throbber
Paper 54
`
`Trials@uspto.gov
`Entered: January 5, 2016
`
`571-272-7822
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`THE GILLETTE COMPANY, ADVANCED MICRO DEVICES, INC.,
`RENESAS ELECTRONICS CORPORATION, RENESAS ELECTRONICS
`AMERICA, INC., GLOBAL FOUNDRIES U.S., INC.,
`GLOBALFOUNDRIES DRESDEN MODULE ONE LLC & CO. KG,
`GLOBALFOUNDRIES DRESDEN MODULE TWO LLC & CO. KG,
`TOSHIBA AMERICA ELECTRONIC COMPONENTS, INC., TOSHIBA
`AMERICA INC., TOSHIBA AMERICA INFORMATION SYSTEMS,
`INC., and TOSHIBA CORPORATION,
`Petitioners,
`
`v.
`
`ZOND, LLC,
`Patent Owner.
`____________
`
`Case IPR2014-008611
`Patent 6,806,652 B1
`____________
`
`
`Before KEVIN F. TURNER, JONI Y. CHANG, SUSAN L. C. MITCHELL,
`and JENNIFER MEYER CHAGNON, Administrative Patent Judges.
`
`MITCHELL, Administrative Patent Judge.
`
`FINAL WRITTEN DECISION
`Inter Partes Review
`35 U.S.C. § 318(a) and 37 C.F.R. § 42.73
`
`
`1 Cases IPR2014-00864, IPR2014-01003, and IPR2014-01066 have been
`joined with the instant inter partes review.
`
`

`
`IPR2014-00861
`Patent 6,806,652 B1
`
`
`I. INTRODUCTION
`
`We have jurisdiction under 35 U.S.C. § 6(c). This Final Written
`Decision is entered pursuant to 35 U.S.C. § 318(a) and 37 C.F.R. § 42.73.
`For the reasons set forth below, we determine that Petitioners have shown,
`by a preponderance of the evidence, that claims 18–34 of U.S. Patent
`No. 6,806,652 B1 (Ex. 1101, “the ’652 patent”) are unpatentable under
`35 U.S.C. § 103(a).
`
`A. Procedural History
`Taiwan Semiconductor Manufacturing Company, Ltd. and TSMC
`
`North America Corp. (collectively, “TSMC”) filed a Petition (Paper 2,
`“Pet.”) seeking inter partes review of claims 18–34 (“the challenged
`claims”) of the ’652 patent. TSMC included a Declaration of Dr. Uwe
`Kortshagen (Ex. 1102) to support its positions. Patent Owner Zond, LLC
`(“Zond”) filed a Preliminary Response (Paper 8, “Prelim. Resp.”). Pursuant
`to 35 U.S.C. § 314(a), on December 11, 2014, we instituted an inter partes
`review of the challenged claims to determine if the claims are unpatentable
`under 35 U.S.C. § 103 as obvious over various combinations of Mozgrin,
`Kudryavtsev, Fahey, Iwamura, and Campbell. Paper 12, 30–31 (“Dec.”).
`
`Subsequent to institution, we granted revised Motions for Joinder filed
`by other Petitioners (collectively, “GlobalFoundries”) listed in the Caption
`above, joining Cases IPR2014-00864, IPR2014-01003, and IPR2014-01066
`with the instant trial (Papers 16 and 17; IPR2014-00864, Paper 17), and also
`granted a Joint Motion to Terminate with respect to TSMC (Paper 31) and a
`second Joint Motion to Terminate with respect to Fujitsu Semiconductor
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`Limited and Fujitsu Semiconductor America, Inc. (Paper 53). Zond filed a
`Patent Owner Response (Paper 33, “PO Resp.”), along with a Declaration of
`Larry D. Hartsough, Ph.D. (Ex. 2002) to support its positions.
`GlobalFoundries filed a Reply (Paper 40, “Reply”) to the Patent Owner
`Response, along with a supplemental Declaration of Dr. Kortshagen
`(Ex. 1119). An oral hearing2 was held on August 13, 2015. A transcript of
`the hearing is included in the record. Paper 50 (“Tr.”).
`
`B. Related Matters
`GlobalFoundries indicates that the ’652 patent was asserted in seven
`
`patent infringement actions in the District of Massachusetts, naming many of
`the Petitioners as defendants. Pet. 1; Paper 5, 1. GlobalFoundries also
`identifies Petitions for inter partes review that are related to this proceeding.
`Pet. 1; Paper 5, 2–3.
`
`C. The ’652 Patent
`
`The ’652 patent notes several problems with known magnetron
`sputtering systems, such as poor target utilization resulting from a relatively
`high concentration of positively charged ions in the region that results in a
`non-uniform plasma. Ex. 1101, 4:23–28. The ’652 patent states that while
`increasing the power applied to the plasma may increase the uniformity and
`density of the plasma, doing so may significantly increase the probability of
`establishing an electrical breakdown condition of arcing. Id. at 4:31–37.
`The invention set forth in the ’652 patent involves a plasma generation
`
`2 The oral arguments for the instant review and IPR2014-01088 and
`IPR2014-01089 were consolidated.
`
`3
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`method that provides independent control of two or more co-existing
`plasmas in a system. Id. at 4:62–64.
`One embodiment of the ’652 patent is shown in Figure 2A set forth
`below.
`
`
`Figure 2A, reproduced above, shows a cross-sectional view of plasma
`generating apparatus 200 with segmented cathode 202. Id. at 5:43–45. Such
`segmented cathode has inner cathode section 202a and outer cathode section
`202b. Id. at 5:45–47. Outer cathode 202b is coupled to first output 204 of
`first power supply 206, which can operate in a constant power mode or a
`constant voltage mode. Id. at 5:56–67. Second output 208 of first power
`supply 206 is coupled to first anode 210 that has insulator 211 to isolate it
`from outer cathode section 202b. Id. at 6:5–7.
`Gap 212 is formed between first anode 210 and outer cathode section
`202b that is sufficient to allow current to flow through region 214 within
`gap 212. Id. at 6:34–38. Gap 212 can be a plasma generator where plasma
`is ignited in gap 212 from feed gas 234, such as argon, fed from gas
`line 230. Id. at 6:59–61, 8:1–3, 10–11. Such an ignition condition and
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`plasma development in the gap can be optimized by crossed electric and
`magnetic fields in gap 212 that trap electrons and ions improving the
`efficiency of the ionization process. Id. at 6:61–67. Gap 212 can be
`configured to generate excited atoms, which can increase the density of
`plasma, from ground state atoms. Id. at 6:44–46. “Since excited atoms
`generally require less energy to ionize than ground state gas atoms, a volume
`of excited atoms can generate higher density plasma than a similar volume
`of ground state feed gas atoms for the same input energy.” Id. at 6:46–50.
`Gap 212 facilitates high input power by having additional feed gas
`supplied to gap 212 that displaces some of the already developing plasma
`and absorbs any excess power applied to the plasma. Id. at 7:1–6. Such
`absorption prevents the plasma from contracting and terminating. Id. at 7:6–
`9. Feed gases 234, 236 are introduced into the chamber from more than one
`feed source, such as feed source 238, 240, through gas lines 230, 232 that
`may include in-line gas valves 242, 244 to control gas flow to the chamber.
`Id. at 8:1–5. Pulsing the feed gas can help generate excited atoms, including
`metastable atoms, by increasing the instantaneous pressure in gap 212, while
`the average pressure in the chamber is unchanged. Id. at 8:23–28.
`Second power supply 222 applies high power pulses between inner
`cathode section 202a and second anode 226 after an appropriate volume of
`initial plasma is present in region 252. Id. at 12:1–5. “The high-power
`pulses create an electric field 254 between the inner cathode section 202b
`and the second anode 226 that strongly-ionizes the initial plasma thereby
`creating a high-density plasma in the region 252.” Id. at 12:5–9. These high
`power pulses from second power supply 222, which add additional power to
`
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`an already strongly-ionized plasma, super-ionizes the high-density plasma in
`region 252. Id. at 11:54–57. The ’652 patent defines “super-ionized” to
`mean that “at least 75% of the neutral atoms in the plasma are converted to
`ions.” Id. at 5:8–10.
`Figure 2B, reproduced below, shows a more detailed cross-sectional
`view of the segmented cathode of Figure 2A.
`
`
`
`Figure 2B shows that electric fields 250, 254, which enhance the
`formation of ions in the plasma, can facilitate a multi-step ionization process
`of feed gases 234, 236, respectively, that substantially increases the rate at
`which the high-density plasma is formed. Id. at 12:50–56.
`Figure 12, set forth below with GlobalFoundries’s annotations, Pet. 8,
`shows another embodiment of the ’652 patent.
`
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`
`Excited atom source 732b generates an initial plasma and excited
`atoms, which include metastable atoms, from ground state atoms from feed
`gas 234. Ex. 1101, 25:35–38. Nozzle chamber 738 traps a large fraction of
`ions and electrons, while excited atoms and ground state atoms flow through
`aperture 737 of skimmer 736. Id. at 27:18–21. The ’652 patent further
`provides:
`After a sufficient volume of excited atoms including
`
`metastable atoms is present proximate to the inner cathode
`section 732a of the cathode assembly 732, the second power
`supply 222 generates an electric field (not shown) proximate to
`the volume of excited atoms between the inner cathode section
`732a and the second anode 706. The electric field
`super-ionizes the initial plasma by raising the energy of the
`initial plasma including the volume of excited atoms which
`causes collisions between neutral atoms, electrons, and excited
`atoms including metastable atoms in the initial plasma. The
`high-density collisions generate the high-density plasma
`proximate to the inner cathode section 732a. The high-density
`plasma includes ions, excited atoms and additional metastable
`atoms. The efficiency of this multi-step ionization process
`increases as the density of excited atoms and metastable atoms
`increases.
`
`Id. at 27:22–37.
`
`D. Illustrative Claim
`Of the challenged claims, claim 18 is the only independent claim.
`Challenged claims 19 through 34 depend, either directly or indirectly, from
`claim 18. Claim 18, reproduced below, is illustrative:
`18. A method of generating a high-density plasma, the method
`comprising:
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`
`a) generating an initial plasma and excited atoms from a volume
`of feed gas;
`b) transporting the initial plasma and excited atoms proximate
`to a cathode assembly; and
`c) super-ionizing the initial plasma proximate to the cathode
`assembly, thereby generating a high-density plasma.
`Ex. 1101, 34:45–53.
`
`E. Prior Art Relied Upon
`GlobalFoundries relies upon the following prior art references:
`Iwamura et al.
`US 5,753,886
`May 19, 1998
`(Ex. 1108)
`
`Campbell et al. US 5,429,070
`July 4, 1995
`(Ex. 1114)
`
`D.V. Mozgrin, et al., High-Current Low-Pressure Quasi-Stationary
`
`Discharge in a Magnetic Field: Experimental Research, 21 PLASMA
`PHYSICS REPORTS 400–409 (1995) (Ex. 1103) (“Mozgrin”).
`
`
`A. A. Kudryavtsev and V. N. Skrebov, Ionization Relaxation in a
`Plasma Produced by a Pulsed Inert-Gas Discharge, 28(1) SOV. PHYS. TECH.
`PHYS. 30–35 (Jan. 1983) (Ex. 1106) (“Kudryavtsev”).
`
`
`
`D. W. Fahey, W. F. Parks, and L. D. Schearer, High Flux Beam
`Source of Thermal Rare-Gas Metastable Atoms, 13 J. PHYS. E: SCI.
`INSTRUM. 381–383 (1980) (Ex. 1105) (“Fahey”).
`
`
`F. Asserted Grounds of Unpatentability
`
`We instituted the instant trial based on the following grounds of
`unpatentability (Dec. 30–31):
`
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`
`Claims
`
`18–30, 33, and 34
`
`31 and 32
`
`18–30
`31 and 32
`33 and 34
`
`
`
`References
`Basis
`§ 103(a) Mozgrin, Kudryavtsev, Fahey, and
`Iwamura
`§ 103(a) Mozgrin, Kudryavtsev, Fahey,
`Campbell, and Iwamura
`§ 103(a) Mozgrin and Iwamura
`§ 103(a) Mozgrin, Iwamura, and Campbell
`§ 103(a) Mozgrin, Iwamura, and Fahey
`
`II. ANALYSIS
`A. Claim Construction
`In an inter partes review, claim terms in an unexpired patent are given
`their broadest reasonable construction in light of the specification of the
`patent in which they appear. 37 C.F.R. § 42.100(b). Claim terms are given
`their ordinary and customary meaning as would be understood by one of
`ordinary skill in the art in the context of the entire disclosure. In re
`Translogic Tech., Inc., 504 F.3d 1249, 1257 (Fed. Cir. 2007). An inventor
`may rebut that presumption by providing a definition of the term in the
`specification with reasonable clarity, deliberateness, and precision. In re
`Paulsen, 30 F.3d 1475, 1480 (Fed. Cir. 1994). In the absence of such a
`definition, limitations are not to be read from the specification into the
`claims. In re Van Geuns, 988 F.2d 1181, 1184 (Fed. Cir. 1993).
`In the instant proceeding, GlobalFoundries proposed a construction of
`the terms “transporting the initial plasma and exited atoms proximate to a
`cathode assembly” and “super-ionizing the initial plasma proximate to the
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`cathode assembly.” Pet. 11–12 (emphasis added). Although Zond offered
`its own construction of these two terms, in addition to a construction of
`“generating an initial plasma and excited ions from a volume of feed gas” in
`its Preliminary Response, Prelim. Resp. 8–12, Zond did not address
`explicitly constructions of these terms in its Patent Owner Response. In its
`Patent Owner Response, however, Zond does apply our initial construction
`of the term “super-ionizing the initial plasma proximate to the cathode
`assembly, thereby generating a high-density plasma.” We address each of
`the claim terms identified above in turn.
`
`1. “generating an initial plasma and excited ions
`from a volume of feed gas”
`All claims at issue require “generating an initial plasma and excited
`ions from a volume of feed gas.” Ex. 1101, 34:45–36:14. As we previously
`stated, Zond does not propose an explicit construction for this claim
`limitation in its Patent Owner Response. In its Preliminary Response,
`however, Zond proposes that this claim limitation should be construed as
`“[g]enerating both an initial plasma and excited atoms from the same
`volume of feed gas, wherein a feed gas is a gas that is a flowing gas.”
`Prelim. Resp. 10. Zond implicitly applies this proposed construction in its
`assertions concerning the teachings of Kudryavtsev in its Patent Owner
`Response.
`Zond asserted in its Preliminary Response that the recitation of a
`“volume of feed gas” requires that both ionization and excitation occur in the
`same volume of feed gas, and that “feed gas” implies a flow of gas. Prelim.
`Resp. 9. In its Patent Owner Response, Zond reiterates this understanding of
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`the meaning of “generating an initial plasma and excited ions from a volume
`of feed gas,” by asserting as follows regarding Kudryavtsev.
`Furthermore, and perhaps most importantly, Kudryavtsev says
`that the “studied effects” are characteristic of a system in which
`a field is applied to a pre-existing weak plasma, i.e. an initial
`plasma has already been created when the electric field is
`applied. In the claims at issue, excited atoms are formed from a
`volume of feed gas at the same time as an initial plasma is
`being formed from the same volume of feed gas. Kudryavtsev
`does not consider this situation. The analysis deals only with
`the reaction of an existing plasma when an electric field is
`suddenly applied.
`
`PO Resp. 20 (citations omitted) (emphasis added); see also PO Resp. 18
`(“Kudryavtsev deals with the reaction of an existing plasma when an
`electric field is suddenly applied, and the formation of ions and excited
`atoms as a result of that pulse.”).
`As we previously stated in our Decision on Institution, see Dec. 9–10,
`the recitation of “feed gas” in method claim 18 does not imply necessarily
`the flow of gas. Certainly, the gas is provided, but claim 18 does not recite
`“feeding a gas,” for example. Construing the claim limitation as Zond
`suggests would be equivalent to adding a method step thereto, thus changing
`the scope of claim 18.
`Also, we previously noted that the Specification of the ’652 patent
`describes the use of in-line gas valves 242, 244 that can control the flow of
`gas to the chamber (Ex. 1101, 8:3–5), and also describes pulsing feed gases
`234, 236 to help generate excited atoms, including metastable atoms, in
`gap 212 (Ex. 1101, 8:3–5, 8:23–25). See Dec. 10. Therefore, we concluded
`
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`that such control of the feed gas supports the notion that “feed gas” does not
`necessitate a “gas that is a flowing gas.” Id.
`We also previously stated that the Specification of the ’652 patent
`further states that feed gases may be introduced from multiple locations into
`the chamber. Id. (citing Ex. 1101, 8:1–3). We also stated that having
`multiple sources for feed gases does not support a construction that “a
`volume of feed gas” requires that the initial plasma and excited ions are
`generated from the same volume of feed gas, assuming that a particular
`volume of feed gas may be identified in such a process. Id. In its Patent
`Owner Response, Zond does not address these issues that we expressed with
`regard to its proposed claim construction. Although we did not explicitly
`construe the claim limitation “generating an initial plasma and excited ions
`from a volume of feed gas,” we discern no reason to modify our conclusions
`that the claim limitation does not imply necessarily the flow of gas, nor does
`it require that the initial plasma and excited ions are generated from the same
`volume of feed gas.
`
`2. “transporting the initial plasma and excited atoms proximate to a
`cathode assembly”
`All claims at issue require “transporting the initial plasma and excited
`
`atoms proximate to a cathode assembly.” Ex. 1101, 34:45–36:14.
`GlobalFoundries asserts that a plain reading of this limitation means
`“moving the initial plasma and excited atoms from where they were
`generated to a location near a cathode assembly.” Pet. 12. GlobalFoundries
`states that the Specification of the ’652 patent supports this construction
`because initial plasma and excited atoms are generated in gap 212 or excited
`
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`atom source 732b and moved to a location near inner cathode 202a or 732a,
`respectively. Id. (citing Ex. 1101, 8:1–28, 108–17; 14:37–43; 17:63–18:9;
`21:63–22:8; 27:15–20; Figs. 2, 3, 5, 6, and 12). Zond had asserted in its
`Preliminary Response that this limitation should be construed to mean
`“transporting the initial plasma and excited atoms to a region that is
`proximate to a cathode assembly.” Prelim. Resp. 10–11.
`
`We observed that no meaningful difference exists between the parties’
`constructions as each party relies on the ordinary and customary meaning of
`the claim terms in this limitation. Dec. 11. We did not find it necessary to
`set forth an explicit construction of this claim feature in our Decision on
`Institution and are not persuaded here that this claim limitation needs an
`express construction.
`
`3. “super-ionizing the initial plasma proximate to the cathode assembly,
`thereby generating a high-density plasma”
`All claims at issue require “super-ionizing the initial plasma
`proximate to the cathode assembly, thereby generating a high-density
`plasma.” Ex. 1101, 34:45–36:14. GlobalFoundries notes that the
`Specification of the ’652 patent explicitly defines “super-ionized” as “at
`least 75% of the neutral atoms in the plasma are converted [to ions].”
`Pet. 12 (citing Ex. 1101, 5:8–10). From this definition, GlobalFoundries
`concludes that the limitation at issue should be construed as “converting at
`least 75% of the neutral atoms in the initial plasma into ions near the
`cathode assembly.” Id. (emphasis added).
`Zond made several arguments in its Preliminary Response that it did
`not reiterate in its Patent Owner Response. Zond asserted in its Preliminary
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`Response that GlobalFoundries’s construction requiring the ionization in the
`initial plasma makes claim 18 indistinguishable from dependent claim 24.
`Prelim. Resp. 11. Zond asserts that this claim limitation should be construed
`to mean “ionizing the plasma that is proximate to the cathode so that at least
`75% of the neutrals in the original feed gas have been converted to ions.”
`Prelim. Resp. 12 (emphasis added).
`We noted in our Decision on Institution that the claim limitation at
`issue requires “super-ionizing the initial plasma,” Ex. 1101, 8:51 (emphasis
`added), which Zond’s proposed construction did not reflect. Dec. 12. We
`also noted that Zond’s construction introduced a term “original feed gas”
`that does not appear to be used or defined in the Specification of the ’652
`patent; therefore, Zond’s construction would introduce an unnecessary
`ambiguity into the claims. We found that GlobalFoundries’s proposed
`construction reflects the explicit definition of “super-ionized” provided in
`the ’652 patent Specification. Therefore, we initially construed the claim
`limitation as “converting at least 75% of the neutral atoms in the initial
`plasma into ions near the cathode assembly.” Dec. 12. Neither party
`challenges our construction, see PO Resp. 27, Reply 9–11, and we discern
`no reason to modify our construction based on the complete record now
`before us. Therefore, we construe “super-ionizing the initial plasma
`proximate to the cathode assembly, thereby generating a high density
`plasma” as “converting at least 75% of the neutral atoms in the initial plasma
`into ions near the cathode assembly.”
`
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`
`B. Principles of Law
`A patent claim is unpatentable under 35 U.S.C. § 103(a) if the
`differences between the claimed subject matter and the prior art are such that
`the subject matter, as a whole, would have been obvious at the time the
`invention was made to a person having ordinary skill in the art to which said
`subject matter pertains. KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 406
`(2007). The question of obviousness is resolved on the basis of underlying
`factual determinations including: (1) the scope and content of the prior art;
`(2) any differences between the claimed subject matter and the prior art;
`(3) the level of ordinary skill in the art; and (4) objective evidence of
`nonobviousness. Graham v. John Deere Co., 383 U.S. 1, 17–18 (1966).
`In that regard, an obviousness analysis “need not seek out precise
`teachings directed to the specific subject matter of the challenged claim, for
`a court can take account of the inferences and creative steps that a person of
`ordinary skill in the art would employ.” KSR, 550 U.S. at 418; see
`Translogic, 504 F.3d at 1259. A prima facie case of obviousness is
`established when the prior art itself would appear to have suggested the
`claimed subject matter to a person of ordinary skill in the art. In re Rinehart,
`531 F.2d 1048, 1051 (CCPA 1976). Notwithstanding that Dr. Hartsough
`provides a definition of “a person of ordinary skill in the art” in the context
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`of the ’652 patent,3 we are mindful that the level of ordinary skill in the art
`also is reflected by the prior art of record. See Okajima v. Bourdeau,
`261 F.3d 1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579
`(Fed. Cir. 1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978).
`We analyze the asserted grounds of unpatentability in accordance with
`the above-stated principles.
`
`C. Obviousness over, in Whole or in Part, the Combination of Mozgrin,
`Kudryavtsev, Fahey, and Iwamura
`GlobalFoundries asserts that claims 18–30, 33, and 34 are
`
`unpatentable under 35 U.S.C. § 103(a) as obvious over the combination of
`Mozgrin, Kudryavtsev, Fahey, and Iwamura, Pet. 20–41, and that claims
`18–30 are unpatentable as obvious over the combination of Mozgrin and
`Iwamura, Pet. 48–59.
`As support, GlobalFoundries provides detailed explanations as to how
`each claim limitation is met by the references and rationales for combining
`the references, as well as an initial declaration and a supplemental
`declaration of Dr. Kortshagen to support GlobalFoundries’s Petition and
`Reply, respectively. Pet. 20–60; Ex. 1102; Reply 16-22; Ex. 1119. Zond
`responds that these combinations do not disclose every claim element.
`PO Resp. 25–36.
`
`
`3 “[A] person of ordinary skill in the art at the time of filing of the ’652
`patent [is] someone who holds at least a bachelor of science degree in
`physics, material science, or electrical/computer engineering with at least
`two years of work experience or equivalent in the field of development of
`plasma-based processing equipment.” Ex. 2002 ¶ 17.
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`
`We have reviewed the entire record before us, including the parties’
`explanations and supporting evidence presented during this trial. We begin
`our discussion with a brief summary of Mozgrin, Kudryavtsev, Fahey, and
`Iwamura.
`
`Mozgrin
`Mozgrin discloses experimental research conducted on high-current,
`low-pressure, quasi-stationary discharge in a magnetic field. Ex. 1103, 400,
`Title. In Mozgrin, pulse or quasi-stationary regimes are discussed in light of
`the need for greater discharge power and plasma density. Id. Mozgrin
`discloses a planar magnetron plasma system having cathode 1, anode 2
`adjacent and parallel to cathode 1, and magnetic system 3, as shown in
`Figure 1(a). Id. at 400–01. Mozgrin also discloses a power supply unit that
`includes a pulsed discharge supply unit and a system for pre-ionization. Id.
`at 401–02, Fig. 2. For pre-ionization, an initial plasma density is generated
`when the square voltage pulse is applied to the gas. Id.
`Figure 3(b) of Mozgrin is reproduced below.
`
`
`Figure 3(b) of Mozgrin illustrates an oscillogram of voltage of the
`quasi-stationary discharge. Id. at 402. In Figure 3(b), Part 1 represents the
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`voltage of the stationary discharge (pre-ionization stage); Part 2 displays the
`square voltage pulse application to the gap (Part 2a), where the plasma
`density grows and reaches its quasi-stationary value (Part 2b); and Part 3
`displays the voltage as the discharge current grows and both the voltage and
`discharge current attain their quasi-stationary value. Id. More specifically,
`the power supply generates a square voltage with rise times of 5–60 µs and
`durations of as much as 1.5 ms. Id. at 401.
`Mozgrin further discloses the current-voltage characteristic of the
`quasi-stationary plasma discharge that has four different stable forms or
`regimes: (1) pre-ionization stage, id. at 401–02; (2) high-current magnetron
`discharge regime, in which the plasma density exceeds 2 x 1013 cm-3,
`appropriate for sputtering, id. at 402–04, 409; (3) high-current diffuse
`discharge regime, in which the plasma density produces large-volume
`uniform dense plasmas η1 ≈ 1.5 x 1015 cm-3, appropriate for etching, id.; and
`(4) arc discharge regime, id. at 402–04. Id. at 402–409, Figs. 3–7.
`
`Kudryavtsev
`Kudryavtsev discloses a multi-step ionization plasma process,
`comprising the steps of exciting the ground state atoms to generate excited
`atoms, and then ionizing the excited atoms. Ex. 1106, Abs., Figs. 1, 6.
`
`18
`
`

`
`IPR2014-00861
`Patent 6,806,652 B1
`
`
`Figure 1 of Kudryavtsev illustrates the atomic energy levels during the
`slow and fast stages of ionization. Figure 1 of Kudryavtsev is reproduced
`below (with annotations added by GlobalFoundries, Pet. 17).
`
`
`
`As shown in Figure 1 of Kudryavtsev, ionization occurs with a “slow
`stage” (Fig. 1a) followed by a “fast stage” (Fig. 1b). During the initial slow
`stage, direct ionization provides a significant contribution to the generation
`of plasma ions (arrow Γ1e showing ionization (top line labeled “e”) from the
`ground state (bottom line labeled “1”)). Dr. Kortshagen explains that
`Kudryavtsev shows the rapid increase in ionization once multi-step
`ionization becomes the dominant process. Ex. 1102 ¶ 56; Pet. 18–19.
`Indeed, Kudryavtsev discloses:
`For nearly stationary n2 [excited atom density] values . . . there
`is an explosive increase in ne [plasma density]. The subsequent
`increase in ne then reaches its maximum value, equal to the rate
`of excitation . . . which is several orders of magnitude greater
`than the ionization rate during the initial stage.
`
`
`19
`
`

`
`IPR2014-00861
`Patent 6,806,652 B1
`
`Ex. 1106, 31, right col., ¶ 6 (emphasis added). Kudryavtsev also recognizes
`that “in a pulsed inert-gas discharge plasma at moderate pressures . . . [i]t is
`shown that the electron density increases explosively in time due to
`accumulation of atoms in the lowest excited states.” Id. at 30, Abs., Fig. 6.
`
`Fahey
`
`Fahey discloses a high-flux beam source that produces a beam of
`helium, neon, and argon metastable atoms. Ex. 1105, Abs. Figure 1,
`reproduced below, shows a beam source schematic showing Pyrex tube (A),
`boron nitride nozzle (B), skimmer (C), and needle or needle array (D). Id.
`at 381, right col.
`
`
`Figure 1 above shows a source that produces a low-voltage discharge
`
`between sharp needle D, which is a cathode maintained at a negative
`potential, and cone-shaped skimmer electrode C, which is kept at ground
`potential. Id. at 381, right col., ¶ 4; 382, left col., ¶ 2. Skimmer piece C is
`attached with an aluminum gasket to a vacuum wall to allow differential
`pumping of the source. Id. at 382, left col., ¶ 1. For all diagnostic
`measurements, a set of parallel sweep plates, maintained at an adequate
`
`20
`
`

`
`IPR2014-00861
`Patent 6,806,652 B1
`
`voltage, is mounted after the skimmer to keep the beam free of charged
`species. Id. at 382, left col., ¶ 5. The source can provide very stable thermal
`energy beams of helium, neon, and argon metastable atoms. Id. at 381, right
`col., ¶ 3.
`
`Iwamura
`
`Iwamura discloses a plasma treatment apparatus for generating a
`stable plasma with a multi-step ionization process, to treat a semiconductor
`wafer. Ex. 1108, Abs., 6:67–7:8. Figure 1 of Iwamura, reproduced below
`(with our annotations added), illustrates a plasma treatment apparatus.
`
`Pre-excitation unit
`
`First plasma generation unit
`
`Second plasma generation unit
`
`
`As shown in Figure 1 of Iwamura, plasma chamber 10 is coupled to
`the gas supply pipe (shown as items 20a and 20b). Gas supply 20 supplies a
`gas capable of plasma discharge (e.g., helium or argon, a noble gas) through
`a pre-excitation unit that includes ultraviolet lamp 24, and a first plasma
`generation unit that includes electrodes 26. Id. at 6:67–7:17, 49. Ultraviolet
`lamp 24 causes photoionization, raising the excitation level of the gas and
`21
`
`

`
`IPR2014-00861
`Patent 6,806,652 B1
`
`generating excited and metastable atoms from ground state atoms. Id. at
`7:55–60. Thereafter, a plasma is generated from the gas in plasma region A,
`between electrodes 26 (the first plasma generation unit), and a plasma also is
`generated in plasma region B, between electrodes 30 (the second plasma
`generation unit). Id. at 7:61–65, 8:4–9, 8:32–46. According to Iwamura,
`because the excitation level of the gas is raised first, a stable plasma can be
`generated inside the plasma chamber. Id. at 8:32–37. Consequently, the
`uniformity of the plasma density, as well as the yield of the treatment of the
`semiconductor wafer, can be improved. Id. at 8:41–46.
`
`“Generating an Initial Plasma and Excited Atoms
`from a Volume of Feed Gas”
`
`Zond notes deficiencies in the references for what each teaches alone
`
`(see PO Resp. 13–25), and argues that the combination does not teach or
`suggest “generating an initial plasma and excited atoms from a feed gas,”
`see PO Resp. 22–23 (regarding Fahey), 20 (regarding Kudryavtsev).
`References must be read, however, not in isolation, but for what each fairly
`teaches in combination with the prior art as a whole. In re Merck & Co.,
`800 F.2d 1091, 1097 (Fed. Cir. 1986). Zond does not address what the
`combination of references asserted by GlobalFoundries teaches, but only
`addresses the references individually.
`
`GlobalFoundries asserts that both Fahey and Iwamura teach
`“generating an initial plasma and excited atoms from a volume of feed gas.”
`See Pet. 21–23, 48–50. GlobalFoundries asserts the following concerning
`Fahey.
`
`22
`
`

`
`IPR2014-00861
`Patent 6,806,652 B1
`
`
`While many of the charged species are skimmed by Fahey’s
`skimmer, some of the charged species will pass through the
`skimmer, as is said to occur in the ’652 Patent. See, e.g., ’652
`Patent at 27:18–21 (“a large fraction of the ions and electrons
`are trapped in the nozzle chamber 738 while the excited atoms
`an

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