throbber
Paper 11
`
`Entered: November 17, 2014
`
`
`
`
`
`
`
`Trials@uspto.gov
`571-272-7822
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`
`
`GLOBALFOUNDRIES U.S., INC., GLOBALFOUNDRIES DRESDEN
`MODULE ONE LLC & CO. KG, and GLOBALFOUNDRIES DRESDEN
`MODULE TWO LLC & CO. KG,
`Petitioners,
`
`v.
`
`ZOND, LLC,
`Patent Owner.
`____________
`
`Case IPR2014-01076
`Patent 6,805,779 B2
`____________
`
`
`
`Before KEVIN F. TURNER, DEBRA K. STEPHENS, JONI Y. CHANG,
`SUSAN L.C. MITCHELL, and JENNIFER M. MEYER,
`Administrative Patent Judges.
`
`
`CHANG, Administrative Patent Judge.
`
`
`
`
`
`
`
`DECISION
`Institution of Inter Partes Review
`37 C.F.R. § 42.108
`
`
`
`

`
`IPR2014-01076
`Patent 6,805,779 B2
`
`
`I. INTRODUCTION
`
`GLOBALFOUNDRIES U.S., Inc., GLOBALFOUNDRIES Dresden
`
`Module One LLC & Co. KG, GLOBALFOUNDRIES Dresden Module Two
`
`LLC & Co. KG (collectively, “GlobalFoundries”) filed a Revised Petition
`
`requesting inter partes review of claims 5, 6, 8, 19, 22, 23, and 43 of U.S.
`
`Patent No. 6,805,779 B2 (“the ’779 patent”). Paper 4 (“Pet.”). Zond, LLC
`
`(“Zond”) filed a Preliminary Response. Paper 10 (“Prelim. Resp.”). We
`
`have jurisdiction under 35 U.S.C. § 314.
`
`The standard for instituting an inter partes review is set forth in
`
`35 U.S.C. § 314(a), which provides:
`
`THRESHOLD.—The Director may not authorize an inter
`partes review to be instituted unless the Director determines
`that the information presented in the petition filed under section
`311 and any response filed under section 313 shows that there
`is a reasonable likelihood that the petitioner would prevail with
`respect to at least 1 of the claims challenged in the petition.
`
`Upon consideration of GlobalFoundries’s Petition and Zond’s
`
`Preliminary Response, we conclude that the information presented in the
`
`Petition demonstrates that there is a reasonable likelihood that
`
`GlobalFoundries would prevail in challenging claim 43 as unpatentable
`
`under 35 U.S.C. § 102(b), and claims 5, 6, 8, 19, 22, and 23 as unpatentable
`
`under 35 U.S.C. § 103(a). Pursuant to 35 U.S.C. § 314, we hereby authorize
`
`an inter partes review to be instituted as to claims 5, 6, 8, 19, 22, 23, and 43
`
`of the ’779 patent.
`
`
`
`2
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`A. Related Matters
`
`
`
`GlobalFoundries indicates that the ’779 patent was asserted in several
`
`related district court proceedings, including Zond, LLC v. Advanced Micro
`
`Devices, Inc., No.1:13-cv-11577-DPW (D. Mass.). Pet. 1 (citing Ex. 1113).
`
`GlobalFoundries also identifies other petitions for inter partes review that
`
`are related to this proceeding. Id.
`
`
`
`B. The ’779 patent
`
`The ’779 patent relates to a method and a system for generating a
`
`plasma with a multi-step ionization process. Ex. 1101, Abs. For instance,
`
`Figure 2 of the ’779 patent, reproduced below, illustrates a cross-sectional
`
`view of a plasma generating apparatus:
`
`In the embodiment shown in Figure 2, feed gas source 206 supplies
`
`ground state atoms 208 (e.g., ground state argon atoms) to metastable atom
`
`
`
`3
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`

`
`IPR2014-01076
`Patent 6,805,779 B2
`
`
`source 204 that generates excited or metastable atoms 218 from ground state
`
`atoms 208. Id. at 4:26–42. Plasma 202 is generated from the excited or
`
`metastable atoms 218 in process chamber 230. Id. at 5:25–34.
`
`Electrons and ions are formed in metastable atom source 204 along
`
`with excited or metastable atoms 218. Id. at 8:20–23. In another
`
`embodiment, the ions and electrons are separated from excited or metastable
`
`atoms 218 and trapped in electron/ion absorber before excited or metastable
`
`atoms 218 are injected into plasma chamber 230. Id. at 8:23–26, 18:62–67,
`
`Fig. 10. Figure 12B of the ’779 patent illustrates an electron/ion absorber
`
`and is reproduced below:
`
`As shown in Figure 12B, electron/ion absorber 750’ includes magnets
`
`776 and 778 that generate magnetic field 780, trapping electrons 772 and
`
`ions 774 in chamber 760’. Id. at 20:9–13. Excited or metastable atoms 768
`
`and ground state atoms 770 then flow through output 754’. Id. at 20:19–21.
`
`
`
`
`
`C. Illustrative Claims
`
`Of the challenged claims, claim 43 is the only independent claim.
`
`Claims 5, 6, 8 depend directly from claim 1. Claims 19, 22, and 23 depend
`
`directly from claim 18. Independent claims 1 and 18, however, are not
`
`being challenged in the instant proceeding.
`
`4
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`Claims 1 and 5 are illustrative:
`
`1. A plasma generator that generates a plasma with a
`multi-step ionization process, the plasma generator comprising:
`
`a feed gas source comprising ground state atoms;
`
`an excited atom source that receives ground state atoms
`from the feed gas source, the excited atom source comprising a
`magnet that generates a magnetic field for substantially
`trapping electrons proximate to the ground state atoms, the
`excited atom source generating excited atoms from the ground
`state atoms;
`
`a plasma chamber that is coupled to the excited atom
`source, the plasma chamber confining a volume of excited
`atoms generated by the excited atom source; and
`
`an energy source that is coupled to the volume of excited
`atoms confined by the plasma chamber, the energy source
`raising an energy of excited atoms in the volume of excited
`atoms so that at least a portion of the excited atoms in the
`volume of excited atoms is ionized, thereby generating a plasma
`with a multi-step ionization process.
`
`Ex. 1101, 21:10–30 (emphases added).
`
`5. The plasma generator of claim 1 wherein the excited atom
`source comprises a first electrode and a second electrode, the
`first electrode and the second electrode generating a discharge
`that excites the ground state atoms.
`
`Id. at 21:41–44.
`
`
`
`D. Prior Art Relied Upon
`
`GlobalFoundries relies upon the following prior art references:
`
`
`Pinsley
`Angelbeck
`Iwamura
`
`
`
`
`
`
`US 3,761,836
`US 3,514,714
`US 5,753,886
`
`Sept. 25, 1973
`May 26, 1970
`May 19, 1998
`
`(Ex. 1105)
`(Ex. 1106)
`(Ex. 1107)
`
`5
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`

`
`IPR2014-01076
`Patent 6,805,779 B2
`
`
`D.V. Mozgrin, et al., High-Current Low-Pressure Quasi-Stationary
`Discharge in a Magnetic Field: Experimental Research, 21 PLASMA
`PHYSICS REPORTS, NO. 5, 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 (1983) (Ex. 1104, “Kudryavtsev”).
`
`
`E. Asserted Grounds of Unpatentability
`
`GlobalFoundries asserts the following grounds of unpatentability:
`
`Claims
`
`Basis
`
`References
`
`43
`
`§ 102(b)
`
`Iwamura
`
`5, 6, 8, 19, 22, and 23
`
`§ 103(a)
`
`Iwamura, Angelbeck, and Pinsley1
`
`5, 6, 8, 19, 22, 23,
`and 43
`
`
`
`§ 103(a) Mozgrin, Kudryavtsev, and Pinsley
`
`
`
`1 Pinsley is omitted inadvertently from the statement of this asserted ground
`of unpatentability, although included in the substantive analysis. Pet. 52, 54.
`Therefore, we treat the statement as mere harmless error and presume that
`GlobalFoundries intended to assert that claims 5, 6, 8, 19, 22, and 23 are
`unpatentable under § 103(a) based on the combination of Iwamura,
`Angelbeck, and Pinsley.
`
`6
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`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).
`
`We construe the claim terms below in accordance with the above-
`
`stated principles.
`
`
`
`1. “excited atoms”
`
`Claim 1 recites “the excited atom source generating excited atoms
`
`from the ground state atoms.” Dr. Uwe Kortshagen testifies that “[i]f all of
`
`an atom’s electrons are at their lowest possible energy state, the atom is said
`
`to be in the ‘ground state,’” and that “if one or more of an atom’s electrons
`
`is in a state that is higher than its lowest possible state, then the atom is said
`
`to be an ‘excited atom.’” Ex. 1102 ¶¶ 24–25 (emphases added). In the
`
`context of the Specification of the ’779 patent, we therefore construe the
`
`7
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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`claim term “excited atoms” broadly, but reasonably as “atoms that have one
`
`or more electrons in a state that is higher than its lowest possible state.”
`
`
`
`2. “metastable atoms”
`
`Claim 18 recites “the metastable atom source generating metastable
`
`atoms from the ground state atoms.” GlobalFoundries submits that the claim
`
`term “metastable atoms” is defined in the Specification of the ’779 patent as
`
`“excited atoms having energy levels from which dipole radiation is
`
`theoretically forbidden.” Pet. 5 (citing Ex. 1101, 7:22–25). In that regard,
`
`Dr. Kortshagen further explains a “metastable atom is a type of excited atom
`
`that is relatively long-lived, because it cannot transition into the ground state
`
`through dipole radiation, i.e., through the emission of electromagnetic
`
`radiation.” Ex. 1102 ¶ 25 (citing Ex. 1101, 7:22–25). According to
`
`Dr. Kortshagen, “generating excited atoms means also generating metastable
`
`atoms” because when generating excited atoms, multiple levels of excited
`
`states are formed, and some of the lowest states are metastable. Id. ¶ 25
`
`(citing Exs. 1111–1112).2 The Specification also provides that all noble
`
`gases, including argon, have metastable states. Ex. 1101, 7:37–39.
`
`
`
`2 J. Vlček, A Collisional-Radiative Model Applicable to Argon Discharges
`Over a Wide Range of Conditions. I: Formulation and Basic Data, 22 J.
`PHYS. D: APPL. PHYS. 623–631 (1989) (Ex. 1111).
`
`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, 22 J. PHYS. D: APPL.
`PHYS. 632–643 (1989) (Ex. 1112).
`
`8
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`Given the evidence before us, we construe the claim term “metastable
`
`atoms,” consistent with the Specification, as “excited atoms having energy
`
`levels from which dipole radiation is theoretically forbidden,” and observe
`
`that exciting noble gas atoms would generate metastable atoms.
`
`
`
`3. “multi-step ionization process”
`
`
`
`Claim 1 recites “an energy source that is coupled to the volume of
`
`excited atoms confined by the plasma chamber, the energy source raising an
`
`energy of excited atoms in the volume of excited atoms so that at least a
`
`portion of the excited atoms in the volume of excited atoms is ionized,
`
`thereby generating a plasma with a multi-step ionization process.”
`
`GlobalFoundries asserts that the claim term “multi-step ionization
`
`process” is defined in the Specification of the ’779 patent as “an ionization
`
`process whereby ions are ionized in at least two distinct steps.” Pet. 17–18
`
`(citing Ex. 1101, 6:60–63, Figs. 2, 3) (emphasis added by GlobalFoundries).
`
`Indeed, the Specification expressly provides:
`
`The term “multi-step ionization process” is defined herein to
`mean an ionization process whereby ions are ionized in at least
`two distinct steps. However, the term “multi-step ionization
`process” as defined herein may or may not include exciting
`ground state atoms to a metastable state. For example, one
`multi-step ionization process according to the present invention
`includes a first step where atoms are excited from a ground
`state to a metastable state and a second step where atoms in the
`metastable state are ionized. Another multi-step ionization
`process according to the present invention includes a first step
`where atoms are excited from a ground state to an excited state
`and a second step where atoms in the excited state are ionized.
`
`9
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`ionization process” also
`term “multi-step
`The
`ionization processes with three or more steps.
`
`includes
`
`Ex. 1101, 6:60–7:9 (emphases added).
`
`We observe that the Specification sets forth a definition for the claim
`
`term “multi-step ionization” with reasonable clarity, deliberateness, and
`
`precision. See Paulsen, 30 F.3d at 1480. Further, that definition is
`
`consistent with the ordinary and customary meaning of the term, as would be
`
`understood by one with ordinary skill in the art. As such, in the context of
`
`the Specification, we construe the claim term “multi-step ionization” as “an
`
`ionization process having at least two distinct steps.”
`
`
`
`B. Principles of Law
`
`To establish anticipation, each and every element in a claim, arranged
`
`as recited in the claim, must be found in a single prior art reference. Net
`
`MoneyIN, Inc. v. VeriSign, Inc., 545 F.3d 1359, 1369 (Fed. Cir. 2008);
`
`Karsten Mfg. Corp. v. Cleveland Golf Co., 242 F.3d 1376, 1383 (Fed. Cir.
`
`2001). “A reference anticipates a claim if it discloses the claimed invention
`
`such that a skilled artisan could take its teachings in combination with his
`
`own knowledge of the particular art and be in possession of the invention.”
`
`In re Graves, 69 F.3d 1147, 1152 (Fed. Cir. 1995) (internal citation and
`
`emphasis omitted). Moreover, “it is proper to take into account not only
`
`specific teachings of the reference but also the inferences which one skilled
`
`in the art would reasonably be expected to draw therefrom.” In re Preda,
`
`401 F.2d 825, 826 (CCPA 1968).
`
`10
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`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).
`
`The level of ordinary skill in the art is reflected by the prior art of
`
`record. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001);
`
`In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995); In re Oelrich,
`
`579 F.2d 86, 91 (CCPA 1978).
`
`We analyze the asserted grounds of unpatentability in accordance with
`
`the above-stated principles.
`
`
`
`C. Claim 43—Anticipation by Iwamura
`
`GlobalFoundries asserts that claim 43 is unpatentable under 35 U.S.C.
`
`§ 102(b) as anticipated by Iwamura. Pet. 41–52. In support of that asserted
`
`ground of unpatentability, GlobalFoundries provides detailed explanations
`
`as to how each claim limitation is met by Iwamura. Id. GlobalFoundries
`
`also proffers a Declaration of Dr. Kortshagen (Ex. 1102) to support its
`
`contentions. Id.
`
`11
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`In its Preliminary Response, Zond responds that Iwamura does not
`
`disclose every claim limitation of claim 43. Prelim. Resp. 50–51. In
`
`particular, Zond argues that Iwamura does not disclose: (1) an energy
`
`source that raises “an energy of excited atoms in the volume of excited
`
`atoms so that at least a portion of the excited atoms in the volume of excited
`
`atoms is ionized, thereby generating a plasma with a multi-step ionization
`
`process;” and (2) “a pressure differential exists between a pressure in the
`
`excited atom source and a pressure in the plasma chamber, the pressure
`
`differential increasing at least one of a rate at which the excited atoms are
`
`generated from the ground state atoms and a density of the excited atoms.”
`
`Id. at 51 (emphasis added). Although Zond also alleges that Iwamura does
`
`not disclose “metastable atoms,” claim 43 does not recite such a limitation.
`
`Id. Nevertheless, we will address that limitation in our analysis with respect
`
`to claims 19, 22, and 23 below.
`
`We have reviewed the parties’ contentions and supporting evidence.
`
`Given the evidence on this record, we determine that GlobalFoundries has
`
`demonstrated a reasonable likelihood of prevailing on its assertion that
`
`claim 43 is anticipated by Iwamura. Our analysis focuses on the deficiencies
`
`alleged by Zond as to the claims.
`
`
`
`Iwamura
`
`
`
`Iwamura discloses a plasma treatment apparatus for generating a
`
`stable plasma with a multi-step ionization process to treat a semiconductor
`
`wafer. Ex. 1107, Abs., 6:67–7:8. Figure 1 of Iwamura, reproduced below
`
`(with our annotations added), illustrates a plasma treatment apparatus.
`
`12
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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`Pre-excitation unit
`
`First plasma generation unit
`
`Second plasma generation unit
`
`
`
`
`
`As shown in Figure 1 of Iwamura, Plasma treatment 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., argon) through a pre-
`
`excitation unit that includes ultraviolet lamp 24, and a first plasma
`
`generation unit that includes electrodes 26 (an excited atom source).
`
`Ex. 1107, 6:67–7:17, 49. Ultraviolet lamp 24 causes photoionization, raising
`
`the excitation level of the gas—in other words, generating excited atoms
`
`from ground state atoms. Id. at 7:55–60. Thereafter, a plasma is generated
`
`from the gas, with a raised excitation level, 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
`
`13
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`IPR2014-01076
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`generated. Id. at 8:32–37. Consequently, the uniformity of the plasma
`
`density as well as the yield of the treatment of semiconductor wafer can be
`
`improved. Id. at 8:41–46.
`
`
`
`Ionizing excited atoms and generating a plasma with a multi-step ionization
`process
`
`Claim 43 recites “an energy source . . . raising an energy of excited
`
`atoms in the volume of excited atoms so that at least a portion of the excited
`
`atoms in the volume of excited atoms is ionized, thereby generating a plasma
`
`with a multi-step ionization process.”
`
`In its Preliminary Response, Zond alleges that Iwamura does not
`
`describe the “ionization” and “multi-step ionization process” claim features.
`
`Prelim. Resp. 42–43, 45–46. In particular, Zond alleges that those claim
`
`features require more than pre-exciting the gas and activating the gas, and
`
`“Iwamura makes no mention of ionization.” Id. at 43, 45–46.
`
`However, anticipation does not require the prior art reference to use
`
`the same terminology as the claims. In re Gleave, 560 F.3d 1331, 1334
`
`(Fed. Cir. 2009). Given the evidence before us, we are not persuaded by
`
`Zond’s arguments.
`
`The Specification of the ’779 patent indicates that “plasma is a
`
`collection of charged particles that move in random directions.” Ex. 1101,
`
`1:7–9 (emphases added). As discussed above, the Specification of the ’779
`
`patent defines the claim term “multi-step ionization process” as “an
`
`ionization process whereby ions are ionized in at least two distinct steps.”
`
`Id. at 6:60–7:9 (emphases added). The Specification also provides that a
`
`14
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`multi-step ionization process includes: (1) a first step where atoms are
`
`excited from a ground state to an excited state; and (2) a second step where
`
`atoms in the excited state are ionized, generating ions from the excited
`
`atoms. Id. The term “ionization” ordinarily is understood as a “process by
`
`which an atom or molecule receives enough energy (by collision with
`
`electrons, photons, etc.) to split it into one or more free electrons and a
`
`positive ion” (emphasis added).3
`
`As GlobalFoundries indicates in its Petition, Iwamura discloses a
`
`plasma treatment apparatus that generates a plasma with a multi-step
`
`ionization process. Pet. 41–47 (citing Ex. 1102 ¶¶ 116–123). For the first
`
`step, Iwamura’s pre-excitation unit raises the excitation level of the gas—
`
`i.e., generating excited atoms from ground state atoms—using microwaves
`
`or ultraviolet radiation that causes photoionization. Ex. 1107, 7:55–60,
`
`9:46–48, Figs. 1, 2. For the second step, Iwamura’s plasma treatment
`
`apparatus includes a pair of electrodes that generates a plasma, which
`
`includes a collection of ions and free electrons. Id. at 7:61–63, 8:32–46,
`
`Figs. 1, 2. Therefore, we are persuaded that one of ordinary skill in the art
`
`would have recognized that the electrodes and power supply generate the
`
`ions and free electrons by ionizing the excited atoms.
`
`
`
`3 See THE AUTHORITATIVE DICTIONARY OF IEEE STANDARDS TERMS 589
`(7th ed.) (2000) (Ex. 3001) (defining “ionization” as “(B) The process by
`which an atom or molecule receives enough energy (by collision with
`electrons, photons, etc.) to split it into one or more free electrons and a
`positive ion. Ionization is a special case of charging.”).
`15
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`IPR2014-01076
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`
`Given the evidence on this record, we determine that GlobalFoundries
`
`has demonstrated sufficiently that one of ordinary skill in the art would have
`
`recognized that Iwamura discloses the “ionization” and “multi-step
`
`ionization process” claim features—“an energy source . . . raising an energy
`
`of excited atoms in the volume of excited atoms so that at least a portion of
`
`the excited atoms in the volume of excited atoms is ionized, thereby
`
`generating a plasma with a multi-step ionization process.”
`
`
`
`Pressure differential
`
`Claim 43 recites “a pressure differential exists between a pressure in
`
`the excited atom source and a pressure in the plasma chamber, the pressure
`
`differential increasing at least one of a rate at which the excited atoms are
`
`generated from the ground state atoms and a density of the excited atoms.”
`
`In its Preliminary Response, Zond asserts that “Iwamura makes no
`
`mention of any pressure differential between an excited atom source and a
`
`plasma chamber.” Prelim. Resp. 46–47. Zond further alleges that
`
`GlobalFoundries fails to explain how porous electrode 30a of the second
`
`plasma generation unit, positioned in the middle of treatment chamber 10,
`
`would yield the claimed pressure differential. Id.
`
`Given the evidence before us, we are not persuaded by Zond’s
`
`arguments. Anticipation is not an ipsissimis verbis test. Gleave, 560 F.3d at
`
`1334. Moreover, Zond’s arguments are not commensurate with the scope of
`
`the claim. See In re Self, 671 F.2d 1344, 1348 (CCPA 1982) (It is well
`
`established that limitations not appearing in the claims cannot be relied upon
`
`for patentability.). The claim limitation does not require a pressure
`
`16
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`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`differential between the upper portion and the lower portion of the treatment
`
`chamber. Rather, it requires a pressure differential between the excited atom
`
`source and the treatment chamber.
`
`As discussed above, Iwamura’s pre-excitation unit (an excited atom
`
`source) generates excited atoms from ground state argon atoms. Ex. 1107,
`
`7:55–60, 8:32–34. The pre-excitation unit and the first plasma generation
`
`unit are located around and inside the gas supply pipe. Id. at 7:8–17. As
`
`GlobalFoundries notes in its Petition (Pet. 49), Iwamura discloses that the
`
`cross-section area of the gas supply pipe can be made sufficiently small
`
`compared with the cross-section area of treatment chamber 10. Ex. 1107,
`
`9:31–34. Iwamura also discloses that “the gap between the pair of
`
`electrodes in the [first] plasma discharge unit can be made small, the plasma
`
`density in the upstream plasma region [inside the gas supply pipe] increased,
`
`and the gas adequately activated.” Ex. 1107, 4:9–12.
`
`Dr. Kortshagen testifies that a person “of ordinary skill in the art
`
`would have readily recognized that the differences in cross-section area
`
`would lead to a pressure differential between the pre-excitation unit/first
`
`plasma generation unit [inside the gas supply pipe] as compared to the
`
`treatment chamber.” Ex. 1102 ¶ 127. According to Dr. Kortshagen,
`
`“Iwamura teaches that the gap [between the electrodes inside the gas supply
`
`pipe] is made small, and hence the pressure increased, in the first plasma
`
`generation unit to increase the density of the excited/metastable atoms.” Id.
`
`¶ 128. On this record, we credit Dr. Kortshagen’s testimony, as it is
`
`consistent with the prior art disclosure.
`
`17
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`

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`IPR2014-01076
`Patent 6,805,779 B2
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`
`Based on the evidence before us, we determine that GlobalFoundries
`
`has demonstrated adequately that one with ordinary skill in the art would
`
`have recognized that Iwamura discloses the “pressure differential” claim
`
`limitation.
`
`
`
`Conclusion
`
`For the foregoing reasons, we determine that GlobalFoundries has
`
`demonstrated a reasonable likelihood of prevailing on its assertion that
`
`claim 43 is unpatentable as anticipated by Iwamura.
`
`
`
`D. Claims 5, 6, 8, 19, 22, and 23—Obviousness over the Combination of
`Iwamura, Angelbeck, and Pinsley
`
`GlobalFoundries asserts that claims 5, 6, 8, 19, 22, and 23 are
`
`unpatentable under 35 U.S.C. § 103(a) as obvious over the combination of
`
`Iwamura, Angelbeck, and Pinsley. Pet. 52–60. In support of that asserted
`
`ground of unpatentability, GlobalFoundries provides detailed explanations
`
`as to how each claim limitation is met by the combination of references and
`
`rationales for combining the references. Id. GlobalFoundries also proffers a
`
`Declaration of Dr. Kortshagen (Ex. 1102) to support its contentions. Id.
`
`In its Preliminary Response, Zond counters that the combination of
`
`the cited prior art does not disclose every claim limitation. Prelim. Resp.
`
`42–48. Specifically, Zond alleges that the combination of Iwamura and
`
`Angelbeck does not teach or suggest the “ionization” and “multi-step
`
`ionization process” claim features (id. at 42–43, 45–46), and the “pressure
`
`differential” claim limitation (id. at 46–47). Zond essentially relies upon the
`
`18
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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`same arguments presented with regard to independent claim 43. We,
`
`however, have addressed those arguments in our analysis above regarding
`
`the anticipation ground of unpatentability, and determined those arguments
`
`to be unavailing.
`
`Zond further maintains that the combination of Iwamura and
`
`Angelbeck does not disclose the “magnetic field” limitations, as recited in
`
`independent claims 1 and 18 (id at 44–45), and metastable atoms, as recited
`
`in claims 19, 22, and 23 (id. at 47–48).4 Zond also argues that
`
`GlobalFoundries has not articulated a sufficient rationale to combine the
`
`technical disclosures of Iwamura and Angelbeck. Id. at 36–38. We are not
`
`persuaded by Zond’s arguments and address each of these arguments in turn.
`
`
`
`An excited atom source that generates a magnetic field for trapping electrons
`
`
`
`Claim 1 recites “the excited atom source comprising a magnet that
`
`generates a magnetic field for substantially trapping electrons proximate to
`
`the ground state atoms.” Claim 18 recites a similar limitation.
`
`In its Petition, GlobalFoundries takes the position that Iwamura’s
`
`disclosure regarding the pre-excitation unit and first plasma generation unit
`
`teaches or suggests an excited atom source that generates excited atoms from
`
`the ground state atoms. Pet. 47 (citing Ex. 1102 ¶ 125), 52.
`
`GlobalFoundries acknowledges that Iwamura does not disclose a magnet for
`
`generating a magnetic field in the plasma treatment apparatus. Id. at 52–53.
`
`
`4 Although Zond also proffers arguments with respect to claim 4 (Prelim.
`Resp. 47), claim 4 is not challenged by GlobalFoundries in the instant
`proceeding.
`
`19
`
`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`Nevertheless, GlobalFoundries maintains that it was well known in the art at
`
`the time of the invention to use a magnet for generating a magnetic field in a
`
`plasma apparatus for trapping electrons, as evidenced by Angelbeck and
`
`Pinsley. Id. at 53–55 (citing Ex. 1106, 1:36–41, 2:18–20, 2:50–51, 2:66–67,
`
`Fig. 1; Ex. 1105, 2:43–60). Dr. Kortshagen testifies that it would have been
`
`obvious to one of ordinary skill in the art to combine Angelbeck’s transverse
`
`magnetic field with Iwamura’s pre-excitation unit and first plasma
`
`generation unit (excited atom source or metastable atom source)—which are
`
`located proximate to the ground state atoms source, gas supply 20—for
`
`trapping electrons, to increase the efficiency of excitation. Ex. 1102 ¶ 142.
`
`In its Preliminary Response, Zond counters that the combination of
`
`the cited prior art references does not teach or suggest the “magnetic field”
`
`claim limitations. Prelim. Resp. 44–45. In particular, Zond argues that
`
`Iwamura does not have a magnet, and Angelbeck does not trap electrons
`
`near ground state atoms. Id.
`
`Zond’s arguments, however, do not address what is taught or
`
`suggested by the combination of cited prior art references. Nonobviousness
`
`cannot be established by attacking references individually where, as here,
`
`the ground of unpatentability is based upon the teachings of a combination
`
`of references. In re Keller, 642 F.2d 413, 426 (CCPA 1981). Rather, the
`
`test for obviousness is whether the combination of references, taken as a
`
`whole, would have suggested the patentees’ invention to a person having
`
`ordinary skill in the art. In re Merck & Co., Inc., 800 F.2d 1091, 1097
`
`(Fed. Cir. 1986). As discussed above, GlobalFoundries relies upon the
`
`combination of Iwamura, Angelbeck, and Pinsley to teach or suggest the
`
`20
`
`

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`IPR2014-01076
`Patent 6,805,779 B2
`
`
`“magnetic field” claim limitations. Pet. 52–55. As such, we are not
`
`persuaded by Zond’s arguments.
`
`In addition, Zond does not dispute that it was well known in the art at
`
`the time of the invention to use a magnet in a plasma apparatus for trapping
`
`electrons. Indeed, the admitted prior art, Figure 1 of the ’779 patent,
`
`describes magnet 130 that generates magnetic field 132 to trap electrons.
`
`Ex. 1101, 3:13–15. As GlobalFoundries points out, Pinsley and Angelbeck
`
`confirm that one of ordinary skill in the art would have recognized that
`
`applying a transverse magnetic field in a plasma apparatus would trap
`
`electrons. Pet. 53–55 (citing, e.g., Ex. 1105, 2:43–60; Ex. 1106, 1:36–41,
`
`2:18–20, 2:50–51, 2:66–67, Fig. 1).
`
`Notably, Pinsley discloses a plasma generating apparatus having a
`
`magnetic field for trapping electrons. Ex. 1105, 1:51–54, 2:43–47.
`
`Pinsley’s sole Figure, reproduced below, illustrates a plasma generating
`
`apparatus with magnets.
`
`As shown in Pinsley’s sole Figure, conduit 10 includes anode 18 and
`
`cathode 19, for establishing an electric discharge plasma, as well as magnets
`
`
`
`21
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`

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`IPR2014-01076
`Patent 6,805,779 B2
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`
`24 and 26, for generating a magnetic field. Id. at 2:27–42. According to
`
`Pinsley, “the interaction between the current and the magnetic field will
`
`result in an upstream force as indicated by the force vector 32.” Id. at 2:43–
`
`45. “This force is exerted upon the electrons, and tends to maintain the
`
`electrons in an area between the anode and cathode,” trapping the electrons.
`
`Id. at 2:45–47 (emphasis added).
`
`More importantly, Angelbeck discloses applying a transverse
`
`magnetic field in a plasma generating apparatus for creating a high density
`
`of excited atoms. Ex. 1106, 1:36–41, 2:18–20, 2:29–33. Figure 1 of
`
`Angelbeck, reproduced below, illustrates a plasma generating apparatus with
`
`a magnet.
`
`
`
`As show

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