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`EXHIBIT
`DSS-2007
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`DSS—2 007
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`EXHIBIT
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`______________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`______________
`
`TAIWAN SEMICONDUCTOR MANUFACTURING COMPANY, LTD. (TSMC) and
`SAMSUNG ELECTRONICS CO., LTD (SAMSUNG),
`Petitioners,
`
`v.
`
`DSS TECHNOLOGY MANAGEMENT, INC.
`Patent Owner.
`
`____________
`
`Case IPR2014-010301
`Patent No. 5,625,084
`
`____________
`
`
`
`
`DECLARATION OF DR. CHRIS A. MACK, PH.D.
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`1 Case IPR2014-01493 has been joined with this proceeding.
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`
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`Patent No. 5,652,084
`IPR2014-01030
`_____________________________________________________________________________
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`TABLE OF CONTENTS
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`I.
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`INTRODUCTION ............................................................................................................... 1
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`II.
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`QUALIFICATIONS ............................................................................................................ 1
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`III.
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`INDEPENDENT EXPERT ................................................................................................. 3
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`IV. MATERIALS CONSIDERED ............................................................................................ 3
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`V.
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`APPLICABLE STANDARDS ............................................................................................ 3
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`VI. THE CLAIMED INVENTION ........................................................................................... 4
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`VII. DIFFERENCES BETWEEN THE CLAIMED INVENTION AND JINBO ..................... 9
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`VIII. CONCLUSION ................................................................................................................. 11
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`DECLARATION OF CHRIS A. MACK, PH.D.
`
`
`
`Patent No. 5,652,084
`IPR2014-01030
`_____________________________________________________________________________
`
`
`I, Chris A. Mack, Ph.D., declare as follows:
`
`I.
`
`INTRODUCTION
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`1. I am making this declaration at the request of DSS Technology Management, Inc.
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`(“Patent Owner”) in the matter of the Inter Partes Review Case No. IPR2014-01030 of U.S.
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`Patent No. 5,652,084 (the ‘084 Patent”).
`
`2. I understand that the Patent Trial and Appeal Board (“the Board”) issued a decision
`
`(“Decision”) instituting trial with respect to claims 1-12, 15, and 16 of the ‘084 Patent on the
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`following grounds:
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`(1) anticipation of claims 1-8, 12, 15, and 16 under 35 U.S.C. §102(b) based on
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`Japanese Patent Application No. HEI 4[1992]-71222 (“Jinbo”) (TSMC-1004);
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`(2) obviousness of claim 9 under 35 U.S.C. §103(a) based on Jinbo in view of
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`U.S. Patent No. 4,931,351 (“McColgin”) (TSMC-1006); and
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`(3) obviousness of claims 10 and 11 under 35 U.S.C. §103(a) based on Jinbo in
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`view of U.S. Patent No. 4,548,688 (“Matthews”) (TSMC-1007).
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`
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`II. QUALIFICATIONS
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`3.
`
`I received Bachelor of Science degrees in Physics, Chemistry, Electrical
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`Engineering, and Chemical Engineering from Rose-Hulman Institute of Technology in 1982, a
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`Master of Science degree in Electrical Engineering from the University of Maryland in 1989,
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`and a Ph.D. in Chemical Engineering from the University of Texas at Austin in 1998.
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`Page 1 of 11
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`4.
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`In 1983, I joined the Microelectronics Research Laboratory of the National Security
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`Agency and began work in optical lithography research.
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`5. During 1990-91, I was on assignment at SEMATECH working in the areas of deep-
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`UV photoresist characterization and phase-shifting mask optimization, which are part of the
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`process of photolithography for semiconductor fabrication.
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`6.
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`In 1990, I founded FINLE Technologies, Inc. (“FINLE”). FINLE produced
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`industry-standard lithography modeling and data analysis software that enabled semiconductor
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`manufacturers to speed development of advanced lithography processes required to develop and
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`produce integrated circuits with smaller geometries.
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`7.
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`In January of 1992, I joined FINLE full time as President and Chief Technical
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`Officer. At FINLE, I developed lithography modeling and data analysis software. Further, I
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`provided consulting and training services to the semiconductor industry.
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`8. After KLA-Tencor Corp. acquired FINLE in February 2000, I served as Vice
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`President of Lithography Technology for KLA-Tencor Corp. for five years.
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`9. Since 2005, I have pursued various intellectual interests—including researching,
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`writing, and teaching lithography. I have taught numerous classes as an adjunct professor at the
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`University of Texas at Austin, and I have taught as a visiting fellow at the University of
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`Canterbury, in New Zealand.
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`10. My professional background and technical qualifications are stated above and are
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`reflected in my curriculum vitae, which is attached as Exhibit A.
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`11. I have worked previously as an expert witness in several matters. Matters in which
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`I have served as an expert witness are listed in my curriculum vitae, attached as Exhibit A.
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`12. My curriculum vitae contains a listing of my publications and issued patents.
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`III.
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`INDEPENDENT EXPERT
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`13. I am being compensated at my usual rate of $500/hour for each hour of work in
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`connection with this matter. My compensation is not contingent on any of the opinions I provide
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`or the outcome of this matter.
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`IV. MATERIALS CONSIDERED
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`14.
`
`In the preparation of this declaration, I have reviewed the following:
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`(a) The ‘084 Patent (TSMC-1001)
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`(b) The prosecution history of the ‘084 patent (TSMC-1002)
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`(c) Certified translation of Japanese Patent App. No. 04-71222 (“Jinbo”) (TSMC-
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`1004)
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`(d) TSMC’s IPR Petition
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`(e) DSS’s Preliminary Response to TSMC’s IPR Petition
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`(f) The Board’s Decision to institute trial
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`(g) Final transcript of Dr. Blanchard’s February 17, 2015 deposition and the
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`exhibits thereto
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`V.
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`APPLICABLE STANDARDS
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`19.
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`I understand that the disclosure and claims of a patent are read and understood
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`from the perspective of a hypothetical person of ordinary skill in the art to which the patent
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`is directed at the time of the invention (“POSITA”). For my analysis, I have been told to
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`assume that the relevant timeframe is December 22, 1994, which is the earliest priority date
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`of the ‘084 Patent.
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`20.
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`It is my understanding that a POSITA is not a genius or an expert in the art at
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`hand, and is not necessarily represented by the skill, education, or experience of the inventor.
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`I also understand that POSITA has common sense and only ordinary creativity, and is not an
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`automaton.
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`15.
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`I further understand that the level of ordinary skill in the art is a function of many
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`factors, including (1) the educational level of the inventor; (2) type of problems encountered in
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`the art; (3) prior art solutions to those problems; (4) rapidity with which innovations are made;
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`(5) sophistication of the technology; and (6) educational level of active workers in the field.
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`16.
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`I find the pertinent art to lie generally in the field of photolithography processing
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`for semiconductor manufacturing. Considering all of the factors in the context of the
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`technology of the ’084 Patent, I believe that a person of ordinary skill in the art would have a
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`B.S. degree in engineering or similar field and several years of experience using
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`photolithography methods for semiconductor fabrication.
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`21.
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`I understand that the Board has made some preliminary constructions of certain
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`terms in the challenged claims. In forming my opinions, I have applied the claim construction
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`established by the Board in the Decision to institute trial.
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`VI. THE CLAIMED INVENTION
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`Page 4 of 11
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`22.
`
`The ‘084 Patent discloses and claims a “lithographic patterning process us[ing]
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`multiple exposures to provide for relatively reduced pitch for features of single patterned layer.”
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`TSMC-1001, ‘084 Patent at Abstract.
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`23.
`
`The ‘084 Patent discloses that a first imaging layer is formed on the
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`semiconductor wafer. See id. at 3:29-30. The first imaging layer is exposed to radiation through
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`the first mask containing a first pattern of clear and opaque features. See id. 3:65-66. This step
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`is illustrated in FIG. 2, which is reproduced below:
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`24. After the exposure, the first imaging layer is developed, and the remaining
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`patterned layer is stabilized to withstand subsequent lithographic processing steps. See id. at
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`
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`4:5-6, 4:35-36.
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`25. A second imaging layer is formed over the stabilized first patterned layer. See id.
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`at 5:56-65. For the second exposure step, the first mask is replaced with the second mask having
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`a second pattern of opaque and clear features. See id. at 6:27-31. The second imaging layer is
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`exposed to radiation in accordance with the second pattern. See id. at 6:12-14. This step is
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`illustrated in FIG. 4, which is reproduced below:
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`26.
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`The second imaging layer is then developed to form the second patterned layer.
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`See id. at 6:51-53. This method allows the features of the first and second patterned layers to be
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`formed relatively closer to one another than is possible through a single exposure to radiation.
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`
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`See id. at claim 1.
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`A. Claims 1 and 15 require two separate individual patterns
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`27.
`
`The ‘084 Patent explicitly discloses that the invention includes a technique of
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`“pattern[ing] by exposure to radiation in accordance with two separate patterns.” TSMC-1001,
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`‘084 Patent at Abstract [emphasis added]. The specification of the ‘084 Patent consistently
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`states that the first pattern is embodied in the first mask and that the second pattern is embodied
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`in a second mask. See id. at 3:57-59, 6:26-31, 8:9-11, 8:63-65, 10:59-61, 11:47-49, FIGS. 2, 4,
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`Page 6 of 11
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`7, 9, 13, 15 and accompanying descriptions. The opaque and transparent features of each pattern
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`are referenced by different reference characters. Accordingly, claims 1 and 15 require that each
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`imaging layer is patterned in accordance with a separate individual pattern.
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`B. The second pattern cannot be reasonably interpreted as a
`duplicate of the first pattern
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`The ‘084 Patent states that “[t]he second mask may include any suitable pattern
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`28.
`
`of opaque and clear features.” Id. at 6:24-25. For the reasons provided below, the only
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`reasonable interpretation of claims 1 and 15 supported by the specification of the ‘084 Patent
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`requires that a suitable second pattern cannot be a duplicate of the first pattern.
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`29.
`
`The Board found that “[t]he geometry of the second pattern, however, is not
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`necessarily different from the first pattern.” Institution Decision at pg. 8. While the Board’s
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`finding is correct insofar as the geometries of the opaque and clear features of the first and
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`second patterns are not necessarily different, the two patterns cannot be duplicates of one
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`another because at least the arrangement of these features must be different in the two patterns.
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`If the first and second patterns were duplicates of one another, the features of the second
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`patterned layer would be simply superimposed onto the features of the first patterned layer. The
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`second patterning step, therefore, would merely increase the thickness of the first patterned
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`layer, and the first and second patterned layers would be incapable of having any distinct
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`features. Accordingly, if the first and second patterns were duplicates of one another, claims 1
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`and 15 would be inoperable, as illustrated below:
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`Page 7 of 11
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`30.
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`To form two patterned layers having distinct features using identical patterns for
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`both patterning steps, one would have to perform an additional step of changing the alignment
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`between the wafer and the second pattern. This step is not disclosed in the ‘084 Patent and is
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`divergent from the technique of patterning two imaging layers in accordance with two separate
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`masks. For these reasons, the first and second patterns cannot be mere duplicates of one
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`another.
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`Page 8 of 11
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`IPR2014-01030
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`VII. DIFFERENCES BETWEEN THE CLAIMED INVENTION AND JINBO
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`19.
`
`The invention claimed in the ‘084 Patent and Jinbo achieve the same result of
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`creating a final resist pattern having dimensions beyond the resolution limits of the lithographic
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`equipment. See TSMC-1004, Jinbo at pg. 4. Jinbo, however, teaches a method that is
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`functionally different than the method claimed in the ‘084 Patent. Specifically, in contrast to the
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`‘084 Patent, Jinbo teaches patterning both imaging layers in accordance with the same pattern
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`and requires a step of shifting the wafer with respect to the mask for the second patterning step.
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`20.
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`Jinbo discloses that for the first patterning step, the wafer is aligned with the
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`mask in accordance with “the mask alignment marks and the substrate alignment marks.” See
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`TSMC-1004, Jinbo at pg. 4. The first imaging layer is exposed to radiation through the mask
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`while the mask and the wafer remain in this alignment. Id.
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`21.
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`For the second patterning step, Jinbo discloses, that the substrate is also aligned
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`with the mask. However, after the alignment is achieved, the wafer is shifted in the x-direction
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`“so that the spaces of the mask will be projected on the spaces of first resist pattern.” Id. at pg.
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`5. The step of shifting the wafer after it has been aligned with the mask enables Jinbo to create a
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`second patterned layer that is identical to the first patterned layer but shifted along the wafer in
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`the x-direction. The first and second patterned layers collectively form a final patterned layer.
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`The features of the final patterned layer have a pitch that is beyond the resolution limit of the
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`exposure apparatus.
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`22.
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`The final patterned layer depicted in Figure 1(E) of Jinbo can be obtained by
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`exposing both imaging layers to radiation in accordance with the same pattern as evidenced by
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`Page 9 of 11
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`the dimensions of the patterned layers disclosed in Jinbo. See TSMC-1004, Jinbo at pg. 4, 5 (“a
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`finished [first] pattern wherein the space width was 0.3 µm and pitch was 1.2 µm” and “a [final]
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`pattern in which spaces are 0.3 µm wide are aligned at a pitch of 0.6 µm, that is, a 0.3 µm line
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`and space pattern”). Figure 1(E) is reproduced and annotated below:
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`0.3
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`0.3
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`0.3
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`0.3
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`0.3
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`0.3
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`23.
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`Jinbo only discloses a single mask having a single pattern: “a mask having a line
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`and space pattern with which spaces 0.4 µm wide can be formed at a pitch of 1.2 µm.” Id. at pg.
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`4. Jinbo does not describe any other patterns, thereby reinforcing the conclusion that a single
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`pattern is used for both patterning steps. In contrast to the claimed invention which requires that
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`that the two imaging layers are patterned in accordance with two separate patterns, Jinbo uses
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`the same pattern for both patterning steps, but requires that the wafer be shifted prior to the
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`second patterning step.
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`Page 10 of 11
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`24.
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`Jinbo does not disclose the step of “patterning the second imaging layer in
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`accordance with a second pattern,” and one can practice the method disclosed in Jinbo using a
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`single pattern on a single mask.
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`
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`VIII. CONCLUSION
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`25.
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`I declare that all statements made in this declaration are of my own knowledge
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`and are true and that all statements made on information and belief are believed to be true; that
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`these statements were made with the knowledge that willful false statements and the like so
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`made are punishable by fine or imprisonment, or both under Section 1001 of Title 18 of the
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`United States Code.
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`March 13, 2015
`___________________
`Date
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`____________________________
`Chris A. Mack, Ph.D.
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`Page 11 of 11
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