`Filed on behalf of: Fujitsu Semiconductor Limited and Fujitsu Semiconductor
`America, Inc.
`David M. O’Dell, Reg. No. 42,044
`David L. McCombs, Reg. No. 32,271
`
`
`
`By:
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`
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
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`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
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`
`
`FUJITSU SEMICONDUCTOR LIMITED AND
`FUJITSU SEMICONDUCTOR AMERICA, INC.
`Petitioner
`
`v.
`
`ZOND, INC.
`Patent Owner
`
`Case IPR___________________
`
`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 6,805,779
`CHALLENGING CLAIMS 16, 28, 41, 42, 45 AND 46
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`I.
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`TABLE OF CONTENTS
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`Mandatory Notices...................................................................................... - 1 -
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`A.
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`B.
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`C.
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`D.
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`Real Party-in-Interest ....................................................................... - 1 -
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`Related Matters ................................................................................. - 1 -
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`Counsel ............................................................................................. - 2 -
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`Service Information ........................................................................... - 2 -
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`II.
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`Certification of Grounds for Standing .......................................................... - 2 -
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`III. Overview of Challenge and Relief Requested .............................................. - 2 -
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`A.
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`B.
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`Prior Art Patents and Printed Publications ......................................... - 3 -
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`Grounds for Challenge ...................................................................... - 3 -
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`IV. Brief Description of Technology .................................................................. - 4 -
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`A.
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`B.
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`Plasma ............................................................................................... - 4 -
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`Ions, excited atoms, and metastable atoms ......................................... - 5 -
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`V.
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`Overview of the ‘779 Patent ........................................................................ - 7 -
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`A.
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`B.
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`Summary of Alleged Invention of the ‘779 Patent ............................. - 7 -
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`Prosecution History ......................................................................... - 10 -
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`VI. Overview of the Primary Prior Art References ........................................... - 12 -
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`A.
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`B.
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`C.
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`D.
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`E.
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`Summary of the Prior Art ................................................................ - 12 -
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`Overview of Mozgrin ...................................................................... - 12 -
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`Overview of Kudryavtsev ................................................................ - 13 -
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`Overview of Iwamura ...................................................................... - 14 -
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`Overview of Pinsley and Angelbeck ................................................ - 15 -
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`VII. Claim Construction .................................................................................... - 16 -
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`A.
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`B.
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`C.
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`“multi-step ionization” (claims 16, 28, 41, 42, 45 and 46) ............... - 17 -
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`“means for generating a magnetic field proximate to a volume of ground
`state atoms to substantially trap electrons proximate to the volume of
`ground state atoms” (claims 41 and 42) .......................................... - 17 -
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`“means for generating a volume of metastable atoms from the volume of
`ground state atoms” (claims 41 and 42) ........................................... - 18 -
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`D.
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`E.
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`“means for raising an energy of the metastable atoms so that at least a
`portion of the volume of metastable atoms is ionized” (claims 41 and 42)- 18 -
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`“means for trapping electrons and ions in the volume of metastable
`atoms” (claim 42) ............................................................................ - 19 -
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`VIII. Specific Grounds for Petition ..................................................................... - 19 -
`
`A.
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`B.
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`Ground I: Claim 41 would have been obvious in view of Mozgrin,
`Kudryavtsev, and Pinsley ................................................................ - 19 -
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`1.
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`Independent claim 41 ............................................................ - 20 -
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`Ground II: Claims 16, 28, 42, 45 and 46 would have been obvious in
`view of Mozgrin, Kudryavtsev, Pinsley and Iwamura ..................... - 32 -
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`1.
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`2.
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`3.
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`4.
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`5.
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`Dependent claim 42 .............................................................. - 32 -
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`Independent claims 1 and 45 ................................................. - 34 -
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`Independent claim 18 ............................................................ - 39 -
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`Dependent claims 16 and 28 ................................................. - 40 -
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`Independent claim 46 ............................................................ - 41 -
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`C.
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`Ground III: Claims 16, 28, 41, 42, and 45 would have been obvious
`over Iwamura and Angelbeck .......................................................... - 42 -
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`1.
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`2.
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`3.
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`4.
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`Independent claim 41 ............................................................ - 42 -
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`Independent claims 1 and 45 ................................................. - 53 -
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`Independent claim 18 ............................................................ - 57 -
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`Dependent claims 16, 28 and 42 ............................................ - 58 -
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`D.
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`Ground IV: Claims 46 is anticipated by Iwamura ........................... - 59 -
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`1.
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`Independent claim 46 ............................................................ - 59 -
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`IX. Conclusion ................................................................................................. - 60 -
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`FEDERAL STATUTES
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`TABLE OF AUTHORITIES
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`Page(s)
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`35 U.S.C. § 312 ......................................................................................... Cover Page
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`REGULATIONS
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`37 C.F.R. § 42.22 ....................................................................................................... 2
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`37 C.F.R. § 42.100 ................................................................................................... 16
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`37 C.F.R. § 42.104 .......................................................................... Cover Page, 2, 19
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`CASE LAW
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`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007) ............ 16
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`iii
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
`
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`I. MANDATORY NOTICES
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`A. Real Party-in-Interest
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`Fujitsu Semiconductor Limited and Fujitsu Semiconductor America, Inc. are
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`the real parties-in-interest (“Petitioner”).
`
`B. Related Matters
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`Zond has asserted U.S. Patent No. 6,805,779 (“‘779 Patent”) (Ex. 1301) against
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`numerous parties in the District of Massachusetts, 1:13-cv-11570-RGS (Zond v.
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`Intel); 1:13-cv-11577-DPW (Zond v. AMD, Inc., et al); 1:13-cv-11581-DJC (Zond v.
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`Toshiba Am. Elec. Comp. Inc.); 1:13-cv-11591-RGS (Zond v. SK Hynix, Inc.); 1:13-
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`cv-11625-NMG (Zond v. Renesas Elec. Corp.) ; 1:13-cv-11634-WGY (Zond v.
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`Fujitsu, et al.); and 1:13-cv-11567-DJC (Zond v. Gillette, Co.). Petitioner has filed
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`Petition Nos. IPR2014-00598, IPR2014-00686, and IPR2014-00765 for other claims
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`of the 779 Patent; and is also filing additional Petitions for Inter Partes review in this
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`and several patents with the same named inventor as the ‘779 Patent.
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`The below-listed claims of the ‘142 Patent are presently the subject of a
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`substantially identical petition for inter partes review styled Intel Corporation v.
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`Zond, Inc., which was filed May 27, 2014 and assigned Case No. IPR2014-00820.
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`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).
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`C. Counsel
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`Lead Counsel: David M. O’Dell (Registration No. 42,044)
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`
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`Backup Counsel: David L. McCombs (Registration No. 32,271)
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`D.
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`Service Information
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`E-mail:
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`David.odell.ipr@haynesboone.com
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`david.mccombs.ipr@haynesboone.com
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`Post and hand delivery: David M. O’Dell
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`Haynes and Boone, LLP
`2323 Victory Ave., Suite 700
`Dallas, Texas 75219
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`Telephone: 972-739-8635
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`
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`Fax: 214-200-0853
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`Counsel agrees to service by email.
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`II. CERTIFICATION OF GROUNDS FOR STANDING
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`Petitioner certifies pursuant to Rule 42.104(a) that the patent for which review
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`is sought is available for inter partes review and that Petitioner is not barred or
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`estopped from requesting an inter partes review challenging the patent claims on the
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`grounds identified in this Petition.
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`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED
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`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)-(2), Petitioner challenges
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`Claims 16, 28, 41, 42, 45 and 46 of the ‘779 Patent.
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`
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`A.
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`Prior Art Patents and Printed Publications
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`The following references, and others listed in the Table of Exhibits, are
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`pertinent to the grounds of unpatentability explained below, and are each prior art
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`under 102(b): 1
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`1.
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`D.V. Mozgrin, et al, High-Current Low-Pressure Quasi-Stationary
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`Discharge in a Magnetic Field: Experimental Research, Plasma Physics Reports, Vol.
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`21, No. 5, pp. 400-409, 1995 (“Mozgrin” (Ex. 1303)).
`
`2.
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`A. A. Kudryavtsev, et al, Ionization relaxation in a plasma produced by a
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`pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1), January 1983
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`(“Kudryavtsev” (Ex. 1304)).
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`3. U.S. Patent No. 3,761,836 (“Pinsley” (Ex. 1305)).
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`4.
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`5.
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`U.S. Patent No. 3,514,714 (“Angelbeck” (Ex. 1306)).
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`U.S. Patent No. 5,753,886 (“Iwamura” (Ex. 1307)).
`
`Of these, only Mozgrin was of record during prosecution.
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`B. Grounds for Challenge
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`Petitioner requests cancellation of 16, 28, 41, 42, 45 and 46 (hereinafter
`
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`1 The ’779 Patent issued prior to the America Invents Act (the “AIA”).
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`Accordingly, Petitioner has used the pre-AIA statutory framework to refer to the
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`prior art.
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`“challenged claims”) of the ‘779 Patent as unpatentable under 35 U.S.C. §§ 102 and
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`103. 2 This Petition, supported by the declaration of Uwe Kortshagen, Ph.D.
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`(“Kortshagen Decl.” (Ex. 1302)) filed herewith, 3 demonstrates that there is a
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`reasonable likelihood that Petitioner will prevail with respect to at least one
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`challenged claim and that each challenged claim is not patentable. See 35 U.S.C. §
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`314(a).
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`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`
`A.
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`Plasma
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`A plasma is a collection of ions, free electrons, and neutral atoms. Kortshagen
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`Decl. ¶ 22 (Ex. 1302). The negatively charged free electrons and positively charged
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`ions are present in roughly equal numbers such that the plasma as a whole has no
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`overall electrical charge. Id. (Ex. 1302). The “density” of a plasma refers to the
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`2 The terms “challenged claims” as used herein refers to Claims 16, 28, 41, 42, 45
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`and 46 of the ‘779 Patent. Petitioner seeks to invalidate remaining claims of the
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`‘779 Patent in separate petitions. Moreover, independent claims 1 and 18 are
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`addressed herein to demonstrate the invalidity of claims that depend from claims 1
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`and 18. They are addressed in in a separate petition IPR2014-00598.
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`3 Dr. Kortshagen has been retained by Petitioner. The declaration at Ex. 1302 is a
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`copy of Dr. Kortshagen’s declaration filed in IPR2014-00820, discussed above.
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`number of ions or electrons that are present in a unit volume. Id. (Ex. 1302).4
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`Plasmas had been used in research and industrial applications for decades
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`before the ‘779 Patent was filed. Id. at ¶ 23 (Ex. 1302). For example, sputtering is an
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`industrial process that uses plasmas to deposit a thin film of a target material onto a
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`surface called a substrate (e.g., silicon wafer during a semiconductor manufacturing
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`operation). Id. (Ex. 1302). Ions in the plasma strike a target surface causing ejection
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`of a small amount of target material. Id. (Ex. 1302). The ejected target material then
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`forms a film on the substrate. Id. (Ex. 1302).
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`B.
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`Ions, excited atoms, and metastable atoms
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`Atoms have equal numbers of protons and electrons. Id. at ¶ 24 (Ex. 1302).
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`Each electron has an associated energy state. Id. (Ex. 1302). If all of an atom’s
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`electrons are at their lowest possible energy state, the atom is said to be in the “ground
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`state.” Id. (Ex. 1302).
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`On the other hand, if one or more of an atom’s electrons is in a state that is
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`higher than its lowest possible state, then the atom is said to be an “excited atom.” Id.
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`4 The terms “plasma density” and “electron density” are often used interchangeably
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`because the negatively charged free electrons and positively charged ions are
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`present in roughly equal numbers in plasmas that do not contain negatively
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`charged ions or clusters. Kortshagen Decl. ¶ 22, FN1 (Ex. 1302).
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`at ¶ 25 (Ex. 1302). A metastable atom is a type of excited atom that is relatively long-
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`lived, because it cannot transition into the ground state through dipole radiation, i.e.,
`
`through the emission of electromagnetic radiation. Id. (Ex. 1302). See also ‘779
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`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.
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`Metastable atoms have relatively long lifetimes compared with other excited atoms.”)
`
`(Ex. 1301). “All noble gases have metastable states.” Id. at 7:37 (Ex. 1301). When
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`generating excited atoms, multiple levels of excited states are formed. Of these, some
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`of the lowest states are metastable, and would typically be more common than the
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`higher states, where Dr. Kortshagen provides additional support with reference to Ex.
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`1311 and Ex. 1312. Kortshagen Decl. ¶ 25 (Ex. 1302).
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`Excited and metastable atoms are electrically neutral – they have equal
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`numbers of electrons and protons. A collision with a low energy free electron (e-) can
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`convert a ground state atom to an excited or metastable atom. Kortshagen Decl. at ¶
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`26 (Ex. 1302). 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
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`‘779 Patent at 8:7 (Ex. 1301).
`
`Ar + e- Ar* + e-
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`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,
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`excited, or metastable atom can create an ion. Kortshagen Decl. ¶ 27 (Ex. 1302). For
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`example, the ‘779 Patent uses the following equations to describe production of an
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`argon ion, Ar+, from a ground state argon atom, Ar, or an excited argon atom, Ar*.
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`See ‘779 Patent at 3:40 and 8:9 (Ex. 1301).
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`Ar + e- Ar+ + 2e-
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`Ar* + e- Ar+ + 2e-
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`The production of excited atoms, metastable atoms, and ions was well
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`understood long before the ‘779 Patent was filed. Kortshagen Decl. ¶ 28 (Ex. 1302).
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`V. OVERVIEW OF THE ‘779 PATENT
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`A.
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`Summary of Alleged Invention of the ‘779 Patent
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`The ‘779 Patent relates to generating a plasma using a multi-step ionization
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`process with an excited/metastable atom source that generates excited atoms or
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`metastable atoms, and then provides the excited/metastable atoms to a plasma
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`chamber where the plasma is formed, thereby generating a plasma with a “multi-step
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`ionization” process. Kortshagen Decl. ¶ 29 (Ex. 1302). For convenience, this section
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`will just use the term “excited atom source.” The ‘779 Patent does not indicate any
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`particular difference in the operation of an excited atom source when it is a metastable
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`atom source. The specification repeatedly refers to “an excited atom source such as a
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`metastable atom source,” see, e.g., ‘779 Patent at 2:13-14, 17-18, 22-24 (Ex. 1301),
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`and says that “[i]n some embodiments, the metastable atom source 204 generates
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`some excited atoms that are in excited states other than a metastable state.” Id. at 5:63-
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`65 (Ex. 1301)
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`Admitted prior art FIG. 1 of the ‘779 Patent shows a
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`plasma chamber consisting of a magnetron sputtering system,
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`without an excited atom source. Kortshagen Decl. ¶ 30 (Ex.
`
`1302). It generates plasma through a process that the patent
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`refers to as a direct ionization process. ‘779 Patent at 3:36-47
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`(“The ionization process in known plasma sputtering apparatus is generally referred to
`
`as direct ionization…. The collision between the neutral argon atom and the ionizing
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`electron results in an argon ion (Ar+) and two electrons.”) (Ex. 1301).
`
`As is generally known, this system has an anode, a cathode assembly 114 for
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`holding a target material to be sputtered, and a magnet 130 that generates a magnetic
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`field 132 proximate to the target to trap and concentrate electrons. Id. at 2:46-3:18
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`(Ex. 1301). See also Kortshagen Decl. ¶ 31 (Ex. 1302).
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`The alleged invention generally relates to
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`coupling an excited or metastable atom source to some
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`plasma chamber. ‘779 Patent at 5:27-34 (“The
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`metastable atom source 204 can be coupled to any type
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`of process chamber, such as the chamber 104 of FIG. 1. In fact, a plasma generator
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`according to the present invention can be constructed by coupling a metastable atom
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`source to a commercially available plasma chamber. Thus, commercially available
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`plasma generators can be modified to generate a plasma using a multi-step ionization
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`process according to the present invention.”) (Ex. 1301). See also Kortshagen Decl. ¶
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`32 (Ex. 1302).
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`FIGS. 2 and 3 of the ‘779 Patent show such plasma generators “according to
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`the present invention” that are coupled with separate metastable atom sources
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`(annotated in color at right). ‘779 Patent at 2:3-11; FIGS. 2 and 3 (Ex. 1301).
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`Specifically, FIG. 2 shows metastable atom source 204,
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`and FIG. 3 shows metastable atom source 304 (annotated
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`in color below). Kortshagen Decl. ¶ 33 (Ex. 1302).
`
`The metastable atom sources 204 and 304
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`“generate[] a volume of metastable atoms 218 from [a]
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`volume of ground state atoms. See, e.g., ‘779 Patent at 4:56-58 (Ex. 1301).
`
`Metastable atoms 218 are transported from the source where they are generated to the
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`region between the cathode 114/306 and substrate support 136/352, where plasma
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`202/302 is formed. Kortshagen Decl. ¶ 34 (Ex. 1302).
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`Power supply 222 (also annotated in color above) provides power to the
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`metastable atom source. See, e.g., ‘779 Patent at 4:60-62 (Ex. 1301). Another
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`(pulsed) power supply 201 (in FIG. 2) or power supply 316 (in FIG. 3) raises the
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`energy of the metastable atoms to generate a plasma 202. See, e.g., id. at 11:4-14 (“A
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`power supply 316 is electrically coupled to the volume of metastable atoms 218. The
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`power supply 316 can be any type of power supply, such as a pulsed power supply, a
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`RF power supply, an AC power supply, or a DC power supply. … The power supply
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`316 generates an electric field 322 between the cathode 306 and the anode 308 that
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`raises the energy of the volume of metastable atoms 218 so that at least a portion of
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`the volume of metastable atoms 218 are ionized, thereby generating the plasma 302.”)
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`(Ex. 1301). See also Kortshagen Decl. ¶ 35 (Ex. 1302).
`
`The metastable atom sources shown in FIGS. 2 and 3 can be mounted to the
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`inside wall of the chamber 230 (FIG. 3), or on the outside wall (FIG. 2). See, e.g.,
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`‘779 Patent at 4:31-34 and 9:51-62 (Ex. 1301). Kortshagen Decl. ¶ 36 (Ex. 1302).
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`Consistent with the claim language, FIGS. 2 and 3, and the specification, the
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`“excited atom source” and “metastable atom source” generate the excited atoms in a
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`source that is distinct from, and coupled to, the components that later raise the energy
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`of the excited or metastable atoms to generate a plasma with “multi-step ionization,” a
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`term the ‘779 Patent defines as an ionization process whereby ions are ionized in at
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`least two distinct steps.”5 ‘779 Patent at 6:60-63 (Ex. 1301).
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`B.
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`Prosecution History
`
`The first substantive office action for the application that led to the ‘779 Patent
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`rejected all independent claims as being anticipated based on prior art that showed a
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`5 All bold/italics emphasis is added.
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`first chamber for generating excited/metastable atoms, and a second chamber for
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`increasing the energy of the excited atoms, and for generating a plasma using multi-
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`step ionization. See 02/11/04 Office Action at 2-3 (Ex. 1308).
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`The applicant did not dispute the rejection, but amended the independent
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`claims at issue here to require that the distinct source further includes “a magnet that
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`generates a magnetic field for substantially trapping electrons proximate to the ground
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`state atoms.” See 05/06/04 Resp. at 2, 4, 6, 8 and 10 (Ex. 1309). The claims were
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`then allowed.
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`Notwithstanding this difference, the ‘779 Patent does not indicate that an
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`excited atom source with magnets has any special significance over other energy
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`sources for generating excited/metastable. For example, the ‘779 Patent specification
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`indicates that there were approximately twelve (12) different ways to generate excited
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`atoms – see ‘779 Patent at 19:1-10 (Ex. 1301) - and shows multiple embodiments –
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`e.g., FIGS. 4, 5, 8, 9 and 11—without the magnets that were required for the claims to
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`be allowed. The “magnet” of the source chamber recited in the claims refers
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`particularly to the embodiments of FIGS. 6, 7 and 10, and specifically to magnets
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`504a, 504b, 506a and 506b in FIG. 6; magnets 566a-d and 570a-d in FIG. 7; and
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`magnets 712 and 714 in FIG. 10. ‘779 Patent at FIGS. 6 and 7; 14:46-15:4516:12-20
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`(Ex. 1301).
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`European Counterpart. The applicant had also identified these magnets,
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
`
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`located in the separate excited atom source of FIG. 6, as the claimed magnets in
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`counterpart claims in Europe. Those claims read in part “characterised [sic] in that
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`the excited atom source (204) comprises a magnet (504, 506) that is arranged to
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`generate a magnetic field (508) that traps electrons proximate to the ground state
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`atoms.” (24 July 2007 Response in EP 1614136) (Ex. 1310).
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`However, as explained in detail below, and contrary to the Examiner’s reasons
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`for allowance, the prior art addressed in this Petition teaches using magnets in this
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`manner, along with the other limitations of the challenged claims. Kortshagen Decl. ¶
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`42 (Ex. 1302).
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`VI. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`
`A.
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`Summary of the Prior Art
`
`As explained in detail below, limitation-by-limitation, there is nothing new or
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`non-obvious in the challenged claims of the ‘779 Patent. Id. at ¶ 43 (Ex. 1302).
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`B. Overview of Mozgrin
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`Fig. 7 of Mozgrin, copied below, shows the
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`current-voltage characteristic (“CVC”) of a plasma
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`discharge generated by Mozgrin. As shown, Mozgrin
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`divides this CVC into four distinct regions. Id. at ¶ 44 (Ex. 1302).
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`Mozgrin calls region 1 “pre-ionization.” Mozgrin at 402, right col, ¶ 2 (“Part 1
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`in the voltage oscillogram represents the voltage of the stationary discharge (pre-
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`ionization stage).”) (Ex. 1303). See also Kortshagen Decl. ¶ 45 (Ex. 1302).
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`Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin at 409,
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`left col, ¶ 4 (“The implementation of the high-current magnetron discharge (regime
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`2)…”) (Ex. 1303). See also Kortshagen Decl. ¶ 46 (Ex. 1302). Application of a high
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`voltage to the pre-ionized plasma causes the transition from region 1 to 2. Id. (Ex.
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`1302). Mozgrin teaches that region 2 is useful for sputtering. Mozgrin at 403, right
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`col, ¶ 4 (“Regime 2 was characterized by an intense cathode sputtering…”) (Ex.
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`1303). See also Kortshagen Decl. ¶ 46 (Ex. 1302).
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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. 1303). Increasing
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`the current applied to the “high-current magnetron discharge” (region 2) causes the
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`plasma to transition to region 3. Kortshagen Decl. ¶ 47 (Ex. 1302). Mozgrin also
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`teaches that region 3 is useful for etching, i.e., removing material from a surface.
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`Mozgrin at 409, left col, ¶ 5 (“The high-current diffuse discharge (regime 3) is useful
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`… Hence, it can enhance the efficiency of ionic etching…”) (Ex. 1303). See also
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`Kortshagen Decl. ¶ 47 (Ex. 1302).
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`C. 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. 1304). 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., id. at Fig. 6 caption (Ex. 1304). The second process is
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`multi-step ionization, which Kudryavtsev calls stepwise ionization. See, e.g., id. (Ex.
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`1304). Kudryavtsev notes that under certain conditions multi-step ionization can be
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`the dominant ionization process. See, e.g., id. (Ex. 1304). Mozgrin took into account
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`the teachings of Kudryavtsev when designing his experiments. Mozgrin at 401, ¶
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`spanning left and right cols. (“Designing the unit, we took into account the
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`dependences which had been obtained in [Kudryavtsev]….”) (Ex. 1303). Kortshagen
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`Decl. ¶ 48 (Ex. 1302).
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`D. 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. 1307). “A first plasma generation unit for
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`preactivating the gas to generate a plasma is positioned upstream along the flow path
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`of the gas in the gas supply; and a second plasma generation unit for activating the gas
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`to generate a plasma downstream along the flow path of the gas in the gas supply is
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`also provided. Thus, the first plasma generation unit preactivates the gas and the
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`second plasma generation unit activates the gas and forms activated gas species.
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`Then, the activated gas species formed by the second plasma generation unit treat the
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`object to be treated.” Iwamura at 2:56-65. (Ex. 1307); see also Kortshagen Decl. ¶ 49
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`(Ex. 1302).
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`Iwamura discloses multiple ways for generating excited/metastable atoms, and
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`discloses the desirability of providing a first excitation step followed by a further
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`energy providing step, and also claims such a system. Iwamura at 2:1-50, claim 1
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`(Ex. 1307); see also Kortshagen Decl. ¶ 50 (Ex. 1302).
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`E. Overview of Pinsley and Angelbeck
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`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 gas
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`laser having an electric discharge plasma with the electric field oriented transversely
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`with respect to the flow of gases therethrough is provided with a magnetic field which
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`is oriented transversely with respect to both the flow and the electric field to overcome
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`the forces of flowing gases thereon.”) (Ex. 1305). The transverse magnetic field traps
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`electrons. Pinsley at 2:43-47 (“As is known, the interaction between the current and
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`the magnetic field will result in an upstream force as indicated by the force vector 32.
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`This force is exerted upon the electrons, and tends to maintain the electrons in an area
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`between the anode and cathode.”) (Ex. 1305); see also Kortshagen Decl. ¶ 51 (Ex.
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`1302).
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`Pinsley does not specifically use the words “excited atoms,” but one of
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`ordinary skill would understand that increasing the energy and using a magnetic field
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`to “maintain the electrons in place would allow excited atoms to be generated and
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`pass through. Id. at ¶ 52 (Ex. 1302). The Angelbeck patent (with a lead inventor who
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`is also a co-inventor on the Pinsley patent) makes clear that gas lasers of the type
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`disclosed by Pinsley generate excited atoms as part of their operation. Angelbeck at
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`1:21-25 (“This invention relates to gas lasers, and particularly to a method and
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`apparatus for increasing and controlling the light output of a gas laser by applying a
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`transverse magnetic field to the laser.”); 2:18-20 (“A high gas pressure P is
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`advantageous, however, for creating a high density of excited atoms in the laser.”)
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`(Ex. 1303); see also Kortshagen Decl. ¶ 52 (Ex. 1302).
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`VII. CLAIM CONSTRUCTION
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`A claim in inter partes review is given the “broadest reasonable construction in
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`light of the specification.”6 37 C.F.R. § 42.100(b). Any claim term that lacks a
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`definition in the specification is therefore also given a broad interpretation. In re
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`ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007). The following
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`discussion proposes constructions of and support therefore of those terms. Any claim
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`terms not included in the following discussion are to be given their broadest
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`reasonable interpretation in light of the specification as commonly understood by
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`those of ordinary skill in the art.
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`6 Petitioner adopts the “broadest reasonable construction” standard as required by
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`37 C.F.R. § 42.100(b). Petitioner reserves the right to pursue different
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`constructions in a district court, where a different standard is applicable.
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`U.S. PATENT 6,805,779
`Petition for Inter Partes Review
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`A.
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` “multi-step ionization” (claims 16, 28, 41, 42, 45 and 46)
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`Each of the independent claims in the ‘779 Patent recite the term “multi-step
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`ionization.” The ‘779 Patent defines this term “to mean an ionization process
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`whereby ions are ionized in at least two distinct steps.” ‘779 Patent at 6:60-63 (Ex.
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`1301). This is consistent with the claim language, FIGS. 2 and 3, and the
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`specification, which generate the excited atoms in a source that is distinct from, and
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`coupled to, the components that later raise the energy of the excited or metastable
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`atoms to generate a plasma. Thus, the proposed construction for “multi-step
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`ionization” is “an ionization process whereby ions are ionized in at least two distinct
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`steps.”
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`B.
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`“means for generating a magnetic field proximate to a volume of
`ground state atoms to substantially trap electrons proximate to the
`volume of ground state atoms” (claims 41 and 42)
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`Claim 41 recites “means for generating a magnetic field proximate to a volume
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`of ground state atoms to substantially trap electrons proximate to the volume of
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`ground state atoms.” The claimed function is: “generating a magnetic field in a
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`volume of ground state atoms separate from the plasma chamber to trap electrons.”
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`The ‘779 Patent discloses at least the following corresponding structure for the
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`“means for generating a magnetic field…” limitation of claim 41: magnets (556a-d,
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`570a-d, 712, 714) that generate a magnetic field as described in the text of ‘779 Patent
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`at 16:1-20 and 18:34-41, and as shown in FIGS. 7, 7A and 10. (Ex. 1301)
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`C.
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`“means for generating a volume of metastable atoms from the
`volume of ground state atoms” (claims 41 and 42)
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`Claim 41 recites “means for generating a volume of metastable atoms from the
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`volume of ground state atoms.” The claimed function is: “creating a volume of atoms
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`comprising a majority of metastable atoms .”