`
`Reg. No. 42,557
`
`
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`LAM RESEARCH CORP.,
`Petitioner
`
`v.
`
`DANIEL L. FLAMM,
`
`Patent Owner
`
`CASE IPR2015-01767
`U.S. Patent No. 6,017,221
`
`
`
`PATENT OWNER’S PRELIMINARY RESPONSE
`UNDER 37 C.F.R. § 42.107
`
`
`
`Mail Stop: PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`Introduction …………………………………………………………………1
`
`A. Horizontal Redundancy……………………………………………………...2
`
`TABLE OF CONTENTS
`
`TABLE OF CONTENTS …………………………………………………………...i
`
`TABLE OF AUTHORITIES…………………………………………………….....ii
`
`I.
`
`II. Overview of the ‘221 Patent………………………………………………....1
`
`III. The Petitioner Fails To Satisfy Its Burden…………………………………..2
`
`
`
`
`
`
`B. Lieberman……………………………………………………………………3
`
`C. Dible…………………………………………………………………………8
`
`D. Dependent Claims………………………………………………………….12
`
`IV. Conclusion………………………………………………………………….13
`
`CERTIFICATE OF SERVICE……………………………………………………14
`
`
`
`i
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`TABLE OF AUTHORITIES
`
`
`Statutes Page(s)
`
`35 U.S.C. § 103…………………………………………………………………….8
`
`37 C.F.R. § 42.107………………………………………………………………….1
`
`Cases Page(s)
`
`Hartness Int’l Inc. v. Simplimatic Eng. Co.,
`819 F.2d 1100 (Fed. Cir. 1987)…………………………………………………...13
`
`Kimberly Clark Corp. v. Johnson & Johnson,
`745 F.2d 1437 (Fed. Cir. 1984)…………………………………………………...13
`
`Liberty Mutual Ins. Co. v. Progressive Cas. Ins. Co.,
`CBM2012-0003, Paper No. 7 at 2 (P.T.A.B. Nov. 26, 2012)…………………….13
`
`
`
`ii
`
`
`
`
`
`
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`Daniel L. Flamm, Sc.D., the sole inventor and owner of the U.S. Patent No.
`
`
`
`6,017,221 (“the ‘221 patent”), through his counsel, submits this preliminary
`
`response pursuant to 37 C.F.R. § 42.107 and asks that the Patent Trial and Appeals
`
`Board decline to institute inter partes review on the instant petition because the
`
`petition fails to show a reasonable likelihood that any claim is unpatentable.
`
`I.
`
`
`
`Introduction
`
`Lam makes two invalidity contentions for the single independent claim of
`
`the ‘221 patent; anticipation via either of the Lieberman references (Ex’s 1002 and
`
`1012) and obviousness via either of the Lieberman references in view of the Dible
`
`patent (Ex. 1003). As will be demonstrated, neither ground supports inter partes
`
`review.
`
`II. Overview of the ‘221Patent
`
`
`The problems that Dr. Flamm was addressing in making the invention of the
`
`‘221 patent were reduction, elimination, and/or control of ion bombardment or ion
`
`flux to semiconductor device surfaces being processed in inductively coupled
`
`plasmas, while maintaining desired etching selectivity. (Ex. 1001 at 2:7-:16.)
`
`Conventional ion assisted plasma etching, however, often requires
`control and maintenance of ion flux intensity and uniformity within
`selected process limits and within selected process energy ranges.
`Control and maintenance of ion flux intensity and uniformity are often
`difficult to achieve using conventional techniques. For instance,
`capacitive coupling between high voltage selections of the coil and the
`
`
`
`1
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`plasma discharge often cause high and uncontrollable plasma
`potentials relative to ground.
`(Id. at 2:64-3:2.)
`
`The specification discusses at length the “conventional techniques,”
`
`including “shields, baffles, large separation distances between the plasma source
`
`and the chamber.” (Id. at 2:17-:19; see also generally id. at 1:44-4:57.) The
`
`specification also discusses the many drawbacks of these conventional techniques.
`
`(Id. at 1:44-4:57.)
`
`Dr. Flamm’s solution, as reflected in claim 1 of the patent, was to balance
`
`the phase and anti-phase portions of capacitive currents coupled from the inductive
`
`coupling structure using a wave adjustment circuit. Instead of suppressing the
`
`charged species, as conventional techniques had done via blockage or distance, Dr.
`
`Flamm went to the source of the ion flux problem and reduced or eliminated the
`
`undesired capacitive ion current flux.
`
`III. The Petitioner Fails To Satisfy Its Burden
`A. Horizontal Redundancy
`At the threshold, Lam relies on multiple prior art references to satisfy several
`
`claims elements in the petition. For example, Lam cites to the Lieberman
`
`references (Ex’s 1002 and 1012) and to Dible (Ex. 1003) for each and every
`
`element of claims 1, 5, and 6 on Ground 2. (Pet. at 39-42, 44-45.) Lam also cites
`
`
`
`2
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`to multiple prior art references for claim 2 on Ground 3 (Pet. at 50.)
`
`The assertion of “multiple grounds, which are presented in a redundant
`
`manner by a petitioner who makes no meaningful distinction between them, are
`
`contrary to the regulatory and statutory mandates, and therefore are not all entitled
`
`to consideration.” Liberty Mutual Ins. Co. v. Progressive Cas. Ins. Co.,
`
`CBM2012-0003, Paper No. 7 at 2 (P.T.A.B. Nov. 26, 2012). Petitioners must
`
`“explain why one reference more closely satisfies the claim limitation at issue in
`
`some respects than another reference and vice versa.” Id. at 3.
`
`The Board should reject Lam’s attempt to invalidate the claims of the ‘221
`
`patent by relying on multiple pieces of prior art to attack the same claim elements
`
`without the required explanation of the relative merits of each instance where
`
`multiple prior art references relate to a single claim element.
`
`Lieberman
`B.
`In this Petition, Lam relies heavily on two iterations of Lieberman (Exs.
`
`1002 and 1012), which Lam concedes are essentially identical in content with
`
`minor variations that do not affect the invalidity analysis. (Pet. at 5, n.3.)
`
`Lam contends that Lieberman anticipates claim 1 of the ‘221 patent. The
`
`portion of Lieberman that Lam relies on consists of a single paragraph:
`
`Similar to helicon antennas, inductive coils can be driven by a 13.56
`MHz, 50 ohm rf supply through a TI matching network. The coil can
`
`
`
`3
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`be driven push-pull using a balanced transformer, which places a
`virtual ground in the middle of the coil and reduces the maximum
`coil-to-plasma voltage by a factor of two. This reduces the undesired
`capacitively coupled rf current flowing from coil to plasma by a factor
`of two. An electrostatic shield placed between the coil and the plasma
`can further reduce the capacitive coupling if desired, while allowing
`the inductive field to couple unhindered to the plasma.
`(Ex. 1002 at 23 (original pagination); Ex. 1012 at 52-53.)
`
`There are four elements of claim 1 that are not taught by this passage from
`
`Lieberman, specifically the elements denominated by Lam as [1.], [1.d], [1.e], and
`
`[1.f].
`
`Element [1.] “A process for fabricating a product using a plasma source”
`Lieberman does not teach any process for fabricating a product; instead,
`
`Lieberman teaches only miscellaneous equipment that might be adaptable for such
`
`use. This absence becomes apparent in reading Lam’s inapposite quotations and
`
`citations in portion [1.] of its claim chart.
`
`Element [1.d] “in which a phase portion and an anti-phase portion of capacitive
`currents coupled from the inductive coupling structure are
`selectively balanced;”
`Nothing in Lieberman teaches selectively balancing a phase and an anti-
`
`phase portion of capacitive currents from an inductive coupling structure.
`
`Lieberman essentially concedes that the capacitive currents are not balanced when
`
`he teaches that the maximum coil-to-plasma voltage is reduced by a factor of two,
`
`which in turn: “reduces the undesired capacitively coupled rf current flowing from
`4
`
`
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`coil to plasma by a factor of two.” (Ex. 1002 at 23; Ex. 1012 at 53 (emphasis
`
`added).) The balancing of the phase and anti-phase—as taught in the ‘221
`
`patent—results in not simply a reduction by a factor of two, but substantially
`
`eliminates capacitively coupled power:
`
`But in all of these above embodiments, the phase and anti-phase
`potentials substantially cancel each other,
`thereby providing
`substantially no capacitively coupled power from the plasma source to
`the chamber bodies.
`(Ex 1001 at 9:2-:6; see also Ex. 1001 at 6:32-:41, 6:44-:51, 6:54-:65, 8:49-:52.
`
`17:9-:13.)
`
`Lieberman further confirms that he has not balanced the phase and anti-
`
`phase portions of the capacitive currents when he teaches using a shield to further
`
`reduce capacitive coupling:
`
`An electrostatic shield placed between the coil and the plasma can
`further reduce the capacitive coupling if desired, while allowing the
`inductive field to couple unhindered to the plasma.
`(Ex. 1002 at 23; Ex. 1012 at 53.) Lieberman explicitly recognizes that his initial
`
`approach—“The coil can be driven push-pull using a balanced transformer”—
`
`does not solve the capacitive coupling problem, so he reverts to the very prior art
`
`that Dr. Flamm found wanting. (Ex. 1001 at 2:17-:51; 3:14-:52.) Additionally, a
`
`“balanced transformer” taught by Lieberman has nothing to do with a “selectively
`
`balanced” phase portion and an anti-phase portion of capacitive currents coupled
`
`
`
`5
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`form the inductive coupling structure in the manner claimed. The term “balanced”
`
`in Lieberman is meaningless in the context of the claimed invention. Accordingly,
`
`Lieberman is plagued with the limitations of the prior art, which Dr. Flamm’s
`
`invention has overcome for the fabrication of a product.
`
`Lieberman also teaches that an antenna coil can be driven through a
`
`balanced transformer so that the antenna coil is isolated from ground to reduce the
`
`maximum antenna-plasma voltage by a factor of two, and thereby also reducing an
`
`undesired capacitive current by a factor of two. (Ex. 1002 at 23; Ex. 1012 at 53.)
`
`This reduction by a factor of two (i.e., 50%) is a far cry from the fruits of Dr.
`
`Flamm’s claim 1: that the net capacitive current can be reduced to ZERO because
`
`an anti-phase and phase portion can mutually cancel. (Ex 1001 at 9:2-:6; see also
`
`Ex. 1001 at 6:32-:41, 6:44-:51, 6:54-:65, 8:49-:52. 17:9-:13.) The phase and anti-
`
`phase are referenced to ground, not isolated from ground. (See e.g., id. at Fig’s 1,
`
`2A-C, 3-5A, & 6.) Accordingly, Lieberman teaches away from the solutions
`
`provided by the ‘221 patent.
`
`Element [1.e] “wherein said inductive coupling structure is adjusted using a wave
`adjustment circuit,”
`Lieberman does not teach any wave adjustment circuit because, as noted
`
`above, the power is isolated from ground in Lieberman.
`
`Element [1.f] “said wave adjustment circuit adjusting the phase portion and the
`
`
`
`6
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`anti-phase portion of the capacitively coupled currents.”
`In addition to not teaching any wave adjustment circuit or any adjusting of a
`
`phase and anti-phase portion of capacitively coupled current, Lieberman does not
`
`teach any selective adjustment of phase and antiphase, or that phase and anti-phase
`
`exist. Wave adjustment circuits can be adjusted to provide substantially zero
`
`(ground) AC voltage at least at one point on the coil. If the coil is not referenced to
`
`ground at some point, currents may not cancel because there can be different and
`
`asymmetric coupling from the plasma to various points on the applicator coil.1
`
`Lieberman teaches a virtual ground in the middle of the applicator coil but
`
`provides no means or method to effectuate one. By contrast, the ‘221 patent
`
`teaches relative phase and anti-phase currents that emanate from an applicator coil.
`
`Since Lieberman’s balanced transformer and his applicator coil are both isolated
`
`from ground (Ex. 1012 at 42), the voltages at various points on that coil will
`
`depend on the plasma density, plasma mode, and details of plasma coupling to the
`
`coil. Accordingly, the Lieberman configuration would not effectuate mutually
`
`cancelling capacitive currents in a controlled manner because the distribution of
`
`voltage along a floating coil depends on the proximate and distal plasma density
`
`distribution, and plasma currents to the chuck and various reactor walls.
`
`1 The balanced transformer winding disclosed in Lieberman is not an applicator
`coil; rather, it is a floating source of voltage used to “drive” an applicator coil.
`7
`
`
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`Lieberman teaches nothing about how to make a balanced transformer that can
`
`isolate and power a plasma at high frequency or how to position connections of a
`
`balanced transformer to an applicator coil.
`
`Thus, Lam has failed to demonstrate that any claims of the ‘221 patent are
`
`anticipated by Lieberman.
`
`C. Dible
`For Ground 2, Lam asserts that Lieberman in view of Dible renders claim 1
`
`of the ‘221 patent obvious under 35 U.S.C. § 103. (Pet. at 33.)
`
`At the threshold, it is curious that while asserting that Lieberman anticipates
`
`claim 1 (Pet. at 21-32), Lam makes no attempt to explain what is missing in
`
`Lieberman that requires Dible to reach obviousness. This is horizontal redundancy
`
`taken to the second power. Not only is there a failure to comply with the
`
`requirement that a petitioner must “explain why one reference more closely
`
`satisfies the claim limitation at issue in some respects than another reference and
`
`vice versa,” Liberty Mutual Ins. Co. v. Progressive Cas. Ins. Co., CBM2012-0003,
`
`Paper No. 7 at 2,3 (P.T.A.B. Nov. 26, 2012), there is a total absence of even a
`
`suggestion as to what Lam thinks might be missing from Lieberman that requires
`
`bringing in Dible.
`
`Despite that failing, Dible does not fill the gaps left by Lieberman. The ‘221
`
`
`
`8
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`patent balances the phase portion and the anti-phase portion of the capacitive
`
`currents from an inductive coupling structure using a wave adjustment circuit to
`
`adjust the inductive coupling structure in order to reduce or eliminate capacitively
`
`coupled power from the plasma source to chamber bodies. (See, e.g., Ex. 1001 at
`
`9:2-:6.) Dible teaches nothing about adjusting any inductive coupling structure in
`
`order to reduce or eliminate capacitively coupled power, adjusting phase and
`
`antiphase portions of capacitive currents from an inductive coupling structure, or
`
`any other such thing. Rather, Dible teaches using two separate power sources and
`
`respective matching networks to apply two separate excitation currents to two
`
`respective ends of a coil, and adjusting the phase of those power sources relative to
`
`each other in order to control the type of coupling generated, i.e., capacitive
`
`coupling, inductive coupling or some combination thereof:
`
`whereby said device becomes essentially an inductive coupling device
`when said first phase and said second phase are opposite in phase,
`said device becomes essentially a capacitive coupling device when
`said first phase and said second phase are in phase, said device
`becomes a combination inductive and capacitive coupling device
`when said first phase and said second phase differs by an angle that is
`between in phase and opposite in phase.
`(Ex. 1003 at 10:33-:41.)
`
`Element [1.d] “in which a phase portion and an anti-phase portion of capacitive
`currents coupled from the inductive coupling structure are
`selectively balanced;”
`
`
`
`9
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`As stated, Dible does not disclose anything about “a phase portion and an
`
`anti-phase portion of capacitive currents” emanating from an inductive coupling
`
`structure much less that they should be “selectively balanced.” In fact Dible
`
`teaches currents at the two terminals of an inductive coupling coil have a 180
`
`degree difference such as the conventional half-wave prior art structure that is
`
`disclosed in the ‘221 patent. (Ex. 1001 at 3:44-:49.) Therefore, Dible teaches
`
`away from selectively balancing a phase portion and an anti-phase portion of
`
`capacitive currents coupled from an inductive coupling structure.
`
` Furthermore, Dible’s scheme is itself fraught with problems that a
`
`PHOSITA in the field of RF matching would immediately recognize. For example,
`
`Dible provides a circuit teaching two power supplies powering each other through
`
`a coil (the coil that Dible identifies for power to the plasma). Dible teaches
`
`nothing about the electrical length of the coil, controlling the amplitudes of
`
`currents to the respective ends of the coil, or any means to prevent power
`
`emanating from one power supply from burning out the other power supply and/or
`
`its matching network, or overcoming instability from two independent power
`
`supplies
`
`and
`
`matching
`
`networks.
`
`Without solutions to these problems, the circuit would burn out. Furthermore, a
`
`PHOSITA would recognize that two prior art high frequency plasma power
`
`
`
`10
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`supplies and matching networks connected to each other in the manner shown
`
`would not admit an arbitrary relative phase relation between the ends of the coil for
`
`reasons of stability and various fundamental problems such as mentioned above.
`
`Dible offers no means to provide a stable selectable phase relation on a coil
`
`powering the plasma using two power sources in the circuits shown, and there was
`
`no prior art control circuit operable to perform the necessary function.
`
`The passage from Dible cited by Lam makes it crystal clear that Dible is not
`
`saying anything about “selectively balance[ing]” phase and anti-phase portions of
`
`capacitive currents coupled from an inductive coupling structure. (Pet. at 40,
`
`citing Ex. 1003 at 2:42-:56 and 4:45-:55.) What Dible is teaching is an approach
`
`for controlling the type of coupling—inductive, capacitive, or some combination of
`
`inductive and capacitive—by adjusting the relative phases of two separate
`
`“excitation currents” from two separate “excitation source[s].” (Id.)
`
`Element [1.e] “wherein said inductive coupling structure is adjusted using a wave
`adjustment circuit,”
`Again, the passages cited by Lam do not teach this claim element. Even if
`
`one were to assume that Dible’s “plasma generating system” were an “inductive
`
`coupling structure,” once it were “adjusted” it would be, according to Dible, a
`
`capacitive coupling structure (or some combination coupling structure), thus it
`
`would no longer an “inductive coupling structure.” (See Ex. 1003 at 4:45-:55)
`
`
`
`11
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`Accordingly, the claim language “said inductive coupling structure is adjusted
`
`using a wave adjustment circuit” is not met by Dible.
`
`While on one level this is a technicality, it evinces the underlying reality that
`
`the problems and solutions set forth in Dible, with the exception of employing a
`
`phase adjustment circuit, are totally alien from the problems and solutions set forth
`
`in the ‘221 patent.
`
`Element [1.f] “said wave adjustment circuit adjusting the phase portion and the
`anti-phase portion of the capacitively coupled currents.”
`As with claim element [1.d], Dible does not address “adjusting the phase
`
`portion and an anti-phase portion of the capacitively coupled currents.” Dible was
`
`focused entirely on adjusting the phases of two separate excitation currents in order
`
`to change the form of coupling.
`
`In short, the only aspect of Dible that relates to phase is the use of a phase
`
`adjustment circuit for an RF power source, which, of course, long preceded Dible.
`
`In fact, Dible teaches away from Flamm since it positively teaches the use of
`
`capacitively coupled discharges—“When the first phase and the second phase are
`
`in phase, the device essentially becomes a capacitive coupling device” (Ex. 1003 at
`
`1)—the very discharges that the ‘221 patent reduces or eliminates.
`
`D. Dependent Claims
`The ‘221 patent has a single independent claim and six claims that depend
`
`
`
`12
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`from that claim. At least because Lam has failed to demonstrate that independent
`
`claim 1 is anticipated by Lieberman or rendered obvious by Lieberman in view of
`
`Dible, none of the claims that depend from claim 1 are anticipated or obvious
`
`despite Lam’s introduction of additional prior art references purported to relate to
`
`those dependent claims. Hartness Int’l Inc. v. Simplimatic Eng. Co., 819 F.2d
`
`1100, 1108 (Fed. Cir. 1987) (“A fortiori, dependent claim 3 was nonobvious (and
`
`novel) because it contained all of the limitations of claim 1 plus a further
`
`limitation.”); Kimberly Clark Corp. v. Johnson & Johnson, 745 F.2d 1437, 1448-
`
`49 (Fed. Cir. 1984) (“We need consider no other claim because if the invention of
`
`claim 1 would not have been obvious the same is true as to the remaining
`
`dependent claims.”).
`
`IV. Conclusion
`
`For the foregoing reasons, the instant petition should be denied.
`
`
`
`
`
`
`
`Date: November 25, 2015
`
`
`
`
`
`
`Respectfully Submitted,
`
`By: /Christopher Frerking, reg. no. 42,557/
` Christopher Frerking, reg. no. 42,557
`
`174 Rumford Street
`Concord, New Hampshire 03301
`Telephone: (603) 706-3127
`Email: chris@ntknet.com
`
`Counsel for Daniel L. Flamm
`
`
`
`13
`
`
`
`Patent Owner’s Preliminary Response under 37 C.F.R. § 42.107
`Inter Partes Review of U.S. Patent No. 6,017,221
`IPR2015-01767
`
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that the foregoing Patent Owner’s
`
`
`
`Preliminary Response under 37 C.F.R. § 42.107 was served by electronic mail
`
`on this day, November 25, 2015, on the following individuals:
`
`Michael Fleming
`(mfleming@irell.com)
`Samuel K. Lu
`(slu@irell.com)
`Kamran Vakili
`(kvakili@irell.com)
`IRELL & MANELLA LLP
`1800 Avenue of the Stars, Suite 900
`Los Angeles, CA 90067-4276
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`/s/ Beata Ichou
`Beata Ichou
`
`
`
`14