`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`________________
`
`GLOBALFOUNDRIES U.S., INC., GLOBALFOUNDRIES DRESDEN
`MODULE ONE LLC & CO. KG, GLOBALFOUNDRIES DRESDEN
`MODULE TWO LLC & CO. KG, and
`THE GILLETTE COMPANY,
`Petitioners,
`
`v.
`
`ZOND, LLC,
`Patent Owner
`________________
`
`IPR2014-010761
`Patent 6,085779 B2
`
`________________
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`PETITIONER’S REPLY TO PATENT OWNER’S RESPONSE
`
`Claims 5, 6, 8, 19, 22, 23, and 43
`
`
`
`
`1 Cases IPR2014-00828, IPR2014-00829, IPR2014-00917 and IPR2014-01073
`have been joined with the instant proceeding.
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`Petitioner’s Reply to Patent Owner’s Response
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`TABLE OF CONTENTS
`
`TABLE OF AUTHORITIES ................................................................................... iv
`
`PETITIONER’S EXHIBIT LIST .............................................................................. v
`
`I.
`
`INTRODUCTION ............................................................................................... 1
`
`II. ZOND’S FLAWED INTERPRETATIONS OF THE PRIOR ART FAIL ......... 1
`
`A. Zond’s interpretation of a “plasma” in Iwamura contradicts both
`Iwamura and the ’779 Patent’s teachings ..................................................... 1
`
`B. Zond mischaracterizes the teachings of Pinsley and Angelbeck .................. 4
`
`C. A person of ordinary skill in the art would have combined Iwamura
`with Pinsley and Angelbeck ......................................................................... 9
`
`III. CLAIMS 5, 6, 8, 19, 22, 23, AND 43 ARE UNPATENTABLE OVER
`THE CITED PRIOR ART ....................................................................................... 13
`
`A. Iwamura in view of Pinsley and Angelbeck teaches “an excited atom
`source” recited in claims 1 and 43, and “a metastable atom source”
`recited in claim 18. ..................................................................................... 13
`
`B. Iwamura in view of Pinsley and Angelbeck teaches “a plasma chamber
`that is coupled to the [excited / metastable] atom source” recited in
`claims 1, 18, and 43. ................................................................................... 15
`
`C. Iwamura in view of Pinsley and Angelbeck teaches “an energy source
`that is coupled to the volume of [excited / metastable] atoms … thereby
`generating a plasma with a multi-step ionization process” recited by
`claims 1, 18, and 43. ................................................................................... 17
`
`D. Iwamura teaches “a pressure differential exists between a pressure in
`the excited atom source,” and thus, anticipates claim 43. .......................... 18
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`E. Iwamura in view of Pinsley and Angelbeck teaches “a pressure
`differential exists between a pressure in the [excited / metastable] atom
`source” recited in claims 8 and 23. ............................................................. 19
`
`F. Iwamura in view of Pinsley and Angelbeck teaches “the first and
`second electrode generating a discharge that excites the ground state
`atoms” recited in claims 5 and 19. .............................................................. 20
`
`G. Iwamura in view of Pinsley and Angelbeck teaches “the magnetic field
`that substantially traps electrons proximate to the ground state atoms”
`recited in claims 6 and 22. .......................................................................... 20
`
`IV. CONCLUSION .................................................................................................. 22
`
`Certificate of Service ............................................................................................... 23
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`TABLE OF AUTHORITIES
`
`Cases
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`EWP Corp. v. Reliance Universal, Inc., 755 F.2d 898, 907 (Fed. Cir. 1985) ........... 4
`
`In re Keller, 642 F.2d 413, 426 (C.C.P.A. 1981) .................................................... 21
`
`In re Mouttet, 686 F.3d 1322, 1332 (Fed. Cir. 2012) ................................................ 9
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`PETITIONER’S EXHIBIT LIST
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`
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`April 27, 2015
`
`Exhibit
`1101
`
`Description
`U.S. Patent No. 6,805,779 (“’779 Patent”)
`
`Declaration of Dr. Uwe Kortshagen (“Kortshagen Decl.”)
`
`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”)
`
`A. A. Kudryavtsev and V.N. Skerbov, Ionization relaxation in a plasma
`produced by a pulsed inert-gas discharge, Sov. Phys. Tech. Phys. 28(1),
`pp. 30-35, January 1983 (“Kudryavtsev”)
`
`U.S. Patent No. 3,761,836 (“Pinsley”)
`
`U.S. Patent No. 3,514,714 (“Angelbeck”)
`
`U.S. Patent No. 5,753,886 (“Iwamura”)
`
`File History for U.S. Patent No. 6,805,779, Office Action dated
`February 11, 2004 (“02/11/04 Office Action”)
`
`File History for U.S. Patent No. 6,805,779, Response dated May 6, 2004
`(“05/06/04 Response”)
`
`European Patent Application No. 1614136, Response dated July 24,
`2007 (07/24/07 Response in EP 1614136)
`
`J. Vlček, A collisional-radiative model applicable to argon discharges
`over a wide range of conditions. I: Formulation and basic data, J. Phys.
`D: Appl. Phys. 22 (1989) pp. 623-631, Printed in the UK
`
`J. Vlček, A collisional-radiative model applicable to argon discharges
`over a wide range of conditions. II: Application to low-pressure, hollow-
`cathode arc and low-pressure glow discharges, J. Phys. D: Appl. Phys.
`
`v
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`1102
`
`1103
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`1104
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`1105
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`1106
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`1107
`
`1108
`
`1109
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`1110
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`1111
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`1112
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`22 (1989) pp. 632-643, Printed in the UK
`
`List of Related Litigations
`
`Affidavit of Mr. Rismiller in Support of Motion for Pro Hac Vice
`Admission
`
`Supplemental Declaration of Dr. Uwe Kortshagen (“Supp. Kortshagen
`Decl.”)
`
`R. F. Post, Proc. of Second U.N. Int’l. Conf. on the Peaceful Uses of
`Atomic Energy, Vol. 32 at p. 245 (Geneva, 1958) (“Post”)
`
`Dr. Hartsough Deposition Transcript for U.S. Patent No. 6,805,779
`(“Hartsough Depo.”)
`
`
`1113
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`1114
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`1115
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`1116
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`1117
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`I.
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`INTRODUCTION
`
`In its Decision on Institution (“DI”), the Board recognized that there is a
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`reasonable likelihood that claims 5, 6, 8, 19, 22, 23 and 43 of the ’779 Patent are
`
`unpatentable. DI at p. 30 (Paper No. 11). None of the arguments raised by Zond
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`and Zond’s declarant, Dr. Hartsough, is sufficient to alter the determination of the
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`Board in its DI. Zond’s Patent Owner Response offers flawed interpretations of
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`the prior art and well-understood technical terms (e.g., plasma), and in some cases
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`mischaracterizes Petitioner’s argument, in a vain attempt to distinguish the cited
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`prior art.
`
`The Petition, supported by Dr. Kortshagen’s declaration, clearly
`
`demonstrated why one of ordinary skill in the art would have combined the
`
`teachings of the cited references. In fact, the cross-examination of Dr. Hartsough
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`demonstrates many areas of agreement between Dr. Kortshagen and Dr. Hartsough
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`and contrary to the arguments in Zond’s Patent Owner Response. Petitioner
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`provides a supplemental declaration of Dr. Korthshagen to respond to Zond’s
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`Patent Owner Response and the declaration by Dr. Hartsough.
`
`II. ZOND’S FLAWED INTERPRETATIONS OF THE PRIOR ART FAIL
`A. Zond’s interpretation of a “plasma” in Iwamura contradicts both
`Iwamura and the ’779 Patent’s teachings
`
`The entirety of Zond’s arguments directed to Iwamura are flawed because
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`they are predicated upon an interpretation of the term “plasma” as containing only
`
`ions that is contrary to the understanding of persons of ordinary skill in the art.
`
`Supp. Kortshagen Decl., ¶¶ 20-24 (Ex. 1115). Despite this, Dr. Hartsough, Zond’s
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`declarant, concedes that the plasma generated by Iwamura’s first plasma
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`generation unit, or the combination of the preexcitation unit and the first plasma
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`generation unit, is a plasma that contains excited atoms including metastable
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`atoms, in addition to ions. 2 Hartsough Depo. at 74:2-76:4 (“Q. So a portion of the
`
`
`2 While Dr. Hartsough concedes that the common usage of the term plasma is a
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`collection of ions, electrons, and ground state atoms and excited atoms,
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`(Hartsough Depo., at 42:9-25 (Ex. 1117)), he could not confirm the composition of
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`the gases within Iwamura’s plasma chamber as he admits he is not a plasma
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`physicist. Id. at 78:9-12. Indeed, Dr. Hartsough repeatedly admitted this fact
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`throughout his deposition. See e.g., Id. at 27:11-19, 28:14-18, 42:19-43:3. Instead,
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`Dr. Hartsough relies exclusively on what the documents state. Id. at 41:18-21.
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`Dr. Kortshagen, who is a trained plasma physicist and teaches courses on plasma
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`technology, (Kortshagen Decl., Appendix A) (Ex. 1102), confirms that a plasma is
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`defined as “a collection of ions, free electrons, and neutral atoms (including
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`various excited states)” and that Iwamura’s first plasma generation unit “generates
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`gas species flowing into plasma generation re[gion] A would form a plasma;
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`correct? A. That’s correct. Q. and that plasma contains ions? A. Yes. … A. It
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`would contain other species, yes. … Q. Ground state atoms? A. Yes. Q. Excited
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`atoms? A. Probably. Q. Metastable atoms? A. Quite possibly.”) (emphasis
`
`added) (Ex. 1117).
`
`Consequently, Zond’s arguments that: (1) Iwamura’s first plasma generation
`
`unit “is generating an activated (preactivated) plasma gas, as opposed to an excited
`
`gas (i.e., excited atom source)”; and (2) Iwamura’s plasma chamber “is coupled to
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`a plasma source [and] not coupled to the preexctation unit,” squarely contradicts
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`the teachings of Iwamura, the ’779 Patent, and Zond’s own declarant. See Patent
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`Owner’s Response (“Response”) at pp. 37-38 (Paper No. 25). As such, Iwamura’s
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`first plasma generation unit, or the combination of the preexcitation unit and the
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`plasma generation unit, generates excited and metastable atoms. Supp. Kortshagen
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`Decl., ¶¶ 23-31 (Ex. 1115).
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`
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` plasma comprising a volume of ions, electrons, ground state atoms, excited
`
` a
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`atoms, and metastable atoms, all of which flows into Iwamura’s treatment
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`chamber.” Supp. Kortshagen Decl., ¶¶ 25-33 (Ex. 1115).
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`Zond mischaracterizes the teachings of Pinsley and Angelbeck
`
`B.
`Zond’s arguments that the magnetic field configurations disclosed in Pinsley
`
`and Angelbeck do not “substantially trap” electrons as recited by claims 1 and 18
`
`of the ’779 Patent, upon which claims 5, 6, 8, 19, 22, and 23 depend, run afoul of
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`the Federal Circuit’s teachings that “[a] reference must be considered for
`
`everything it teaches” and “the combined teachings of the prior art as a whole
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`must be considered.” EWP Corp. v. Reliance Universal, Inc., 755 F.2d 898, 907
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`(Fed. Cir. 1985) (emphasis added); Response at pp. 33-38 (Paper No. 25).
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`In its Response, Zond narrowly focuses on a handful of lines from Pinsley
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`and Angelbeck’s disclosures, failing to take into consideration the teachings of
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`Pinsley and Angelbeck as a whole to one of ordinary skill in the art. When
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`properly considered in their entirety, one of ordinary skill in the art would
`
`understand the magnetic field configurations of Pinsley and Angelbeck to
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`“substantially trap” electrons in the same manner as the term is used in the ’779
`
`Patent.3 Supp. Kortshagen Decl., ¶¶ 38-56 (Ex. 1115).
`
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`3 Neither Zond nor Dr. Hartsough has provided a construction of the term
`
`“substantially trap,” as it is used in the ’779 Patent. Moreover, when questioned,
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`Dr. Hartsough could not articulate any objective criteria for determining when a
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`magnetic field configuration would “substantially trap” electrons, only that he will
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`Regarding Pinsley, Zond argues Pinsley’s magnetic field does not
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`“substantially trap” electrons because “[electrons] can easily still easily [sic] flow
`
`to the anode.” Response at p. 35 (Paper No. 25). Zond’s argument is flawed for a
`
`number of reasons. First, as conceded by Dr. Hartsough in the context of the ’779
`
`patent teachings, whether or not the “substantially trap[ped]” electrons flow to the
`
`anode is immaterial to the teachings of the ’779 Patent. Hartsough Depo. at
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`139:20-24 (“Q. So at some point, the electron will flow towards the anode … that’s
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`illustrated by Figure 7A? A. Well, they can flow to the anode. In fact, most of
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`them will”) (emphasis added) (Ex. 1117).
`
`Second, Zond’s argument is based on the incorrect assumption that the force
`
`created by Pinsley’s transverse magnetic field configuration only to be in a
`
`direction opposite that of the gas flow direction. Response at p. 35 (Paper No. 25).
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`As explained in detail by Dr. Kortshagen, one of ordinary skill in the art would
`
`recognize that, as a matter of the natural laws of physics, Pinsley’s magnetic field
`
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`
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`know it when he sees it. Hartsough Depo., at 138:6-15, 150: 2-151:5 (Ex. 1117).
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`However, Dr. Hartsough concedes that a magnetic field configuration with
`
`converging magnetic field lines will “substantially trap” electrons. Id. at 123:4-13.
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`lines are not perfectly straight to generate a force in only one direction, but rather
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`they are non-uniform and converge near the magnets 24 and 26. Supp. Kortshagen
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`Decl., ¶¶ 39-42 (Ex. 1115). The effect of the non-uniform, converging, magnetic
`
`field lines will force electrons into an E x B drift motion normal to the anode-
`
`cathode axis, impeding their flow to the anode. Id. at ¶ 47, FN. 5 (“The E x B drift
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`motion is the dynamic path of an electron when it encounters crossed electric fields
`
`(E) and magnetic fields (B)”).
`
`Pinsley’s non-uniform, converging, magnetic field lines are illustrated by
`
`Dr. Kortshagen in the figures below. Id. at ¶¶ 40-41.
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`
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`Pinsley, FIGURE (annotated) (Ex. 1105); Korshagen, FIG. 1 (Ex. 1115).
`
`Third, Pinsley’s non-uniform, converging, magnetic field configuration is
`
`similar to that of the embodiment depicted by figure 7A of the ’779 Patent, and
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`thus “substantially trap[s]” electrons as the term is used in the ’779 Patent. Id. at
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`¶¶ 43-46. As explained by Dr. Kortshagen, the magnetic field configurations of
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`Pinsley and the embodiment depicted by figure 7A of the ’779 Patent are
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`“magnetic mirrors,” which have been utilized by those skilled in the art since the
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`1950’s and 1960’s to trap electrons. Supp. Kortshagen Decl., ¶ 40 (Ex. 1115); see
`
`e.g., Post at p. 245 (Ex. 1116).
`
`As Dr. Hartsough concedes, converging magnetic field lines will
`
`“substantially trap” electrons. Hartsough Depo. at 123:4-13 (“[A.] So you get –
`
`you get electron trapping because of the configuration that’s shown in Figure 7A,
`
`where the field lines converge at – near both electrodes. They’re getting closer
`
`together, And so you get electron trapping due to the reflection of the electrons …
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`It’s the magnetic – the convergence of the magnetic field lines that can cause
`
`the electrons to be basically oscillating back and forth inside that trap.”)
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`(emphasis added) (Ex. 1117). Thus, contrary to Zond’s argument, Pinsley
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`discloses a magnetic field configuration that will “substantially trap” electrons as
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`the term is used in the ’779 Patent.
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`Regarding Angelbeck, Zond argues Angelbeck’s “transverse magnetic field
`
`will result in a force directed across the flow of electrons from cathode to anode
`
`and to the tube walls, where they are removed from the plasma.” Response at p. 34
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`(Paper No. 25). Zond’s argument, based on two lines taken out of context,
`
`mischaracterizes Angelbeck’s disclosure. Id. While Angelbeck discloses the
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`transverse magnetic field enhances the loss of electrons to the tube walls, this
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`does not mean that all of the electrons are lost as Zond incorrectly contends.
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`Angelbeck at 2:33-35 (Ex. 1016); Supp. Kortshagen Decl., ¶¶ 53-55 (Ex. 1115).
`
`Assuming Zond’s argument were true, there would be no plasma in Angelbeck’s
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`laser tube 10. Id. However, Angelbeck unequivocally states: “[t]he current-
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`excited discharge passed through the gas within tube 10 creates a plasma in which
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`the atoms are ionized and the electrons are freed.” Angelbeck at 2:54-56 (Ex.
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`1106).
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`Instead, one of ordinary skill in the art would recognize that as electrons are
`
`lost to the tube walls, the walls become negatively charged. Supp. Kortshagen
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`Decl., ¶ 54 (Ex. 1115). The negatively charged tube walls oppose the negatively
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`charged electrons, and as a result, the majority of electrons will be “substantially
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`trapped” within Angelbeck’s laser tube. Id. Like the magnetic fields of Pinsley
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`and figure 7A of the ’779 Patent, one of ordinary skill in the art would understand
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`Angelbeck’s magnetic field lines B will converge as they approach the pole pieces
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`24 and 26, forming a magnetic mirror. Id. at ¶¶ 50-51.
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`Thus, as conceded by Dr. Hartsough, converging magnetic field lines will
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`“substantially trap” electrons, and so Angelbeck “substantially traps” electrons in
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`the same manner as the embodiment depicted in Pinsley and figures 7 and 7A of
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`the ’779 Patent. Id. at ¶ 56; Hartsough Depo. at 123:4-13 (Ex. 1117).
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`C. A person of ordinary skill in the art would have combined
`Iwamura with Pinsley and Angelbeck
`
`Zond makes numerous arguments as to why a person of ordinary skill in the
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`art would not combine Iwamura with Pinsley and Angelbeck. Response at pp. 24-
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`26 (Paper No. 25). All of these arguments are based on nothing more than the
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`alleged differences between the physical systems of Iwamura and
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`Pinsley/Angelbeck, and focus on bodily incorporating their systems. This is not
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`the proper standard for determining obviousness. In re Mouttet, 686 F.3d 1322,
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`1332 (Fed. Cir. 2012) (“It is well-established that a determination of obviousness
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`based on teachings from multiple references does not require an actual, physical
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`substitution of elements.”). As further discussed below, a person of ordinary skill
`
`in the art would have been encouraged to combine the teachings of Pinsley and
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`Angelbeck with Iwamura.
`
`Both Pinsley and Angelbeck teach the application of a transverse magnetic
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`field increase the efficiency of exciting atoms. See e.g., Angelbeck at 1:36-41 (Ex.
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`1106); Pinsley at 2:43-48 (Ex. 1105). One of ordinary skill in the art would have
`
`been motivated to apply the transverse magnetic field teachings of Pinsley and
`
`Angelbeck to increase the efficiency of the plasma generating unit of Iwamura as it
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`was well-known that both gas lasers and plasma generators excite gas atoms in a
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`similar manner. Supp. Kortshagen Decl., ¶¶57-61 (Ex. 1115). In fact,
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`Krudryavstev teaches that excited atom generation in plasma gas lasers are
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`analogous fields, and that effects observed in one may be equally applicable to the
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`other, and vice-versa. Kudryavstev at 30, left col, ¶ 1; 35, right col., ¶ 4 (Ex.
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`1104).
`
`Zond argues that a person of ordinary skill in the art would be dissuaded
`
`from combining Pinsley and Angelbeck with Iwamura because the excited gas
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`atoms in a gas laser “must return to their ground state to release energy … to emit
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`light,” and that “Petitioner failed to provide experimental data or other objective
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`evidence indicating that a skilled artisan would have been motivated to combine
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`the teachings of a laser in Angelbeck or Pinsley with Iwamura’s plasma treatment
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`system.” Response at pp. 25-26 (Paper No. 25). Such statements are incorrect.
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`Supp. Kortshagen Decl., ¶¶ 64-67 (Ex. 1115).
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`First, Pinsley and Angelbeck expressly disclose the application of a
`
`transverse magnetic field improves the efficiency of exciting atoms. Angelbeck at
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`1:36-41 (Ex. 1106). Whether or not Pinsley and Angelbeck allow the excited
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`atoms to return to a ground state after excitation is immaterial to the teachings of
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`Pinsley and Angelbeck of how to increase the efficiency of exciting atoms. See
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`e.g., Angelbeck at 1:36-41 (Ex. 1106); Pinsley at 2:43-48 (Ex. 1105);Supp.
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`Kortshagen Decl., ¶ 64 (Ex. 1115). One of ordinary skill in the art would look to
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`the teachings of Pinsley and Angelbeck for how to increase the efficiency of
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`exciting atoms. Id. at ¶¶ 58-61.
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`Second, as a matter of plasma physics, excited atoms generated by plasma
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`generators such as Iwamura’s may return to their ground state after being excited
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`by Iwamura’s first plasma generating unit as they flow through the treatment
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`chamber 10. Id. at ¶ 62; c.f. Iwamura at 7:55-60 (Ex. 1107); Angelbeck at 2:39-42
`
`(Ex. 1106).
`
`Third, the prior art plasma sputtering apparatus disclosed in the ’779 Patent
`
`itself confirms it was well known in the art at the time of the invention to use a
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`magnet in a plasma apparatus for trapping electrons to improve the efficiency of
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`exciting atoms, and provides the very objective evidence Zond claims is absent
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`from the teachings of the prior art. Supp. Kortshagen Decl., ¶ 66 (Ex. 1115); ’779
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`Patent at 3:13-18 (Ex. 1101). Dr. Hartsough concedes that the magnetron
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`sputtering systems dating back to the mid-1970’s used magnets for trapping
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`electrons. Hartsough Depo. at 20:13-21:1 (Ex. 1117). Moreover, magnetic mirror
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`electron-traps, such as the one depicted in figure 7A of the ’779 Patent, have been
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`known in the art for half a century, since the 1950’s and 1960’s. See e.g., Post at
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`p. 245 (Ex. 1116).
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`Finally, Zond improperly attacks the direct substitution of elements of
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`Pinsley and Angelbeck with Iwamura, and relies on a PTAB decision that is
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`inapplicable to the present proceedings. Response at pp. 25-26 (Paper No. 25).
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`Zond claims that one skilled in the art would be unable to incorporate Pinsley and
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`Angelbeck’s teachings of a transverse magnetic field to trap electrons into
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`Iwamura’s plasma generation apparatus because Pinsley and Angelbeck are gas
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`lasers while Iwamura is a plasma generator. Id. at 26. This is the same argument
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`Zond previously made in its Patent Owner’s Preliminary Response (Paper No. 9 at
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`p. 28), and was rejected by the Board in the DI. DI at p. 20 (“It is well-established
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`that a determination of obviousness based on teachings from multiple references
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`does not require an actual, physical substitution of elements.”) (emphasis
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`added) (Paper No. 11). As the Board correctly recognized in its DI, Petitioners
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`seek to combine Pinsley and Angelbeck’s teachings of a transverse magnetic field
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`with Iwamura’s plasma generation apparatus, not actual substitution of Pinsley and
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`Angelbeck’s gas laser. Id. at 20-21.
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`Hence, it would have been obvious to one of ordinary skill in the art to apply
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`the transverse magnetic field teachings of Angelbeck and Pinsley to Iwamura’s
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`first plasma generation unit for the density of electrons in the plasma region A
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`between first electrodes 26a and 26b, thereby increasing the efficiency of exciting
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`atoms flowing through plasma region A. Supp. Kortshagen Decl., ¶ 67 (Ex. 1115).
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`IPR2014-01076
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`III. CLAIMS 5, 6, 8, 19, 22, 23, AND 43 ARE UNPATENTABLE OVER THE
`CITED PRIOR ART
`A.
`Iwamura in view of Pinsley and Angelbeck teaches “an excited
`atom source” recited in claims 1 and 43, and “a metastable atom
`source” recited in claim 18.
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`Claims 5, 6, 8, 19, 22, and 23 depend from claims 1 and 18. Zond argues
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`that Iwamura does not teach an “excited atom source,” recited in claims 1 and 43
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`or a “metastable atom source,” recited in claim 18 because “Iwamura’s first plasma
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`generation unit generates a plasma.” Response at pp. 28, 47 (Paper No. 25). As
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`discussed above, this point has been conceded by Dr. Hartsough. Hartsough Depo.
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`at 74:2-76:4 (“Q. So a portion of the gas species flowing into plasma generation
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`re[gion] A would form a plasma; correct? A. That’s correct. Q. and that plasma
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`contains ions? A. Yes. … A. It would contain other species, yes. … Q. Ground
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`state atoms? A. Yes. Q. Excited atoms? A. Probably. Q. Metastable atoms? A.
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`Quite possibly.”) (emphasis added) (Ex. 1117). Moreover, Dr. Hartsough further
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`admits a person of ordinary skill in the art would understand the term “plasma” to
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`include excited atoms and metastable atoms. Id. at 42:9-15.
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`Zond additionally argues that the combination of Iwamura, Angelbeck and
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`Pinsley does not teach “the [excited / metastable] atom source comprising a
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`magnet that generates a magnetic field for substantially trapping electrons
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`proximate to the ground state atoms,” recited in claims 1 and 18. Response at p. 32
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`(Paper No. 25). Zond’s first argument, that Angelbeck’s system produces “a
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`plasma, not excited / metastable atoms as claimed,” is nonsensical. Id. at 33
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`(emphasis in original); Supp. Kortshagen Decl., ¶ 80 (Ex. 1115). The claims recite
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`“substantially trapping proximate to the ground state atoms.” Further, Zond admits
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`excited atoms and ground state atoms are present in Angelbeck’s laser tube.
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`Response at pp. 24-25 (“The excited atoms in Angelbeck’s laser … must return to
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`their ground state…”) (Paper No. 25). Moreover, Angelbeck expressly discloses
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`excited atoms are generated. Angelbeck at 2:18-20 (Ex. 1106). Thus, as
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`previously explained in section II(B), the magnetic field B which traverses
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`Angelbeck’s laser tube 10 will “substantially trap” electrons proximate both
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`ground state atoms and excited atoms. Supp. Korshagen Decl., ¶ 82 (Ex. 1115).
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`Zond’s second argument, that “Angelbeck teaches deflecting the electrons
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`toward the tube walls, which in a flowing feed gas, would have no trapping effect
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`whatsoever on the electrons,” mischaracterizes Angelbeck’s teachings, as
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`explained above in section II(B). Response at p. 36 (Paper No. 25); Supp.
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`Kortshagen Decl., ¶¶ 83-85 (Ex. 1115).
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`Moreover, Zond entirely ignores the teachings of Pinsley. Notably, Pinsley
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`discloses that the “interaction between the current and the magnetic field will result
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`in an upstream force … [t]his force is exerted upon the electrons, and tends to
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`maintain the electrons in an area between the anode and cathode.” Pinsley at
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`2:43-48 (emphasis added) (Ex. 1105). Thus, Pinsley squarely discredits Zond’s
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`argument. Supp. Kortshagen Decl., ¶ 86 (Ex. 1115).
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`Both Pinsley and Angelbeck teach the application of a transverse magnetic
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`field to “substantially trap” electrons. Id. at ¶¶ 38-56. As discussed at length
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`above in section II(C), one of ordinary skill in the art would have been motivated
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`to apply the transverse magnetic field teachings of Pinsley and Angelbeck to
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`increase the density of electrons in the plasma region A between the first electrodes
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`26, thereby increasing the efficiency of exciting atoms flowing through plasma
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`region A. Id. at ¶ 87. Thus, the combination of Iwamura with Pinsley and
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`Angelbeck teaches an excited / metastable atom source “substantially trapping”
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`electrons proximate to ground state atoms as recited by independent claims 1 and
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`18. Id.
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`B.
`Iwamura in view of Pinsley and Angelbeck teaches “a plasma
`chamber that is coupled to the [excited / metastable] atom source”
`recited in claims 1, 18, and 43.
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`Zond further argues that Iwamura does not teach “a plasma chamber that is
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`coupled to the [excited / metastable] atom source” because “[o]nly Iwamura’s
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`preexcitation unit excites, or preexcites the gas” and the “plasma chamber is not
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`coupled to its pre-excitation unit.” Response at pp. 47-48 (Paper No. 25)
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`(emphasis added). Zond’s argument hinges upon an incorrect reading of the
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`Petition and the original declaration of Dr. Kortshagen, which state that Iwamura’s
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`IPR2014-01076
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`first plasma generation unit, or the combination of the preexcitation unit and
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`the first plasma generation unit, generates excited atoms and metastable atoms in
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`addition to ions, and is contrary to the teachings of Iwamura. Petition for Inter
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`Partes Review, p. 48 (Paper No. 2); Kortshagen Decl., ¶¶ 114-120 (Ex. 1102).
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`Zond’s argument focuses only on Iwamura’s pre-excitation unit as the
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`source of excited / metastable atoms and concludes that it is not coupled to
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`Iwamura’s plasma chamber due to the presence of the first plasma generation unit
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`being disposed between them. Response at pp. 47-48 (Paper No. 25).
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`Notwithstanding this, Dr. Hartsough concedes Iwamura’s preexcitation unit is
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`coupled to the plasma chamber as the term “coupled” is used in the ’779 Patent.
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`Hartsough Depo. at 108:13-109:22 (“Q. You would agree with me that the term
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`“coupling” includes an indirect connection, as is used in the context of the ’779
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`patent; correct? A. That’s the way it’s used. Q. So isn’t the preexcitation unit of
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`Iwamura at least indirectly coupled to the plasma chamber 10? A. Indirectly,
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`yeah.”) (Ex. 1117). Moreover, Zond conveniently ignores the combination of the
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`preexcitation unit and the first plasma generation unit functioning as the excited /
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`metastable atom source. Dr. Hartsough admits that Iwamura’s first plasma
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`generation unit is coupled to the plasma chamber. Id. at 92:12-13 (“the [first
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`plasma generation] electrode is coupled to the chamber.”).
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`As Zond does not dispute that the first plasma generation unit is coupled to
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`the plasma chamber, the combination of the pre-excitation unit with the first
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`plasma generation unit creates excited and metastable atoms, and is, likewise
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`coupled to Iwamura’s plasma chamber 10. Supp. Kortshagen Decl., ¶ 75 (Ex.
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`1115).
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`C.
`Iwamura in view of Pinsley and Angelbeck teaches “an energy
`source that is coupled to the volume of [excited / metastable] atoms …
`thereby generating a plasma with a multi-step ionization process”
`recited by claims 1, 18, and 43.
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`Zond again argues Iwamura does not teach “an energy source coupled to the
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`volume of [excited / metastable] atoms” because “the atoms entering Iwamura’s
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`chambers are not excited, but are instead activated (i.e., a plasma).” Response at
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`pp. 41-42 (Paper No. 25). As previously explained and as admitted by Dr.
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`Hartsough, Iwamura’s first plasma generation unit generates excited and
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`metastable atoms, meeting the first distinct step of the ’779 Patent’s “multi-step
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`ionization.” Hartsough Depo. at 74:2-76:4 (Ex. 1117); Supp. Kortshagen Decl.,¶¶
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`88-92 (Ex. 111