`Trials@uspto.gov
`571-272-7822
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` Entered: August 14, 2015
`
`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,
`Petitioner,
`
`v.
`
`ZOND, LLC,
`Patent Owner.
`____________
`
`Case IPR2014-010861
`Patent 7,147,759 B2
`____________
`
`
`
`Before KEVIN F. TURNER, DEBRA K. STEPHENS, JONI Y. CHANG,
`SUSAN L.C. MITCHELL, and JENNIFER MEYER CHAGNON,
`Administrative Patent Judges.
`
`Opinion for the Board filed by Administrative Patent Judge Chang.
`
`Opinion Dissenting-in-Part filed by Administrative Patent Judge Stephens.
`
`CHANG, Administrative Patent Judge.
`
`
`
`
`
`FINAL WRITTEN DECISION
`Inter Partes Review
`35 U.S.C. § 318(a) and 37 C.F.R. § 42.73
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`
`1 Case IPR2014-00981 has been joined with the instant inter partes review.
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`IPR2014-01086
`Patent 7,147,759 B2
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`I. INTRODUCTION
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`GLOBALFOUNDRIES U.S., Inc., GLOBALFOUNDRIES Dresden
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`Module One LLC & Co. KG, and GLOBALFOUNDRIES Dresden Module
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`Two LLC & Co. KG (collectively, “the GlobalFoundries entities”) filed a
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`Petition requesting an inter partes review of claims 1, 4, 10–12, 17, 18, and
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`44 of U.S. Patent No. 7,147,759 B2 (Ex. 1001, “the ’759 patent”). Paper 2
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`(“Pet.”). Patent Owner Zond, LLC (“Zond”) filed a Preliminary Response.
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`Paper 8 (“Prelim. Resp.”). Upon consideration of the Petition and
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`Preliminary Response, we instituted the instant trial on October 10, 2014,
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`pursuant to 35 U.S.C. § 314. Paper 11 (“Dec.”).
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`Subsequent to institution, we granted the revised Motion for Joinder
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`filed by The Gillette Company (“Gillette”), joining Case IPR2014-00981
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`with the instant trial.2 Paper 14. Zond filed a Response (Paper 25 (“PO
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`Resp.”)), and GlobalFoundries filed a Reply (Paper 28 (“Reply”)).
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`Oral hearing3 was held on June 8, 2015, and a transcript of the hearing was
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`entered into the record. Paper 35 (“Tr.”).
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`We have jurisdiction under 35 U.S.C. § 6(c). This final written
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`decision is entered pursuant to 35 U.S.C. § 318(a) and 37 C.F.R. § 42.73.
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`For the reasons set forth below, we determine that GlobalFoundries has
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`shown by a preponderance of the evidence that claims 1, 4, 10–12, 17, 18,
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`and 44 of the ’759 patent are unpatentable under 35 U.S.C. § 103(a).
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`2 In this Decision, we refer to the GlobalFoundries entities (the original
`Petitioner) and Gillette as “GlobalFoundries,” for efficiency.
`3 The oral arguments for this review and the following inter partes reviews
`were consolidated: IPR2014-00781, IPR2014-00782, IPR2014-00800,
`IPR2014-00802, IPR2014-00805, IPR2014-01083, and IPR2014-01087.
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`A. Related District Court Proceedings
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`The parties indicate that the ’759 patent was asserted in Zond, LLC v.
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`Advanced Micro Devices, Inc., No.1:13-cv-11577-DPW (D. Mass.), and
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`identify other proceedings in which Zond asserted the ’759 patent. Paper 5;
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`Ex. 1034.
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`
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`B. The ’759 Patent
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`The ’759 patent relates to a high-power pulsed magnetron sputtering
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`apparatus. Ex. 1001, Abs. At the time of the invention, sputtering was a
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`well-known technique for depositing films on semiconductor substrates. Id.
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`at 1:6–13. The ’759 patent indicates that prior art magnetron sputtering
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`systems deposit films having low uniformity and poor target utilization—the
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`target material erodes in a non-uniform manner. Id. at 1:55–62. To address
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`these problems, the ’759 patent discloses that increasing the power applied
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`between the target and anode can increase the amount of ionized gas and,
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`therefore, increase the target utilization. Id. at 2:60–62. However,
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`increasing the power also “increases the probability of establishing an
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`undesirable electrical discharge (an electrical arc) in the process chamber.”
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`Id. at 2:63–67.
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`According to the ’759 patent, forming a weakly-ionized plasma
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`substantially eliminates the probability of establishing a breakdown
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`condition in the chamber when high-power pulses are applied between the
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`cathode and anode. Id. at 7:17–21. Once the weakly-ionized plasma is
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`formed, high-power pulses are applied between the cathode and anode to
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`generate a strongly-ionized plasma from the weakly-ionized plasma. Id. at
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`7:27–30, 7:65–66.
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`C. Illustrative Claim
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`Of the challenged claims, claim 1 is the only independent claim.
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`Claims 4, 10, 11, 12, 17, 18, and 44 depend, directly or indirectly, from
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`claim 1. Claim 1, reproduced below, is illustrative:
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`1. A magnetically enhanced sputtering source comprising:
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`a) an anode;
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`b) a cathode assembly that is positioned adjacent to the anode,
`the cathode assembly including a sputtering target;
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`c) an ionization source that generates a weakly-ionized plasma
`proximate to the anode and the cathode assembly;
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`d) a magnet that is positioned to generate a magnetic field
`proximate to the weakly-ionized plasma, the magnetic field
`substantially trapping electrons in the weakly-ionized plasma
`proximate to the sputtering target; and
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`e) a power supply generating a voltage pulse that produces an
`electric field between the cathode assembly and the anode, the
`power supply being configured to generate the voltage pulse
`with an amplitude and a rise time that increases an excitation
`rate of ground state atoms that are present in the weakly-
`ionized plasma to create a multi-step ionization process that
`generates a strongly-ionized plasma, which comprises ions that
`sputter target material, from the weakly-ionized plasma, the
`multi-step ionization process comprising exciting the ground
`state atoms to generate excited atoms, and then ionizing the
`excited atoms within
`the weakly-ionized plasma without
`forming an arc discharge.
`
`Ex. 1001, 21:22–48 (emphases added).
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`D. Prior Art Relied Upon
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`GlobalFoundries relies upon the following prior art references:
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`
`
`Wang
`Müller-Horsche
`Kobayashi
`
`
`
`US 6,413,382 B1 July 2, 2002
`US 5,247,531
`Sept. 21, 1993
`US 5,968,327
`Oct. 19, 1999
`
`(Ex. 1005)
`(Ex. 1021)
`(Ex. 1022)
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`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. 1003, “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. 1004, “Kudryavtsev”).
`
`D.V. Mozgrin, High-Current Low-Pressure Quasi-Stationary
`Discharge in a Magnetic Field: Experimental Research, Thesis at
`Moscow Engineering Physics Institute (1994) (Ex. 1018, “Mozgrin
`Thesis”).4
`
`Quan Li et al., Low-Temperature Magnetron Sputter-Deposition,
`Hardness, and Electrical Resistivity of Amorphous and Crystalline
`Alumina Thin Films, 18 J. VAC. SCI. TECH. A 2333–38 (2000) (Ex. 1020,
`“Li”).
`
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`E. Grounds of Unpatentability
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`We instituted the instant trial based on the following grounds of
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`unpatentability (Dec. 29):
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`Claims
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`Basis
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`References
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`1, 4, 10, 12
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`§ 103(a) Wang and Kudryavtsev
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`11
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`§ 103(a) Wang, Kudryavtsev, and Li
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`4 The Mozgrin Thesis is a Russian-language reference. The citations to the
`Mozgrin Thesis are to the certified English-language translation (Ex. 1017).
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`Claims
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`Basis
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`References
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`17
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`18
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`44
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`§ 103(a) Wang, Kudryavtsev, and Müller-Horsche
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`§ 103(a) Wang, Kudryavtsev, and Kobayashi
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`§ 103(a) Wang, Kudryavtsev, and the Mozgrin Thesis
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`II. ANALYSIS
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`A. Claim Construction
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`In an inter partes review, claim terms in an unexpired patent are given
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`their broadest reasonable construction in light of the specification of the
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`patent in which they appear. 37 C.F.R. § 42.100(b); see also In re Cuozzo
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`Speed Techs., LLC, No. 2014-1301, 2015 WL 2097949, at *5–8 (Fed. Cir.
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`July 8, 2015) (“Congress implicitly approved the broadest reasonable
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`interpretation standard in enacting the AIA,”5 and “the standard was
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`properly adopted by PTO regulation.”). Significantly, claims are not
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`interpreted in a vacuum but are part of, and read in light of, the
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`specification. United States v. Adams, 383 U.S. 39, 49 (1966) (“[I]t is
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`fundamental that claims are to be construed in the light of the specifications
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`and both are to be read with a view to ascertaining the invention.”). Claim
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`terms are given their ordinary and customary meaning as would be
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`understood by one of ordinary skill in the art in the context of the entire
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`disclosure. In re Translogic Tech., Inc., 504 F.3d 1249, 1257 (Fed. Cir.
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`2007). An inventor may rebut that presumption by providing a definition of
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`the term in the specification with “reasonable clarity, deliberateness, and
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`5 The Leahy-Smith America Invents Act, Pub. L. No. 11229, 125 Stat. 284
`(2011) (“AIA”).
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`precision.” In re Paulsen, 30 F.3d 1475, 1480 (Fed. Cir. 1994). In the
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`absence of such a definition, limitations are not to be read from the
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`specification into the claims. In re Van Geuns, 988 F.2d 1181, 1184 (Fed.
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`Cir. 1993).
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`“multi-step ionization process”
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`Claim 1 recites “the multi-step ionization process comprising exciting
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`the ground state atoms to generate excited atoms, and then ionizing the
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`excited atoms within the weakly-ionized plasma without forming an arc
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`discharge.” Ex. 1001, 21:44–48 (emphasis added). Prior to institution, the
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`parties submitted their proposed claim constructions for the claim term
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`“multi-step ionization process.” Pet. 18; Prelim. Resp. 19–20. In the
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`Decision on Institution, we addressed each of the parties’ contentions, and
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`adopted Zond’s proposed construction, in light of the Specification, as the
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`broadest reasonable interpretation. Dec. 12–13; Ex. 1001, 9:18–36. The
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`parties do not challenge any aspect of our claim construction as to this term.
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`PO Resp. 11–13; Reply 1–2. Upon review of the present record, we discern
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`no reason to change our claim construction. We, therefore, construe the
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`claim term “multi-step ionization process” in light of the Specification as
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`“an ionization process having at least two distinct steps.”
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`“weakly-ionized plasma” and “strongly-ionized plasma”
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`Claim 1 recites “the voltage pulse with an amplitude and a rise time
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`that increases an excitation rate of ground state atoms that are present in the
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`weakly-ionized plasma to create a multi-step ionization process that
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`generates a strongly-ionized plasma.” Ex. 1001, 21:38–42 (emphases
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`added). During the pre-trial stage of this proceeding, the parties also
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`submitted their constructions for the claim terms “a weakly-ionized plasma”
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`and “a strongly-ionized plasma.” Pet. 16–17; Prelim. Resp. 17–18. In our
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`Decision on Institution, we adopted Zond’s proposed constructions, in light
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`of the Specification, as the broadest reasonable interpretation. Dec. 10–12;
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`see, e.g., Ex. 1001, 10:3–6 (“This rapid ionization results in a strongly-
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`ionized plasma having a large ion density being formed in an area proximate
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`to the cathode assembly 216.”).
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`Subsequent to institution, notwithstanding that neither Zond, nor its
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`expert witness, expressly challenged our claim constructions as to these
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`terms (PO Resp. 12; Ex. 2005 ¶ 58), Zond improperly attempts to import
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`extraneous limitations into the claim by arguing that specific ion density
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`ranges for these claim terms are required, in connection with the ground of
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`unpatentability based on Wang and Kudryavtsev (PO Resp. 44–45). It is
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`well settled that if a feature is not necessary to give meaning to a claim term,
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`it is “extraneous” and should not be read into the claim. Renishaw PLC v.
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`Marposs Societa’ per Azioni, 158 F.3d 1243, 1249 (Fed. Cir. 1998); E.I. du
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`Pont de Nemours & Co. v. Phillips Petroleum Co., 849 F.2d 1430, 1433
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`(Fed. Cir. 1988).
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`Zond does not direct us to where the Specification provides an explicit
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`definition for these claim terms, nor can we discern one. See Paulsen,
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`30 F.3d at 1480. We also do not share Zond’s view that Dr. Uwe
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`Kortshagen’s cross-examination testimony supports its newly proposed
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`claim constructions, requiring specific ion density ranges. PO Resp. 44
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`(citing Ex. 2010, 44:13–58:12). We observe that the claim terms “weakly-
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`ionized plasma” and “strongly-ionized plasma” are relative terms, and that
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`Dr. Kortshagen’s cross-examination testimony merely points out that one
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`with ordinary skill in the art possibly could have ascertained the claim scope
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`with reasonable certainty when reading the claims in light of the
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`Specification. See Ex. 2010, 44:13–58:12.
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`Moreover, Zond’s newly proposed constructions that require specific
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`ion density ranges would render at least the limitation recited in dependent
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`claim 33 superfluous. Ex. 1001, 23:35–38 (“The method of claim 20
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`wherein the peak plasma density of the strongly-ionized plasma is greater
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`than about 1012 cm-3.”). It is well settled that “claims are interpreted with an
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`eye toward giving effect to all terms in the claim.” Bicon Inc. v. Straumann
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`Co., 441 F.3d 945, 950 (Fed. Cir. 2006); see also Stumbo v. Eastman
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`Outdoors, Inc., 508 F.3d 1358, 1362 (Fed. Cir. 2007) (denouncing claim
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`constructions that render phrases in claims superfluous). Concomitantly,
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`“[i]t is improper for courts to read into an independent claim a limitation
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`explicitly set forth in another claim.” Envtl. Designs, Ltd. v. Union Oil Co.
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`of Cal., 713 F.2d 698, 699 (Fed. Cir. 1983).
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`For the foregoing reasons, we decline to adopt Zond’s newly proposed
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`constructions that require specific ion density ranges. Rather, upon
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`consideration of the parties’ explanations and supporting evidence before us,
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`we discern no reason to change our claim constructions set forth in the
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`Decision on Institution with respect to these claim terms, which adopted
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`Zond’s originally proposed constructions. Dec. 12. Therefore, for purposes
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`of this Final Written Decision, we construe, in light of the Specification, the
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`claim term “a weakly-ionized plasma” as “a plasma with a relatively low
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`peak density of ions,” and the claim term “a strongly-ionized plasma” as “a
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`plasma with a relatively high peak density of ions.”
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`“without forming an arc discharge”
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`Claim 1 recites, among other things, the following limitation:
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`the multi-step ionization process comprising exciting the
`ground state atoms to generate excited atoms, and then ionizing
`the excited atoms within the weakly-ionized plasma without
`forming an arc discharge.
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`Ex. 1001, 21:43–48 (emphasis added).
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`As we explained previously in the Decision on Institution (Dec. 23–
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`24), neither the Specification nor the original disclosure of the ’759 patent
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`recites the claim term “without forming an arc discharge.” Rather, they
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`merely disclose a process that reduces or substantially eliminates the
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`possibility of arcing.
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`For instance, the Specification of the ’759 patent discloses:
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`The partially ionized gas is also referred to as a weakly-ionized
`plasma or a pre-ionized plasma. As described herein, the
`formation of weakly-ionized plasma substantially eliminates
`the possibility of creating a breakdown condition when high-
`power pulses are applied to the weakly-ionized plasma. The
`substantially
`suppression of
`this breakdown condition
`eliminates the occurrence of undesirable arcing in the chamber
`202.
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`Id. at 11:54–64 (emphases added).
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`As previously discussed, the weakly-ionized or pre-ionized
`plasma reduces or substantially eliminates the possibility of
`establishing a breakdown condition in the chamber 202 when
`high-power pulses are applied to the plasma.
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`Id. at 15:49–53 (emphasis added).
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`In its Responses, Zond argues that the claim term “without forming an
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`arc discharge,” should not be construed as “reduces or substantially
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`eliminates the possibility of arcing.” PO Resp. 22, 46–47. Zond alleges that
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`such a construction would not be consistent with the plain and ordinary
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`meaning of the word “without,” essentially urging that the claim term be
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`construed as absolutely no arcing. Id. Zond also alleges that the disputed
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`term cannot mean a mere reduction in the number of arc discharges. Id.
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`Although Zond proffers examples of a young boy ordering ice cream
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`without sprinkles and a customer ordering a hamburger without cheese (id.
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`at 46–47), Zond does not explain adequately why one with ordinary skill in
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`the plasma art would have interpreted the claim term “without forming an
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`arc discharge,” in light of the Specification, to require the ionization of
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`excited atoms be performed completely free of arcing. See In re NTP, Inc.,
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`654 F.3d 1279, 1288 (Fed. Cir. 2011) (stating that the Board’s claim
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`construction “cannot be divorced from the specification and the record
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`evidence”); see also In re Cortright, 165 F.3d 1353, 1358 (Fed. Cir. 1999)
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`(stating that the Board’s claim construction “must be consistent with the one
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`that those skilled in the art would reach”). Nor does Zond direct our
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`attention to credible evidence that would support its attorney’s arguments
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`regarding the disputed claim term at issue. See PO Resp. 46–47.
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`One with ordinary skill in the art would have recognized that, unlike
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`ice cream sprinkles or cheese that can be avoided altogether simply by not
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`adding them, electrical arcing in a real-world plasma sputtering apparatus
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`occurs naturally under certain processing conditions. Dr. Lawrence J.
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`Overzet testifies that “I expect that arcing will not be wholly eliminated in
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`sputtering systems and arc-arrestor circuitry in the power supplies will
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`continue to be required,” and that “[t]here are multiple reasons why arcing
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`may occur, and while the multi-step ionization process disclosed in the ’759
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`patent may reduce or substantially eliminate the possibility of arcing, arcing
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`may still occur during certain instances.” Ex. 1036 ¶¶ 31, 70–71. We credit
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`that the testimony of Dr. Overzet as it is consistent with the Specification of
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`the ’759 patent. Ex. 1001, 11:54–64, 15:49–53.
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`It is well settled that “[a] claim construction that excludes the
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`preferred embodiment is rarely, if ever, correct and would require highly
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`persuasive evidentiary support.” Adams Respiratory Therapeutics, Inc. v.
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`Perrigo Co., 616 F.3d 1283, 1290 (Fed. Cir. 2010). A construction that
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`excludes all disclosed embodiments, as urged by Zond here, is especially
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`disfavored. MBO Labs., Inc. v. Becton, Dickinson & Co., 474 F.3d 1323,
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`1333 (Fed. Cir. 2007). In short, claim construction requires claim terms to
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`be read so that they encompass the very preferred embodiment they
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`describe, i.e., formation of a weakly-ionized or pre-ionized plasma in a
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`multi-step ionization process. See On-Line Techs., Inc. v. Bodenseewerk
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`Perkin-Elmer, 386 F.3d 1133, 1138 (Fed. Cir. 2004).
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`Here, nothing in the Specification indicates that no arcing occurs
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`when the excited atoms are ionized within the weakly-ionized plasma.
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`Rather, it explicitly states that “the formation of weakly-ionized plasma
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`substantially eliminates the possibility of creating a breakdown condition
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`when high-power pulses are applied to the weakly-ionized plasma,” and “the
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`suppression of this breakdown condition substantially eliminates the
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`occurrence of undesirable arcing in the chamber.” Ex. 1001, 11:58–63
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`(emphases added). Given the disclosure in the Specification, we decline to
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`adopt Zond’s proposed construction—absolutely no arcing—because it
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`would be unreasonable to exclude the disclosed embodiments. See Phillips
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`v. AWH Corp., 415 F.3d 1303, 1315 (Fed. Cir. 2005) (en banc) (stating that
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`the Specification is “the single best guide to the meaning of a disputed
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`term”). Instead, we construe the claim term “without forming an arc
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`discharge” as “substantially eliminating the possibility of arcing,” consistent
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`with an interpretation that one of ordinary skill in the art would reach when
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`reading the claim term in the context of the Specification.
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`B. Principles of Law
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`A patent claim is unpatentable under 35 U.S.C. § 103(a) if the
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`differences between the claimed subject matter and the prior art are such that
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`the subject matter, as a whole, would have been obvious at the time the
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`invention was made to a person having ordinary skill in the art to which said
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`subject matter pertains. KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 406
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`(2007). The question of obviousness is resolved on the basis of underlying
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`factual determinations including: (1) the scope and content of the prior art;
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`(2) any differences between the claimed subject matter and the prior art;
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`(3) the level of ordinary skill in the art; and (4) objective evidence of
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`nonobviousness. Graham v. John Deere Co., 383 U.S. 1, 17–18 (1966). In
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`that regard, an obviousness analysis “need not seek out precise teachings
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`directed to the specific subject matter of the challenged claim, for a court
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`can take account of the inferences and creative steps that a person of
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`ordinary skill in the art would employ.” KSR, 550 U.S. at 418; Translogic,
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`504 F.3d at 1259. The level of ordinary skill in the art is reflected by the
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`prior art of record. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed.
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`Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995); In re
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`Oelrich, 579 F.2d 86, 91 (CCPA 1978).
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`We analyze the asserted grounds of unpatentability in accordance with
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`the above-stated principles.
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`C. Claims 1, 4, 10, and 12—Obviousness over the Combination of
`Wang and Kudryavtsev
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`GlobalFoundries asserts that claims 1, 4, 10, and 12 are unpatentable
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`under 35 U.S.C. § 103(a) as obvious over the combination of Wang and
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`Kudryavtsev. Pet. 41–53. In its Petition, GlobalFoundries explains how the
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`combination of the prior art technical disclosures collectively meets each
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`claim limitation and articulates a rationale to combining the teachings. Id.
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`GlobalFoundries also submitted a Declaration of Dr. Kortshagen (Ex. 1002)
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`to support its Petition, and a Declaration of Dr. Overzet (Ex. 1036) to
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`support its Reply to Zond’s Patent Owner Response.
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`Zond responds that the combination of Wang and Kudryavtsev does
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`not disclose every claim element. PO Resp. 34–51. Zond also argues that
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`there is insufficient reason to combine the technical disclosures of Wang and
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`Kudryavtsev. Id. at 22–34. To support its contentions, Zond proffers a
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`Declaration of Dr. Larry D. Hartsough (Ex. 2005).
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`We have reviewed the entire record before us, including the parties’
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`explanations and supporting evidence presented during this trial. We begin
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`our discussion with a brief summary of Wang and Kudryavtsev, and then we
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`address the parties’ contentions in turn.
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`Wang
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`Wang discloses a power pulsed magnetron sputtering apparatus for
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`generating a very high plasma density. Ex. 1005, Abs. Wang also discloses
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`a sputtering method for depositing metal layers onto advanced
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`semiconductor integrated circuit structures. Id. at 1:4–15.
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`Figure 1 of Wang, reproduced below, illustrates a magnetron
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`sputtering system:
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`As shown in Figure 1 of Wang, magnetron sputtering apparatus 10
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`includes anode 24, cathode 14, magnet assembly 40, and pulsed DC power
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`supply 80, as well as pedestal 18 for supporting semiconductor substrate 20.
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`Id. at 3:57–4:55. According to Wang, the apparatus is capable of creating
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`high density plasma in region 42, which ionizes a substantial fraction of the
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`sputtered particles into positively charged metal ions and also increases the
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`sputtering rate. Id. at 4:13–34. Magnet assembly 40 creates a magnetic field
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`near target 14, which traps electrons from the plasma to increase the electron
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`density. Id. at 4:23–27. Wang further recognizes that, if a large portion of
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`the sputtered particles are ionized, the films are deposited more uniformly
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`and effectively—the sputtered ions can be accelerated towards a negatively
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`charged substrate, coating the bottom and sides of holes that are narrow and
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`deep. Id. at 1:24–29.
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`Figure 6 of Wang, reproduced below, illustrates how the apparatus
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`applies a pulsed power to the plasma:
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`As shown in Figure 6 of Wang, the target is maintained at background
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`power level PB between high power pulses 96 with peak power level PP. Id.
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`at 7:13–39. Background power level PB exceeds the minimum power
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`necessary to support a plasma in the chamber at the operational pressure
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`(e.g., 1 kW). Id. Peak power PP is at least 10 times (preferably 100 or 1000
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`times) background power level PB. Id. The application of high peak power
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`PP causes the existing plasma to spread quickly, and increases the density of
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`the plasma. Id. According to Dr. Kortshagen, Wang’s apparatus generates a
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`low-density (weakly-ionized) plasma during the application of background
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`power PB, and a high-density plasma during the application of peak power
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`PP. Ex. 1002 ¶¶ 127, 136–137.
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`Kudryavtsev
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`Kudryavtsev discloses a multi-step ionization plasma process, exciting
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`the ground state atoms to generate excited atoms, and then ionizing the
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`excited atoms. Ex. 1004, Abs., Figs. 1, 6. Figure 1 of Kudryavtsev,
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`reproduced below (with annotations added by GlobalFoundries (Pet. 27)),
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`illustrates the atomic energy levels during the slow and fast stages of
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`ionization:
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`As shown in annotated Figure 1 of Kudryavtsev, ionization occurs
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`with a “slow stage” (Fig. 1a) followed by a “fast stage” (Fig. 1b). During
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`the initial slow stage, direct ionization provides a significant contribution to
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`the generation of plasma ions (arrow Γ1e showing ionization (top line labeled
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`“e”) from the ground state (bottom line labeled “1”)). Dr. Kortshagen
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`explains that Kudryavtsev shows the rapid increase in ionization once
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`multi-step ionization becomes the dominant process. Ex. 1002 ¶ 81.
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`Indeed, Kudryavtsev discloses:
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`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.
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`Ex. 1004, 31 (emphasis added). Kudryavtsev also recognizes that “in a
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`pulsed inert-gas discharge plasma at moderate pressures . . . [i]t is shown
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`that the electron density increases explosively in time due to accumulation of
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`atoms in the lowest excited states.” Id. at 30, Abs., Fig. 6.
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`Increasing excitation rate
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`GlobalFoundries relies upon Wang to disclose all of the structural
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`limitations expressly recited in claims 1, 4, 10, and 12—namely, a
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`magnetically enhanced sputtering apparatus that includes: (1) an anode;
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`(2) a cathode assembly that is positioned adjacent to the anode, the cathode
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`assembly including a sputtering target; (3) an ionization source;
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`(4) a magnet; (5) a power supply generating a voltage pulse; (6) substrate
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`support; and (7) a bias voltage power supply. Pet. 41–53. Indeed, Wang
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`discloses these structural claim features, as well as their functionalities.
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`See, e.g., Ex. 1005, Abs., Fig. 1. For instance, Wang discloses a variable DC
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`power supply (an ionization source) that is connected to the sputtering
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`target, supplying a constant negative voltage to the target to generate a
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`weakly-ionized plasma. Id. at 7:56–61, Figs. 6, 7.
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`The parties’ dispute mainly centers on: (1) whether the prior art
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`combination renders obvious the effect or result limitations—the purportedly
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`improved plasma characteristics resulted from applying a voltage pulse to a
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`weakly-ionized plasma; and (2) whether GlobalFoundries has articulated a
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`reason with rational underpinning why one with ordinary skill in the art
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`would have combined the prior art teachings. For example, claim 1 recites
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`“the power supply being configured to generate the voltage pulse . . . that
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`increases an excitation rate of ground state atoms.” Ex. 1001, 21:35–46
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`(emphasis added). GlobalFoundries relies upon Wang to disclose a pulsed
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`power supply that generates a series of voltage pulses, applying peak power
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`pulses to a weakly-ionized plasma. Pet. 45–46 (citing Ex. 1005, 7:61–62,
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`Fig. 7). Although Wang discloses the claimed structure (a power supply)
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`performing the claimed function (applying a voltage pulse to a
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`weakly-ionized plasma to increase the density of the plasma quickly without
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`arcing) (Ex. 1005, 7:1–8:13, Figs. 6, 7), Wang does not describe expressly
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`increasing excitation rate of the ground state atoms.
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`Nevertheless, GlobalFoundries asserts that Wang’s disclosed power
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`levels of the power pulses fall within the ranges disclosed in the ’759 patent,
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`and, therefore, “Wang is as likely as the ’759 patent to increase the
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`excitation rate of ground state atoms within the weakly-ionized plasma and
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`to cause multi-step ionization.” Pet. 47 (citing Ex. 1001, Fig. 5; Ex. 1005,
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`7:19–25). Dr. Overzet testifies (Ex. 1036 ¶ 83) and Zond’s expert,
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`Dr. Hartsough, confirms (Ex. 1038, 99:14–23) that “the ionization rate of the
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`strongly-ionized plasma is higher than that in the weakly-ionized plasma.”
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`Dr. Overzet further testifies that when generating a strongly-ionized plasma
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`from a weakly-ionized plasma, the ionization rate will increase. Ex. 1036
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`¶ 83.
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`GlobalFoundries further alleges that, even if Wang does not disclose
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`an increase in ionization rate, it would have been obvious, in light of
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`Kudryavtsev’s teaching of an “explosive increase” in plasma density, to
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`adjust Wang’s operating parameters to trigger a fast stage of ionization.
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`Pet. 47–49. According to GlobalFoundries, triggering such a fast stage of
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`ionization in Wang’s apparatus would increase plasma density, thereby
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`increasing the sputtering rate, and reducing the time required to reach a
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`given plasma density. Id.
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`Zond counters that GlobalFoundries fails to demonstrate that one with
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`ordinary skill in the art would have combined the systems of Wang and
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`Kudryavtsev to achieve the claimed invention with reasonable expectation of
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`success or predictable results. PO Resp. 14–34. In particular, Zond
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`contends that GlobalFoundries does not take into consideration the
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`substantial, fundamental structural differences between the systems of Wang
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`and Kudryavtsev—e.g., pressure, chamber geometry, gap dimensions, and
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`magnetic fields. Id. at 22–34 (citing, e.g., Ex. 1004, 32; Ex. 2005 ¶ 102;
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`Ex. 1005, 4:35–37, Fig. 1). Zond also argues that GlobalFoundries fails to
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`provide experimental data or other objective evidence to show that Wang’s
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`system as modified would produce the claimed result. Id. at 32–34
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`(citing Epistar v. Trs. of Boston Univ., Case IPR2013-00298 (PTAB Nov.
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`15, 2013) (Paper 18)).
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`In its Reply, GlobalFoundries responds that Zond’s arguments focus
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`on bodily incorporating one system into the other. Reply 2–9.
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`GlobalFoundries alleges that Zond improperly attempts to tie Kudryavtsev’s
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`model on plasma characteristics to the particular dimensions and
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`components of the apparatus used in the experiments that support
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`Kudryavtsev’s model. Id. at 2, 6. According to Globa