of the multi-step
`
`ionization. The volume of metastable atoms or molecules referred to in the claims
`
`refers to generating an enhanced volume compared to what would be created in any
`
`plasma, with many of the ions and electrons filtered out. The plasma chamber can
`
`then be used (along with a different magnetic field shown in prior art Figure 1 at
`
`132, or Figure 3 at 346 (Ex. 1201) for raising the energy of the metastable atoms or
`
`molecules for the multi-step ionization. Kortshagen Decl. ¶ 48 (Ex. 1202).
`
`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 ‘779 Patent. Id. at ¶ 49 (Ex. 1202).
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`B.
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`Overview of Mozgrin
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`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`Fig. 7 of Mozgrin, copied below, shows the current-voltage characteristic
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`(“CVC”) of a plasma discharge generated by Mozgrin. As shown, Mozgrin divides
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`this CVC into four distinct regions.
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`Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2 (“Part
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`1 in the voltage oscillogram represents the voltage of the stationary discharge (pre-
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`ionization stage).”4) (Ex. 1203). Kortshagen
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`Decl. ¶ 51 (Ex. 1202).
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`Mozgrin calls region 2 “high current
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`magnetron discharge.” Mozgrin at 409, left
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`col, ¶ 4 (“The implementation of the high-
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`current magnetron discharge (regime 2)…”) (Ex. 1203). Kortshagen Decl. ¶ 52
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`(Ex. 1202). Application of a high voltage to the pre-ionized plasma causes the
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`transition from region 1 to 2. Id. Mozgrin teaches that region 2 is useful for
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`sputtering. Mozgrin at 403, right col, ¶ 4 (“Regime 2 was characterized by an
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`intense cathode sputtering…”) (Ex. 1203).
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`Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at 409, left
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`col, ¶ 5, (“The high-current diffuse discharge (regime 3)…”) (Ex. 1203).
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`Increasing the current applied to the “high-current magnetron discharge” (region 2)
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`causes the plasma to transition to region 3. Kortshagen Decl. ¶ 53 (Ex. 1202).
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`4 All bold/italic emphases are added.
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`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`Mozgrin also teaches that region 3 is useful for etching, i.e., removing material from
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`a surface. Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge (regime
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`3) is useful … Hence, it can enhance the efficiency of ionic etching…”) (Ex. 1203).
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`See also Kortshagen Decl. ¶ 53 (Ex. 1202).
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`Mozgrin calls region 4 “arc discharge.” Mozgrin at 402, right col, ¶ 3 (“…part
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`4 corresponds to the high-current low-voltage arc discharge…”) (Ex. 1203).
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`Further increasing the applied current causes the plasma to transition from region 3
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`to the “arc discharge” region 4. Kortshagen Decl. ¶ 54 (Ex. 1202).
`
`C.
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`Overview of Kudryavtsev
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`Kudryavtsev is a technical paper that studies the ionization of a plasma with
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`voltage pulses. See, e.g., Kudryavtsev at 30, left col. ¶ 1 (Ex. 1204). In particular,
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`Kudryavtsev describes how ionization of a plasma can occur via different processes.
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`The first process is direct ionization, in which ground state atoms are converted
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`directly to ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1204). The second
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`process is multi-step ionization, which Kudryavtsev calls stepwise ionization. See,
`
`e.g., Id. (Ex. 1204). Kudryavtsev notes that under certain conditions multi-step
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`ionization can be the dominant ionization process. See, e.g., Id. (Ex. 1204).
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`Mozgrin took into account the teachings of Kudryavtsev when designing his
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`experiments. Mozgrin at 401, ¶ spanning left and right cols. (“Designing the unit,
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`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`we took into account the dependences which had been obtained in
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`[Kudryavtsev]…”) (Ex. 1203). Kortshagen Decl. ¶ 55 (Ex. 1202).
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`D.
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`Overview of Iwamura
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`Iwamura discloses “a plasma treatment apparatus for treating a surface of an
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`object… .” Iwamura at 2:51-52 (Ex. 1207). “A first plasma generation unit for
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`preactivating the gas to generate a plasma is positioned upstream along the flow path
`
`of the gas in the gas supply; and a second plasma generation unit for activating the
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`gas to generate a plasma downstream along the flow path of the gas in the gas
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`supply is also provided. Thus, the first plasma generation unit preactivates the gas
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`and the second plasma generation unit activates the gas and forms activated gas
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`species. Then, the activated gas species formed by the second plasma generation
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`unit treat the object to be treated.” Iwamura at 2:56-65. (Ex. 1207); see also
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`Kortshagen Decl. ¶ 56 (Ex. 1202).
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`Iwamura discloses multiple ways for generating excited/metastable atoms,
`
`and discloses the desirability of providing a first excitation step followed by a
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`further energy step, and also claims such a system.
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`Iwamura at 2:1-50, claim 1 (Ex.
`
`1207); see also Kortshagen Decl. ¶ 57 (Ex. 1202).
`
`E.
`
`Overview of Pinsley and Angelbeck
`
`Pinsley discloses a gas laser having a magnetic field that is oriented
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`transversely with respect to the flow of the gases. Pinsley at Abstract (“A flowing
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`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`gas laser having an electric discharge plasma with the electric field oriented
`
`transversely with respect to the flow of gases therethrough is provided with a
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`magnetic field which is oriented transversely with respect to both the flow and the
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`electric field to overcome the forces of flowing gases thereon.”) (Ex. 1205). The
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`transverse magnetic field traps electrons. Pinsley at 2:43-47 (“As is known, the
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`interaction between the current and the magnetic field will result in an upstream
`
`force as indicated by the force vector 32. This force is exerted upon the electrons,
`
`and tends to maintain the electrons in an area between the anode and cathode.”) (Ex.
`
`1205); see also Kortshagen Decl. ¶ 58 (Ex. 1202).
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`Pinsley does not specifically use the words “excited atoms,” but one of
`
`ordinary skill would understand that increasing the energy and using a magnetic
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`field to hold the electrons would generate excited atoms. Id. at ¶ 59 (Ex. 1202) The
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`Angelbeck patent (with a lead inventor who is also a co-inventor on the Pinsley
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`patent), makes clear that gas lasers of the type disclosed by Pinsley generate excited
`
`atoms as part of their operation. Angelbeck at 1:21-25 (“This invention relates to
`
`gas lasers, and particularly to a method and apparatus for increasing and controlling
`
`the light output of a gas laser by applying a transverse magnetic field to the laser.”);
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`2:18-20 (“A high gas pressure P is advantageous, however, for creating a high
`
`density of excited atoms in the laser.”) (Ex. 1203); see also Kortshagen Decl. ¶ 59
`
`(Ex. 1202). Neither Pinsley nor Angelbeck was of record during the prosecution of
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`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`
`the ‘779 Patent.
`
`VII. CLAIM CONSTRUCTION
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`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
`
`definition in the specification is therefore also given a broad interpretation.5 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.
`
`A.
`
`“multi-step ionization”
`
`Each of the independent claims in the ‘779 Patent recite the term “multi-step
`
`ionization.” The ‘779 Patent defines this term “to mean an ionization process
`
`whereby ions are ionized in at least two distinct steps.” ‘779 Patent at 6:60-63 (Ex.
`
`1201). This is consistent with the claim language, FIGS. 2 and 3, and the
`
`specification, which generate the excited atoms in a source that is distinct from, and
`
`coupled to, the components that later raise the energy of the excited or metastable
`
`5 Petitioner adopts the “broadest reasonable construction” standard as required by
`
`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.
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`U.S. Patent 6,805,779 Claims 30-40
`Petition for Inter Partes Review
`atoms to generate a plasma. Thus the proposed construction for “multi-step
`
`ionization” is “an ionization process whereby ions are ionized in at least two distinct
`
`steps.”
`
`VIII. SPECIFIC GROUNDS FOR PETITION
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`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in the
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`Kortshagen Declaration ¶¶ 62-153 (Ex. 1202), demonstrate in detail how the prior
`
`art discloses each and every limitation of claims 30-40 of the ‘779 Patent, and how
`
`those claims are rendered obvious by the prior art.
`
`Ground I: Claims 30-33, 35, 37, and 40 would have been obvious
`A.
`in view of the combination of Mozgrin, Kudryavtsev and Pinsley
`
`1.
`
`Independent claim 30
`
`The preamble: “[a] method for generating a plasma with
`a)
`a multi-step ionization process, the m