`
`Filed on behalf of GLOBALFOUNDRIES US, Inc., GLOBALFOUNDRIES
`Dresden Module One LLC & CO. KG, GLOBALFOUNDRIES Dresden Module
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`Two LLC & CO. KG
`
`By: David M. Tennant, Reg. No. 48,362
`White & Case LLP
`
`701 Thirteenth Street, NW
`
`Washington, DC 20005
`Tel: (202) 626-3684
`Email: dtennant@whitecase.com
`
`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
`
`Petitioner
`
`V.
`
`ZOND, INC.
`Patent Owner
`
`Case No.
`
`PETITION FOR INTER PARTES REVIEW OF
`
`US. PATENT NO. 7,147,759
`CHALLENGING CLAIMS 2, 3, 5-9, 13-16, 19, 41—43 AND 45
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`TABLE OF CONTENTS
`
`I. Mandatory Notices ............................................................................................ l
`
`A. Real Party—in—Interest .................................................................................... 1
`
`B. Related Matters ............................................................................................. l
`
`C.
`
`D.
`
`Counsel ......................................................................................................... l
`
`Service Information ...................................................................................... 1
`
`. II. Certification of Grounds for Standing .............................................................. 2
`
`III. Overview of Challenged and Relief Requested ............................................... 2
`
`A.
`
`Prior Art Patents and Printed Publications ................................................... 2
`
`B. Grounds for Challenge ................................................................................. 3
`
`IV. Brief Description of Technology ..................................................................... 4
`
`A.
`
`Plasma ........................................................................................................... 4
`
`B.
`
`Ions and Excited Atoms ................................................................................ 5
`
`V. Overview of the ‘759 Patent ............................................................................. 6
`
`A.
`
`B.
`
`Summary of Alleged Invention of the ’759 Patent ...................................... 6
`
`Prosecution History ...................................................................................... 7
`
`1.
`
`The Patent Owner mischaracterized the prior art Mozgrin reference ....... 7
`
`2. Adding the “without forming an arc” limitation resulted in allowance... 7
`
`VI. Overview of the Primary Prior Art References ............................................... 8
`
`A.
`
`Summary of the Prior Art ............................................................................. 8
`
`B. Overview of Mozgrin ................................................................................... 9
`
`1.
`
`Summary .................................................................................................... 9
`
`2. Mozgrin teaches avoiding arcs .............~................................................... 11
`
`C. Overview of Kudryavtsev ........................................................................... 12
`
`D. Overview of Wang...................................................................................... 13
`
`VII.
`
`Claim Construction ..................................................................................... 14
`
`A.
`
`'B.
`
`“weakly—ionized plasma” and “strongly-ionized plasma” ......................... 15
`
`“multi-step ionization process” .................................................................. 16
`
`VIII.
`
`Specific Grounds for Petition ..................................................................... 18
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`A. Ground I: Claims 2, 3, 5—9, 13-16, 19, 41—43 and 45 are obvious in view of
`the combination of Mozgrin and Kudryavtsev ................................................... 18
`
`1.
`
`Independent claim 1 ................................................................................ 19
`
`2. Dependent claims 2, 3, 5—9, 13-16, 19, 41-43 and 45 are obvious in View
`of the combination of Mozgrin and Kudryavtsev ........................................... 31
`
`B. Ground II: Claims 2, 3, 5—9, 13-15, 19 and 41-43 are obvious in View of
`the combination of Wang and Kudryavtsev ........................................................ 42
`
`1.
`
`Independent claim 1 ................................................................................ 42
`
`2. Dependent claims 2, 3, 5-9, 13—15, 19 and 41-43 are obvious in View of
`the combination of Wang and Kudryavtsev .................................................... 51
`
`C. Ground III: Claims 16 and 45 are obvious in view of the combination of
`
`Wang, Kudryavtsev and Mozgrin ....................................................................... 58
`
`IX. Conclusion ..................................................................................................... 60
`
`ii
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`TABLE OF AUTHORITIES
`
`In re ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007).
`
`37 CPR. §42.22(a)(1)
`
`37 C.F.R. § 42.100(b)
`
`37 CPR. §42.104(a)
`
`37 CPR. §42.104(b)(1)—(5)
`
`77 Fed. Reg. 48764 (Aug. 14, 2012).
`
`iii
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`I.
`
`MANDATORY NOTICES
`
`A.
`
`Real Party-in-Interest
`
`GLOBALFOUNDRIES U.S., Inc., GLOBALFOUNDRIES Dresden Module
`
`One LLC & Co. KG, GLOBALFOUNDRIES Dresden Module Two LLC & Co.
`
`KG (collectively, “Petitioner”) are the real parties—in-interest.
`
`B.
`
`Related Matters
`
`Zond has asserted US. Patent No. 7,147,759 (“’759 Patent”) (EX. 1101)
`
`against numerous parties in the District of Massachusetts. See List of Related
`
`Litigations (Ex. 1120). Petitioner is also filing additional Petitions for Inter
`
`Partes review in several patents that name the same alleged inventor. The below—
`
`listed claims of the ’759 Patent are presently the subject of two substantially
`
`identical petitions for inter partes review with Case Nos. IPR2014-00444 and
`
`IPR2014-00984. Petitioner plans to seek joinder with IPR2014—00444.
`
`C.
`
`Counsel
`
`Lead Counsel: David M. Tennant (Reg. No. 48,362)
`
`Backup Counsel: Dohm Chankong (Reg. No. 70,524)
`
`D.
`
`Service Information
`
`Pursuant to 37 C.F.R. § 42.8(b)(4), papers concerning this matter should be
`
`served on the following. Petitioner consents to electronic service.
`
`David M. Tennant (Reg. No. 48,362)
`
`E-mail:
`
`dtennant@whitecase.com
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`Post and hand delivery: White & Case LLP
`
`701 Thirteenth Street, NW
`
`Washington, DC 20005
`
`Telephone: (202) 626-3684
`
`Fax: (202) 639-9355
`
`II.
`
`CERTIFICATION OF GROUNDS FOR STANDING
`
`Petitioner certifies pursuant to Rule 42.104(a) that the patent for which
`
`review is sought is available for inter partes review and that Petitioner is not
`
`barred or estopped from requesting an inter partes review challenging the patent
`
`claims on the grounds identified in this Petition.
`
`III. OVERVIEW OF CHALLENGED AND RELIEF REQUESTED
`
`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)—(2), Petitioner challenges
`
`claims 2, 3, 5—9, 13-16, 19, 41—43 and 45 ofthe ’759 Patent.
`
`A.
`
`Prior Art Patents and Printed Publications
`
`The following references are pertinent to the grounds of unpatentability
`
`explained below: 1
`
`1.
`
`UV. Mozgrin, et a1, High-Current Low-Pressure Quasi-Stationary
`
`Discharge in a Magnetic Field: Experimental Research, Plasma Physics Reports,
`
`1 The ’759 Patent issued prior to the America Invents Act (the “AIA”).
`
`Accordingly, Petitioner has chosen to use the pre-AIA statutory framework to refer
`
`to the prior art.
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`Vol. 21, No. 5, pp. 400—409, 1995 (“Mozgrin” (Ex. 1103)), which is prior art under
`
`102(b).
`
`2.
`
`A. A. Kudryavtsev and V.N. Skerbov, et a1, Ionization relaxation in a
`
`plasma produced by a pulsed inert—gas discharge, Sov. Phys. Tech. Phys. 28(1), pp.
`
`30-35, January 1983 (“Kudryavtsev” (Ex. 1104)), which is prior art under 102(b).
`
`3.
`
`US. Pat. No. 6,413,382 (“Wang” (EX. 1105)), which is prior art under
`
`102(a) and (e).
`
`B.
`
`Grounds for Challenge
`
`Petitioner requests cancellation of claims 2, 3, 5—9, 13-16, 19, 41-43 and 45
`
`of the ’759 Patent as unpatentable under 35 U.S.C. §103. This Petition, supported
`
`by the declaration of Dr. Uwe Kortshagen (“Kortshagen Decl.” (EX. 1102)) filed
`
`herewith,2 demonstrates that there is a reasonable likelihood that Petitioner will
`
`prevail with respect to at least one challenged claim and that each challenged claim
`
`is not patentable.3 See 35 U.S.C. § 314(a).
`
`2 Dr. Kortshagen has been retained by Petitioner. The declaration at Ex. 1102 is a
`
`copy of Dr. Kortshagen’s declaration filed in IPR2014—00444, discussed above.
`
`3 The term “challenged claims” as used herein refers to claims 2, 3, 5—9, 13-16, 19,
`
`41—43 and 45 of the ‘759 Patent. Petitioner seeks to invalidate remaining claims of
`
`the ‘759 Patent in separate petitions.
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`IV. BRIEF DESCRIPTION OF TECHNOLOGY
`
`A.
`
`Plasma
`
`A plasma is a collection of ions, free electrons, and neutral atoms.
`
`Kortshagen Decl. 11 21 (Ex. 1102). The negatively charged free electrons and
`
`positively charged ions are present in roughly equal numbers such that the plasma
`
`as a Whole has no overall electrical charge. The “density” of a plasma refers to the
`
`number of ions or electrons that are present in a unit volume. Kortshagen Decl. 11
`
`21 (Ex. 1102).4
`
`Plasmas had been used in research and industrial applications for decades
`
`before the ‘759 Patent was filed. Kortshagen Decl. 11 22 (Ex. 1102). For example,
`
`sputtering is an industrial process that uses plasmas to deposit a thin film of a
`
`target material onto a surface called a substrate (e.g., silicon wafer during a
`
`semiconductor manufacturing operation). Kortshagen Decl. 11 22 (Ex. 1102). Ions
`
`in the plasma strike a target surface causing ejection of a small amount of target
`
`material. Kortshagen Decl. 11 22 (Ex. 1102). The ejected target material then
`
`forms a film on the substrate. Kortshagen Decl. 11 22 (Ex. 1102).
`
`4 The term “plasma density” and “electron density” are often used interchangeably
`
`because the negatively charged free electrons and positively charged ions are
`
`present in roughly equal numbers in plasmas that do not contain negatively
`
`charged ions or clusters. Kortshagen Decl. 11 21 (Ex. 1102).
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`Under certain conditions, electrical arcing can occur during sputtering.
`
`Kortshagen Decl. 11 23 (Ex. 1102). Arcing is undesirable because it causes
`
`explosive release of droplets from the target that can splatter on the substrate.
`
`Kortshagen Decl. 11 23 (Ex. 1102). The need to avoid arcing while sputtering was
`
`known long before the ‘759 Patent was filed. Kortshagen Decl. 1] 23 (Ex. 1102).
`
`B.
`
`Ions and Excited Atoms
`
`Atoms have equal numbers of protons and electrons. Kortshagen Decl. 11 24
`
`(Ex. 1102). Each electron has an associated energy state. Kortshagen Decl. 1] 24
`
`(Ex. 1102). If all of an atom’s electrons are at their lowest possible energy state,
`
`the atom is said to be in the “ground state.” Kortshagen Decl. 11 24 (Ex. 1102).
`
`On the other hand, 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.”
`
`Kortshagen Decl. 1] 25 (Ex. 1102). Excited atoms are electrically neutral— they
`
`have equal numbers of electrons and protons. Kortshagen Decl. 11 25 (Ex. 1102).
`
`A collision with a free electron (e-) can convert a ground state atom to an excited
`
`atom. Kortshagen Decl. 11 25 (Ex. 1102). For example, the ‘759 Patent uses the
`
`following equation to describe production of an excited argon atom, Ar*, from a
`
`ground state argon atom, Ar. See ‘759 Patent at 9:40 (Ex. 1101).
`
`Ar+e' 9Ar*+e'
`
`An ion is an atom that has become disassociated from one or more of its
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`electrons. Kortshagen Decl. 11 26 (Ex. 1102). A collision between a free, high
`
`energy, electron and a ground state or excited atom can create an ion. Kortshagen
`
`Decl. 1[ 26 (Ex. 1102). For example, the ‘759 Patent uses the following equations
`
`to describe production of an argon ion, Ar+, from a ground state argon atom, Ar, or
`
`an excited argon atom, Ar*. See ‘759 Patent at 3:58 and 9:42 (Ex. 1101).
`
`Ar + e' 9 Ar+ + 2e"
`
`Ar* + e’ 9 Ar+ + 2e'
`
`The production of excited atoms and ions was well understood long before
`
`the ‘759 Patent was filed. Kortshagen Decl. ‘H 27 (Ex. 1102).
`
`V.
`
`OVERVIEW OF THE ‘759 PATENT
`
`A.
`
`Summary of Alleged Invention of the ’759 Patent
`
`The ’759 Patth describes a two-stage sputtering technique in which a so
`
`called strongly-ionized plasma is generated from a weakly-ionized plasma in a
`
`manner that avoids arcing.
`
`More specifically, the claims of the ’759 Patent are directed to an ionization
`
`source that generates a weakly-ionized plasma from a feed gas. A power supply
`
`then applies a specific, high-voltage pulse to the weakly—ionized plasma to
`
`generate a strongly-ionized plasma. The voltage pulse induces a “multi-step
`
`ionization process” in which ground state atoms transition to an excited state
`
`before becoming ionized. The strongly-ionized plasma is generated “without
`
`forming an arc discharge.”
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Parl‘es Review
`
`B.
`
`Prosecution History
`
`The Patent Owner mischaracterized the prior art Mozgrin
`1.
`reference
`
`During prosecution, the Patent Owner asserted that Mozgrin failed to teach
`
`the “without forming an arc discharge” limitation. However, that assertion is
`
`incorrect. Kortshagen Decl. 1] 30 (Ex. 1102). Mozgrin teaches all limitations of
`
`the challenged claims — including “withoutforming an arc discharge. ”
`
`Kortshagen Decl. 11 30 (Ex. 1102). Mozgrin discusses arcs but does so in the
`
`context ofproviding a recipefor avoiding them. Kortshagen Decl. 11 30 (Ex.
`
`1102).
`
`Adding the “without forming an arc” limitation resulted in
`2.
`allowance
`
`Before the Patent Owner narrowed the claims to require “without forming an
`
`arc discharge,” it unsuccessfully argued, three separate times, that other limitations
`
`such as “multi—step ionization” made the claims allowable over Mozgrin. 06/14/04
`
`Resp. at 12 (Ex. 1107); 02/24/05 Resp. at 15 (Ex. 1109); and 10/27/05 RCE at 14
`
`(Ex. 1111). The Examiner was not persuaded by those arguments, correctly noted
`
`that Mozgrin teaches multi-step ionization, and consistently rejected the claims
`
`over Mozgrin even after they had been amended to require “multi-step ionization.”
`
`01/11/06 Office Action at 12 (“. . .Mozgrin does teach a power supply that
`
`generates a pulse that allows the plasma to go through a multi-step ionization.”
`
`(emphasis added)) (Ex. 1112). See also 08/30/04 Office Action (Ex. 1108) and
`
`7
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`05/27/05 Office Action (Ex. 1110).
`
`In an amendment dated May 2, 2006, although the Patent Owner repeated its
`
`previously unsuccessful multi-step ionization argument, the only substantive
`
`difference was addition of the limitation “without forming an arc discharge,” and
`
`the argument that Mozgrin did not teach that limitation. 05/02/06 Resp. at 2, 5, 7
`
`and 13-16 (Ex. 1113). After that amendment and argument, the Examiner allowed
`
`the challenged claims. 5 10/11/2006 Allowance at 2—3 (Ex. 1115).
`
`However, as will be explained in detail below, and contrary to the Patent
`
`Owner’s argument, Mozgrin ’s provides a recipe for avoiding arcing. Kortshagen
`
`Decl. 11 33 (Ex. 1102).
`
`VI. OVERVIEW OF THE PRIMARY PRIOR ART REFERENCES
`
`A.
`
`Summary of the Prior Art
`
`As explained in detail below, limitation—by-limitation, there is nothing new
`
`or non-obvious in the challenged claims of the ‘759 Patent. Kortshagen Decl. 11 34
`
`(Ex. 1102).
`
`5 After “without forming an arc discharge” was added to the claims, the only
`
`remaining rejection, double patenting, was addressed by a terminal disclaimer.
`
`08/28/2006 Response at 2-3 (Ex. 1114).
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`B.
`
`Overview of Mozgrin6
`
`Mozgrin teaches forming a plasma “without forming an arc discharge.”
`
`1 .
`
`Summary
`
`Fig 7. of Mozgrin, copied below, shows the current-voltage characteristic
`
`(“CVC”) of a plasma discharge.
`
`U,V
`500— 1000
`
`
`
`O
`
`15 - 225
`
`1000 — 1800 I, A
`
`Fig. 7. Generalized ampere-voltaic characteristic CVC of
`quasi~stationary discharge.
`
`As shown, Mozgrin divides this CVC into four distinct regions.
`
`Mozgrin calls region 1 “pre—ionization.” Mozgrin at 402, right col, 1] 2 (“Part
`
`1 in the voltage oscillogram represents the voltage of the stationary discharge (pre-
`
`ionization stage).” (emphasis added)) (Ex. 1103). Kortshagen Decl. 11 38 (Ex.
`
`1102).
`
`Mozgrin calls region 2 “high current magnetron discharge.” Mozgrin at 409,
`
`6 As noted in the prosecution history section, the Patent Office used Mozgrin to
`
`reject claims that eventually issued in the’759 Patent.
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`left col, 1 4 (“The implementation of the high-current magnetron discharge
`
`(regime 2)...” (emphasis added)) (Ex. 1103). Kortshagen Decl. 11 39 (EX. 1102).
`
`Application of a high voltage to the pre-ionized plasma causes the transition from
`
`region 1 to 2. Kortshagen Decl. 11 39 (Ex. 1102). Mozgrin teaches that region 2 is
`
`useful for sputtering. Mozgrin at 403, right col, 1 4 (“Regime 2 was characterized
`
`by an intense cathode sputtering. . .”) (Ex. 1103).
`
`Mozgrin calls region 3 “high current diffuse discharge.” Mozgrin at 409, left
`
`col, 1 5, (“The high-current diffuse discharge (regime 3). . .” (emphasis added))
`
`(Ex. 1103). Kortshagen Decl. 11 40 (Ex. 1102). Increasing the current applied to
`
`the “high—current magnetron discharge” (region 2) causes the plasma to transition
`
`to region 3. Kortshagen Decl. 11 40 (Ex. 1102). Mozgrin also teaches that region 3
`
`is useful for etching, i.e., removing material from a surface. Mozgrin at 409, left
`
`col, 1 5 (“The high—current diffuse discharge (regime 3) is useful
`
`Hence, it can
`
`enhance the efficiency of ionic etching. . .”) (Ex. 1103). See also Kortshagen Decl.
`
`11 40 (Ex. 1102).
`
`Mozgrin calls region 4 “are discharge.” Mozgrin at 402, right col, 1 3
`
`(“. . .part 4 corresponds to the high-current low—voltage arc discharge...”
`
`(emphasis added)) (EX. 1103). Kortshagen Decl. 11 41 (Ex. 1102). Further
`
`increasing the applied current causes the plasma to transition from region 3 to the
`
`“arc discharge” region 4. Kortshagen Decl. 11 41 (EX. 1102).
`
`10
`
`
`
`Within its broad disclosure of a range of issues related to sputtering and
`
`etching, Mozgrin describes arcing and how to avoid it. Kortshagen Decl. 11 42 (Ex.
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`1102).
`
`2.
`
`Mozgrin teaches avoiding arcs
`
`As shown in Mozgrin’s Fig. 7 (copied above), if voltage is steadily applied,
`
`and current is allowed to grow, the plasma will eventually transition to the arc
`
`discharge (Mozgrin’s region 4). However, ifthe current is limited, the plasma
`
`will remain in the arc-free regions 2 (sputtering) or 3 (etching). Kortshagen
`
`Decl. 11 43 (Ex. 1102).
`
`Mozgrin is an academic paper and it explores all regions, including the arc
`
`discharge region, so as to fully characterize the plasma. But Mozgrin ’s discussion
`
`ofarcing does not mean that arcing is inevitable. Rather, Mozgrin ’s explanation
`
`ofthe conditions under which arcing occurs provides a recipefor avoiding arcs.
`
`Kortshagen Decl. 1] 44 (Ex. 1102). Mozgrin explicitly notes that arcs can be
`
`avoided. See Mozgrin at 400, left col, 1] 3 (“Some experiments on magnetron
`
`systems of various geometry showed that discharge regimes which do not transit
`
`to arcs can be obtained even at high currents”) (emphasis added) (Ex. 1103). One
`
`of ordinary skill would understand that the arc discharge region should be avoided
`
`during an industrial application, such as sputtering. Kortshagen Decl. 11 44 (Ex.
`
`1102). For example, Plasma Etching: An Introduction, by Manos and Flamm
`
`11
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`(“Manos”), a well-known textbook on plasma processing, which was published in
`
`1989, over a decade before the ‘759 Patent was filed, states that “. . .arcs. .. are a
`
`problem...” Manos at 231 (emphasis added) (Ex. 1106).
`
`One of ordinary skill would further understand that Mozgrin’s arc region can
`
`be avoided by limiting the current as shown in Mozgrin’s Fig. 7. See, e.g.,
`
`Mozgrin at 400, right col, 1] 1 (“A further increase in the discharge currents caused
`
`the discharges to transit to the arc regimes. . .”); 404, left col, 1] 4 (“The parameters
`
`of the shaped-electrode discharge transit to regime 3, as well as the condition of its
`
`transit to are regime 4, could be well determined for every given set of the
`
`discharge parameters”); and 406, right col, 11 3 (“Moreover, pre—ionization wasnot
`
`necessary; however, in this case, the probability of discharge transferring to the arc
`mode increased”) (Ex. 1103). See also Kortshagen Decl. 1] 45 (Ex. 1102).
`
`Mozgrin’s determination of conditions that cause transition to the arc regime
`
`is useful because it teaches one of ordinary skill how to avoid arcs. Kortshagen
`
`Decl. 11 46 (EX. 1102).
`
`C.
`
`Overview of Kudryavtsev
`
`Kudryavtsev is a technical paper that studies the ionization of a plasma with
`
`voltage pulses. See, e.g., Kudryavtsev at 30, left col. 1] 1 (Ex. 1104). In particular,
`
`Kudryavtsev describes how ionization of a plasma can occur via different
`
`processes. The first process is direct ionization, in which ground state atoms are
`
`12
`
`
`
`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
`
`converted directly to ions. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1104).
`
`The second process is multi-step ionization, which Kudryavtsev calls stepwise
`
`ionization. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1104). Kudryavtsev notes
`
`that under certain conditions multi-step ionization can be the dominant ionization
`
`process. See, e.g., Kudryavtsev at Fig. 6 caption (Ex. 1104). Mozgrin took into
`
`account the teachings of Kudryavtsev when designing his experiments. Mozgrin at
`
`401 , 'fl spanning left and right cols. (“Designing the unit, we took into account the
`
`dependences which had been obtained in [Kudryavtsev] . . .”) (Ex. 1103).
`
`Kudryavtsev was not of record during the prosecution of the ’759 Patent.
`
`D.
`
`Overview of Wang7
`
`Wang discloses a pulsed magnetron sputtering device having an anode (24),
`
`a cathode (14), a magnet assembly (40), a DC power supply (100) (shown in Fig.
`
`7), and a pulsed DC power supply (80). See Wang at Figs. 1, 7, 3:57-4:55; 7:56—
`
`8:12 (Ex. 1105). Fig. 6 (annotated and reproduced below) shows a graph of the
`
`power Wang applies to the plasma. The lower power level, PB, is generated by the
`
`DC power supply 100 (shown in Fig. 7) and the higher power level, Pp, is
`
`generated by the pulsed power supply 80. See Wang 7:56-64 (Ex. 1105); see also
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`Kortshagen Decl. 11 49 (Ex. 1102). Wang’s lower power level, PB, maintains the
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`plasma after ignition and application of the higher power level, Pp, raises the
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`7 Wang is art of record, but was not substantively applied during prosecution.
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`l3
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`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
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`density of the plasma. Wang at 7:17—31 (“The background power level, PB, is
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`chosen to exceed the minimum power necessary to support a plasma...
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`[T]he
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`application of the high peak power, Pp, quickly causes the already existing plasma
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`to spread and increases the density of the plasma”) (Ex. 1105). Kortshagen Decl.
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`11 49 (EX. 1102). Wang applies the teachings of Mozgrin and Kudryavtsev in a
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`commercial, industrial plasma sputtering device. Kortshagen Decl. 11 49 (Ex.
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`1102).
`
`Possible
`are
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`I
`I
`
`I
`I
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`:lgnition :
`|
`|
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`No arcing
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`“strongly-ionized plasma"
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`
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`FIG . 6
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`"weakly-ionized plasma”
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`VII. CLAIM CONSTRUCTION
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`A claim in inter partes review is given the “broadest reasonable construction
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`in light of the specification.” 37 C.F.R. § 42.100(b). Any claim term that lacks a
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`14
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`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
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`definition in the specification is therefore also given a broad interpretation.8 In re
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`ICON Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007). The
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`following discussion proposes constructions of and support therefore of those
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`terms. Any claim terms not included in the following discussion are to be given
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`their broadest reasonable interpretation in light of the specification as commonly
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`understood by those of ordinary skill in the art. Moreover, should the Patent
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`Owner, in order to avoid the prior art, contend that the claim has a construction
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`different from its broadest reasonable interpretation, the appropriate course is for
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`the Patent Owner to seek to amend the claim to expressly correspond to its
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`contentions in this proceeding. See 77 Fed. Reg. 48764 (Aug. 14, 2012).
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`A.
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`“weakly-ionized plasma” and “strongly-ionized plasma”
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`The challenged claims recite “weakly-ionized plasma” and “strongly-ionized
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`plasma.” These terms relate to the density of the plasma, i.e., a weakly—ionized
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`plasma has a lower density than a strongly-ionized plasma. Kortshagen Decl. 1] 51
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`(EX. 1102). With reference to Fig. 4, the ‘759 Patent describes forming a weakly-
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`ionized plasma between times t1 and t2 by application of the low power 302 and
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`8 Petitioner adopts the “broadest reasonable construction” standard as required by
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`the governing regulations. 37 C.F.R. § 42.100(b). Petitioner reserves the right to
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`pursue different constructions in a district court, where a different standard is
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`applicable.
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`15
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`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
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`then goes on to describe forming a strongly-ionized plasma by application of
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`higher power 304.
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`‘759 Patent at 10:22-29; 10266-1 1 :4 (Ex. 1101). The ‘759
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`Patent also provides exemplary densities for the weakly—ionized and strongly—
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`ionized plasmas. See ‘759 Patent at claim 32 (“wherein the peak plasma density of
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`the weakly—ionized plasma is less than about 1012 cm”); claim 33 (“wherein the
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`peak plasma density of the strongly-ionized plasma is greater than about
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`1W2mn&U(Ex110D.
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`Thus, the proposed construction for “weakly-ionized plasma” is “a lower
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`density plasma.” Likewise, the proposed construction for “strongly-ionized
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`plasma” is “a higher density plasma.”
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`Petitioner’s proposed construction is consistent with the position the Patent
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`Owner has taken in other jurisdictions. For example, the Patent Owner, when
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`faced with a clarity objection during prosecution of a related European patent
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`application, argued that “it is [sic] would be entirely clear to the skilled man, not
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`just in view of the description, that a reference to a ‘weakly-ionised plasma’ in the
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`claims indicates a plasma having an ionisation level lower than that of a ‘strongly-
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`ionized plasma’ and there can be no lack of clarity.” 04/21/08 Response in EP
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`1560943(Ex.1116)
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`B.
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`“multi-step ionization process”
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`A multi—step ionization process produces ions using at least two steps: (a)
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`16
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`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
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`convert ground state atoms (or molecules) to excited atoms (or molecules); and (b)
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`convert excited atoms (or molecules) to ions. The ‘759 Patent and its file history
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`clearly describe this aspect of a “multi-step ionization process”: “[T]he term
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`‘multi-step’ ionization as used in the present application refers to an ionization
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`process that requires ground state atoms and molecules to transition from the
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`ground state to at least one intermediate excited state before beingfully ionized.”
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`See 05/02/06 Resp. at 11 (Ex. 11 13) (emphasis added). See also ‘759 Patent at
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`9:37—51 (Ex. 1 101). See also Kortshagen Decl. 11 54 (Ex. 1102).
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`Also, during prosecution the Patent Owner argued that multi—step ionization
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`processes must produce a statistically significant amount of ions by this two-step
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`process. 02/24/05 Resp. at 16 (Ex. 1109) (“However, the Applicant submits that
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`the ions in the [prior art] pre-ionized plasma are generated by direction ionization
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`and any ions that are generated by a multi-step ionization process will be
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`statistically insignificant”). See also, e. g, 02/24/05 Resp. at 13, 14, l6, 17 (Ex.
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`1109); and 10/27/05 Resp. at 11, l2, 13, 15 (Ex. 1111) (emphasis added). See also
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`Kortshagen Decl. 11 55 (Ex. 1102).
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`The proposed construction for “multi—step ionization process” is “@
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`ionization process in which a statistically significant portion of the ions are
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`produced by exciting ground state atoms or molecules and then ionizing the
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`excited atoms or molecules.”
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`17
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`U.S. PATENT 7,147,759
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`VIII. SPECIFIC GROUNDS FOR PETITION
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`Pursuant to Rule 42.104(b)(4)-(5), the below sections, and as confirmed in
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`the Kortshagen Decl. 11 57 (Ex. 1102), demonstrate in detail how the prior art
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`discloses each and every limitation of claims 2, 3, 5-9, 13-16, 19, 41-43 and 45 of
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`the ’759 Patent, and how those claims are rendered obvious by the prior art.
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`Claim charts, which were served on the Patent Owner on February 11, 2014
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`in connection with District Court litigation 1:13-cv-11570-RGS, showing that the
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`challenged claims are invalid based on the references relied upon in this Petition, is
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`submitted hereto as Exhibits 1117 — 1119. Dr. Kortshagen has reviewed those
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`charts and agrees with them. See Kortshagen Decl. 1111 58, 59, 126, 176. (Ex.
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`1102).
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`Ground I: Claims 2, 3, 5-9, 13-16, 19, 41-43 and 45 are obvious in
`A.
`View of the combination of Mozgrin and Kudryavtsev
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`A claim chart showing that claims 2, 3, 5-9, 13-16, 19, 41-43 and 45 are
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`obvious in View of the combination of Mozgrin and Kudryavtsev, is submitted
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`hereto as Exhibit 1117 (Ex. 1117).
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`18
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`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
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`1.
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`Independent claim 19
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`a)
`
`The preamble
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`Claim 1 begins, “A magnetically enhanced sputtering source comprising.”
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`MOZgrin discloses a sputtering source. Mozgrin 403, right col, 114 (“Regime 2 was
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`characterized by intense cathode sputtering. . .”) (emphasis added) (Ex. 1103).
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`Further, both configurations shown in Mozgrin’s Fig. 1 include a magnet, labeled
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`3, i.e., they are “magnetically enhanced.” Kortshagen Dec]. 11 60 (EX. 1102).
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`b)
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`Limitations (a) and (b)
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`Limitation (a) of claim 1 reads “an anode.” Limitation (b) of claim 1 reads
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`“a cathode assembly that is positioned adjacent to the anode, the cathode assembly
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`including a sputtering target.”
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`The ‘759 Patent admits that the claimed anode and cathode assembly were
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`well known. Kortshagen Dec]. 11 62 (EX. 1102). For example, the ‘759 Patent
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`shows in prior art Fig. 1 a “cross-sectional View of a known magnetron sputtering
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`apparatus 100...” ‘759 Patent at 3:10-12 (EX. 1101). The known “magnetron
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`sputtering apparatus 100 also includes a cathode assembly 114 having a target
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`material 116.” ‘759 Patent at 3:23-24 (EX. 1101). Moreover, “an anode 130 is
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`9 Petitioner establishes invalidity of claim 1 in another petition. Claim 1 is
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`addressed herein for the purpose of demonstrating invalidity of claims that depend
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`from claim 1.
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`19
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`U.S. PATENT 7,147,759
`Petition for Inter Partes Review
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`positioned in the vacuum chamber 104 proximate to the cathode assembly.” ‘759
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`Patent at 3:40—41 (Ex. 1101).
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`Similarly, Mozgrin’s Fig. 1 shows a cathode labeled “1,” that is adjacent to
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`Mozgrin’s anode “2.” Kortshagen Decl. 11 63 (Ex. 1102). Mozgrin also discloses
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`that its cathode includes a sputtering target. Kortshagen Decl. 11 63 (Ex. 1102).
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`Specifically, Mozgrin discusses sputtering that occurs in Region 2.
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`. Mozgrin at
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`403, right col., 114 (“Regime 2 was characterized by an intense cathode
`
`sputtering. . . .”) (Ex. 1103). In a magnetron, the portion of the cathode that can be
`
`sputtered is the “sputtering target.” See, e.g., Mozgrin at 403, right col, 1 4
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`(“. . .The pulsed deposition rate of the cathode material. . .”) (EX. 1103). See also
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`Kortshagen Decl. 11 63 (Ex. 1102).
`
`c)
`
`Limitation ((3)
`
`Limitation (c) of claim 1 reads, “an ionization source that generates a
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`weakly—ionized plasma proximate to the anode and the cathode assembly.”
`
`The ‘759 Patent uses the terms “weakly—ionized plasma” and “pre—ionized
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`plasma” synonymously.
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`‘759 Patent at 6:30—32 (“The weakly—ionized plasma is
`
`also referred to as a pre-ionized plasma”) (Ex. 1101). Mozgrin’s power supply
`
`(shown in Fig. 2) generates