UNITED STATES PATENT AND TRADEMARK OFFICE
`__________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________
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`
`
`LAM RESEARCH CORP.,
`
`Petitioner
`
`v.
`
`DANIEL L. FLAMM,
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`Patent Owner
`___________
`
`U.S. Patent No. RE40,264 E
`
`Issued: April 29, 2008
`
`Named Inventor: Daniel L. Flamm
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`Title: MULTI-TEMPERATURE PROCESSING
`___________
`
`PETITION FOR INTER PARTES REVIEW
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`
`
`OF U.S. PATENT NO. RE40,264 E
`
`FIFTH PETITION
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`Mail Stop: PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`__________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________
`
`
`
`LAM RESEARCH CORP.,
`
`Petitioner
`
`v.
`
`DANIEL L. FLAMM,
`
`Patent Owner
`___________
`
`U.S. Patent No. RE40,264 E
`
`Issued: April 29, 2008
`
`Named Inventor: Daniel L. Flamm
`
`Title: MULTI-TEMPERATURE PROCESSING
`___________
`
`PETITION FOR INTER PARTES REVIEW
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`
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`OF U.S. PATENT NO. RE40,264 E
`
`FIFTH PETITION
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`
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`Mail Stop: PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
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`TABLE OF CONTENTS
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`Page
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`I.
`
`INTRODUCTION ........................................................................................ 1
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`II. MANDATORY NOTICES PURSUANT TO 37 C.F.R. § 42.8 .................. 2
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`A. Notice of Real Party-In-Interest (37 C.F.R. § 42.8(b)(1)) ................. 2
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`B.
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`C.
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`D.
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`E.
`
`F.
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`Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ........................... 2
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`Designation of Lead and Back-up Counsel (37 C.F.R.
`§ 42.8(b)(3)) ....................................................................................... 2
`
`Service Information (37 C.F.R. § 42.8(b)(4)) .................................... 2
`
`Payment of Fees (37 C.F.R. § 42.103) ............................................... 2
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`Certification of Grounds for Standing (37 C.F.R.
`§ 42.104(a)) ........................................................................................ 3
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`III.
`
`PRIORITY DATE OF THE '264 PATENT ................................................. 3
`
`A.
`
`B.
`
`Independent Claim 13 ........................................................................ 5
`
`The Continuation-In-Part Provisional Application No.
`60/058,650 Disclosure Filed September 11, 1997 ............................. 6
`
`1.
`
`Selecting A Thermal Mass of The Substrate Holder ............... 6
`
`2. With a Heat Transfer Device, Changing The Substrate
`Holder Temperature Within a Specific Time Interval ............. 6
`
`3.
`
`On the Substrate Holder, Etching the Film at the
`Selected First Temperature, Changing to a Selected
`Second Temperature, and Etching at a Second Portion
`of the Film at the Selected Second Temperature. .................... 7
`
`C.
`
`Disclosure of Parent Application No. 09/151,163 Filed
`December 4, 1995 ............................................................................... 8
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`Page
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`D.
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`Claims 13-26, 64 and 65 Are Only Entitled to a Priority Date
`of September 11, 1997 ..................................................................... 11
`
`IV. CHALLENGE AND RELIEF REQUESTED............................................ 11
`
`A.
`
`Specific Art and Statutory Ground(s) on Which the
`Challenges Are Based ...................................................................... 12
`
`V.
`
`PERSON HAVING ORDINARY SKILL IN THE ART .......................... 13
`
`VI. THERE IS A REASONABLE LIKELIHOOD THAT AT LEAST
`ONE CLAIM OF THE '264 PATENT IS UNPATENTABLE .................. 14
`
`A. Ground 1: Claims 13- 21, 23, 64, and 65 Are Rendered
`Obvious by Kadomura in View of Moslehi Under 35 U.S.C.
`§ 103(a) ............................................................................................. 14
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Kadomura in View of Moslehi Teaches All the
`Limitations of Independent Claim 13 .................................... 14
`
`Chart for Claim 13 ................................................................. 22
`
`Kadomura in View of Moslehi Teaches All the
`Limitations of Dependent Claims 14- 21, 23, 64, and
`65 ............................................................................................ 27
`
`Chart for Claims 14-21, 23, 64, and 65 ................................. 36
`
`Reasons for Combinability for Claims 13-21, 23, 64,
`and 65 ..................................................................................... 40
`
`B.
`
`Ground 2: Claim 22 is Rendered Obvious by Kadomura in
`view of Moslehi Under 35 U.S.C. § 103(a) ..................................... 42
`
`1.
`
`2.
`
`Kadomura in View of Moslehi Teaches All the
`Limitations of Independent Claim 13 .................................... 43
`
`Chart for Claim 13 ................................................................. 45
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`3.
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`4.
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`5.
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`Kadomura in View of Moslehi Teaches All the
`Limitations of Independent Claim 22 .................................... 48
`
`Chart for Claim 22 ................................................................. 50
`
`Reasons for Combinability for Claim 22 ............................... 50
`
`C.
`
`Ground 3: Claim 24 is Rendered Obvious by Kadomura in
`View of Moslehi and Collins Under 35 U.S.C. § 103(a) ................. 52
`
`1.
`
`2.
`
`3.
`
`Kadomura in View of Moslehi and Collins Teaches
`All the Limitations of Dependent Claim 24 ........................... 52
`
`Chart for Claim 24 ................................................................. 54
`
`Reasons for Combinability for Claim 24 ............................... 54
`
`D. Ground 4: Claims 25 and 26 are Rendered Obvious by
`Kadomura in View of Moslehi and Mahawili Under 35
`U.S.C. § 103(a) ................................................................................. 56
`
`1.
`
`2.
`
`3.
`
`Kadomura in View of Moslehi and Mahawili Teaches
`All the Limitations of Dependent Claims 25 and 26 ............. 56
`
`Chart for Claims 25 and 26 .................................................... 57
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`Reasons for Combinability for Claims 25 and 26 ................. 58
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`TABLE OF AUTHORITIES
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`Page(s)
`
`Cases
`Ariosa Diagnostics v. Isis Innovation Ltd. Patent Owner,
`IPR2012-00022 (MPT), 2013 WL 2181162 (P.T.A.B. Feb. 12,
`2013) ......................................................................................................... 3
`
`Augustine Med., Inc. v. Gaymar Indus., Inc.,
`181 F.3d 1291 (Fed. Cir. 1999) ................................................................ 4
`
`Baldwin Graphic Systems, Inc. v. Siebert, Inc.,
`512 F. 3d 1338 (Fed. Cir. 2008) ............................................................. 17
`
`Daniel L. Flamm v. Samsung Electronics Co., Ltd., et al.,
`Case 1:15-cv-00613-LY (W.D. Tex.) ....................................................... 2
`
`Hollmer v. Harari,
`681 F.3d 1351 (Fed. Cir. 2012) ................................................................ 4
`
`KSR Int'l. Co. v. Teleflex Inc.,
`550 U.S. 398 (2007).................................................................................. 1
`
`Lam Research Corp. v. Daniel L. Flamm,
`Case 5:15-cv-01277-BLF (N.D. Cal.) .................................................. 2, 3
`
`Statutes
`
`35 U.S.C § 103 ............................................................................................ 14, 42
`
`35 U.S.C. § 103 ........................................................................................... 52, 56
`
`35 U.S.C. § 112 ............................................................................................... 3, 4
`
`35 U.S.C. § 120 ................................................................................................... 3
`
`35 U.S.C. § 314 ................................................................................................. 13
`
`35 U.S.C. §§ 311-319 ......................................................................................... 1
`
`M.P.E.P. § 201.11 I.B ......................................................................................... 4
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`Page(s)
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`Rules
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`37 C.F.R. § 42.100 .............................................................................................. 1
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`37 C.F.R. § 42.103 .............................................................................................. 2
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`37 C.F.R. § 42.104 ............................................................................ 3, 11, 12, 14
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`37 C.F.R. § 42.15 ................................................................................................ 2
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`37 C.F.R. § 42.22 .............................................................................................. 11
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`37 C.F.R. § 42.8 .................................................................................................. 2
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`EXHIBIT LIST
`
`Exhibit
`1001
`
`Description
`U.S. Patent No. RE40,264 (the '264 patent)
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`U.S. Patent No. 6,063,710 (Kadomura)
`
`U.S. Patent No. 5,192,849 (Moslehi)
`
`European Patent Application Number 93309608.3 (Collins)
`
`U.S. Patent No. 5,059,770 (Mahawili)
`
`Continuation-in-Part Provisional Application No. 0/058,650 filed
`Sept. 11, 1997
`
`Parent Application No. 08/567,224 filed Dec. 4, 1995
`
`Declaration of Joseph L. Cecchi, Ph.D.
`
`Curriculum Vitae of Joseph L. Cecchi, Ph.D.
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`In accordance with 35 U.S.C. §§ 311-319 and 37 C.F.R. § 42.100 et seq.,
`
`Petitioner Lam Research Corporation ("Lam" or "Petitioner") respectfully requests
`
`that the Board institute inter partes review of claims 13-26, 64, and 65
`
`("challenged claims") of U.S. Patent No. RE40,264 E ("the '264 patent") (Ex.
`
`1001), which is owned by Daniel L. Flamm ("Flamm" or "Patent Owner"), and
`
`cancel those claims because they are unpatentable in view of prior art patents and
`
`printed publications.
`
`I.
`
`INTRODUCTION
`
`The sixteen claims challenged in this Petition are all directed to a method for
`
`etching a substrate in the manufacture of a semiconductor device.1 In the method,
`
`a substrate is placed on a substrate holder in a chamber. The substrate is etched at
`
`a first temperature and then at a second temperature. Ex. 1008 ¶¶ 50-58. As set
`
`forth below, the claims of the '264 patent are obvious because they are nothing
`
`more than the result of Flamm combining "familiar elements according to known
`
`methods" to "yield predictable results." KSR Int'l. Co. v. Teleflex Inc., 550 U.S.
`
`398, 416 (2007); Ex. 1008 ¶¶ 59-61.
`
`1 Claims 27-50, 66, and 67 are challenged in a separate IPR, "Petition 6" or
`
`the "Sixth Petition," filed concurrently with this IPR. Claims 51-63, 68-71 are
`
`challenged in a separate IPR, "Petition 7" or the "Seventh Petition," filed
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`concurrently with this IPR.
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`II. MANDATORY NOTICES PURSUANT TO 37 C.F.R. § 42.8
`A. Notice of Real Party-In-Interest (37 C.F.R. § 42.8(b)(1))
`The real-party in interest for this Petition is Lam Research Corporation.
`
`B. Notice of Related Matters (37 C.F.R. § 42.8(b)(2))
`The '264 patent is presently at issue in the declaratory judgment action Lam
`
`Research Corp. v. Daniel L. Flamm, Case 5:15-cv-01277-BLF (N.D. Cal.) and in
`
`the infringement action Daniel L. Flamm v. Samsung Electronics Co., Ltd., et al.,
`
`Case 1:15-cv-00613-LY (W.D. Tex.), and in the following IPRs: IPR2015-01759;
`
`IPR2015-01764; IPR2015-01766; and IPR2015-01768.
`
`C. Designation of Lead and Back-up Counsel (37 C.F.R. § 42.8(b)(3))
`Lead Counsel: Michael R. Fleming (Reg. No. 67,933)
`
`Backup Counsel: Samuel K. Lu (Reg. No. 40,707)
`
`Address: Irell & Manella LLP, 1800 Avenue of the Stars, Suite 900,
`
`Los Angeles, CA 90067 | Tel: (310) 277-1010 | Fax: (310) 203-7199
`
`Service Information (37 C.F.R. § 42.8(b)(4))
`
`D.
`Please address all correspondence to the lead and backup counsel above.
`
`Petitioner also consents to email service at LamFlammIPR@irell.com.
`
`Payment of Fees (37 C.F.R. § 42.103)
`
`E.
`The Office is authorized to charge Deposit Account No. 09-0946 for any
`
`fees required for this Petition, including the fee set forth in 37 C.F.R. § 42.15(a),
`
`referencing Docket No. 153405-0053 (264IPR), and for any other required fees.
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`F. Certification of Grounds for Standing (37 C.F.R. § 42.104(a))
`Petitioner certifies that the '264 patent is eligible for inter partes review and
`
`that Petitioner is not barred or estopped from requesting an inter partes review of
`
`the challenged claims of the '264 patent on the grounds identified herein.
`
`Petitioner has filed a declaratory judgment action for non-infringement of the
`
`claims of the '264 patent, Lam Research Corp. v. Daniel L. Flamm, Case 5:15-cv-
`
`01277-BLF (N.D. Cal.). Petitioner has not filed a declaratory judgment action for
`
`invalidity of the claims of the '264 patent. See, e.g., Ariosa Diagnostics v. Isis
`
`Innovation Ltd. Patent Owner, IPR2012-00022 (MPT), 2013 WL 2181162, at *5
`
`(P.T.A.B. Feb. 12, 2013). On Oct. 2, 2015, Daniel L. Flamm answered Lam’s
`
`Complaint but did not file any counterclaims against Lam for infringement of the
`
`'264 patent. On Oct. 2, 2015, Flamm filed a Third-Party Complaint asserting
`
`claims of infringement of the '264 patent against unknown Lam customers.
`
`III. PRIORITY DATE OF THE '264 PATENT
`Under 35 U.S.C. § 120, a claim in a patent is entitled to the benefit of the
`
`filing date of an earlier filed application only if the subject matter of the claim as a
`
`whole is disclosed in the earlier-filed application as required by 35 U.S.C.
`
`§ 112(a). As stated by the Federal Circuit, "if any application in the priority chain
`
`fails to make the requisite disclosure of subject matter [under § 112], the later-filed
`
`application is not entitled to the benefit of the filing date of applications preceding
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`the break in the priority chain." Hollmer v. Harari, 681 F.3d 1351, 1355 (Fed. Cir.
`
`2012); see also Augustine Med., Inc. v. Gaymar Indus., Inc., 181 F.3d 1291, 1302-
`
`03 (Fed. Cir. 1999) ("Subject matter that arises for the first time in [a] CIP
`
`application does not receive the benefit of the filing date of the parent
`
`application.").
`
`The '264 patent is a reissue of U.S. Patent No. 6,231,776 ("the '776 patent"),
`
`which issued from Application No. 09/151,163 filed on Sept. 10, 1998 and
`
`Provisional Application No. 60/058,650 filed on Sept. 11, 1997 ("the continuation-
`
`in-part provisional application"), which is a continuation-in-part of Application No.
`
`08/567,224 ("the parent application") filed on Dec. 4, 1995. Ex. 1001. Flamm
`
`may only rely on the priority date of Sept. 11, 1997, which is the date when certain
`
`claim features of claims 13-26, 64 and 65 were disclosed and adequately supported
`
`by a proper disclosure under 35 U.S.C. § 112 in the continuation-in-part
`
`provisional application, which was filed on Sept. 11, 1997. Because features of
`
`claims 13-26, 64 and 65 were not disclosed and were not adequately supported by
`
`the parent application, they are not entitled to priority of the parent application
`
`date. Priority is determined on a claim-by-claim, not on a limitation-by-limitation,
`
`basis. See M.P.E.P. § 201.11 I.B ("[I]f a claim in a continuation-in-part
`
`application recites a feature which was not disclosed or adequately supported by a
`
`proper disclosure under 35 U.S.C. [§] 112 in the parent non-provisional
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`application, but which was first introduced or adequately supported in the
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`continuation-in-part application, such a claim is entitled only to the filing date of
`
`the continuation-in-part application.") (emphasis added). Ex. 1008 ¶ 31.
`
`Independent Claim 13
`
`A.
`Claim 13 recites a method comprising the steps of (a) "placing a substrate
`
`having a film thereon on a substrate holder in a chamber, the substrate holder
`
`having a selected thermal mass;" (b) "setting the substrate holder to a selected first
`
`substrate holder temperature with a heat transfer device;" (c) "etching a first
`
`portion of the film while the substrate holder is at the selected first substrate holder
`
`temperature;" (d) "with the heat transfer device, changing the substrate holder
`
`temperature from the selected first substrate holder temperature to a selected
`
`second substrate holder temperature;" and (e) "etching a second portion of the film
`
`while the substrate holder is at the selected second substrate holder temperature."
`
`Ex. 1001, 20:53-67; Ex. 1008 ¶ 32.
`
`The claim recites "with heat transfer device, changing the substrate holder
`
`temperature from the selected first substrate holder temperature to a selected
`
`second substrate holder temperature." Id. at 20:61-64. The claim also recites that
`
`"the thermal mass of the substrate holder" be "selected for a predetermined
`
`temperature change within a specific interval of time during processing," where
`
`"the predetermined temperature change comprises the change from the selected
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`first substrate holder temperature to the selected second substrate holder
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`temperature," and "the specified time interval comprises the time for changing
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`from the selected first substrate holder temperature to the selected second substrate
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`holder temperature." Id. at 21:1-10; Ex. 1008 ¶ 33.
`
`B.
`
`The Continuation-In-Part Provisional Application No. 60/058,650
`Disclosure Filed September 11, 1997
`1.
`In the Summary of the continuation-in-part provisional application, the
`
`Selecting A Thermal Mass of The Substrate Holder
`
`following is disclosed: "The substrate holder has a selected thermal mass to
`
`facilitate changing the temperature of the substrate to be etched." Ex. 1006-11 line
`
`30 – Ex. 1006-12 line 1. Claim 1 of the continuation-in-part provisional
`
`application recites "said substrate holder having a selected thermal mass." Ex.
`
`1006-32, line 4; Ex. 1008 ¶ 34.
`
`2.
`
` With a Heat Transfer Device, Changing The Substrate
`Holder Temperature Within a Specific Time Interval
`
`In the Summary of the continuation-in-part provisional application, the
`
`following is disclosed: "the selected thermal mass of the substrate holder allows for
`
`a change from a first temperature to a second temperature within a characteristic
`
`time period to process a film." Ex. 1006-12, lines 1-3. Claim 1 of the
`
`continuation-in-part provisional application recites "wherein said selected thermal
`
`mass allows a change from said first temperature to said second temperature within
`
`a characteristic time period to process said film." Ex. 1006-32, lines 8-10. Claim 2
`
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`recites "wherein said first temperature is changed to said second temperature by a
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`heat transfer means coupled to said substrate holder." In the description of Figure
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`1 of the continuation-in-part provisional application, the following is disclosed: "It
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`will be obvious to those skilled in the art that the heat exchanger, fluid flow rate,
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`coolant-side fluid temperature, heater power, chuck, etc. must be designed using
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`conventional means to permit the heat exchanger to bring the fluid to design
`
`temperature, permit the heater to bring the fluid to a setpoint temperature and bring
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`the temperature of the chuck and wafer to predetermined temperatures within
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`specified time intervals and within specified temperature uniformity limits." Ex.
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`1006-48, second para., last sentence. Also, the specification and Figure 2 disclose
`
`another embodiment of an automatic system for agile temperature control of the
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`wafer chuck using two reservoirs where a control system adjust the fluid flowing
`
`into the water chuck as well as the ratio of fluid from each reservoir. Ex. 1006-48,
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`last para. – Ex. 1006-50. The specification and Figure 3 further discloses the
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`programmed temperature process. Ex. 1006-50, second para. – Ex. 1006-51; Ex.
`
`1006-53; Ex. 1008 ¶ 35.
`
`3. On the Substrate Holder, Etching the Film at the Selected
`First Temperature, Changing to a Selected Second
`Temperature, and Etching at a Second Portion of the Film
`at the Selected Second Temperature.
`
`In the Summary of the continuation-in-part provisional application, the
`
`following is disclosed: "In another aspect of the invention provides an apparatus
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`for etching a substrate in the manufacture of a device using different temperatures
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`during etching." Ex. 1006-11, lines 28-29. Claim 1 of the continuation-in-part
`
`provisional application recites "performing a first etching of a first portion of said
`
`film at a first temperature and performing a second etching of a second portion of
`
`said film at a second temperature, said first temperature being different from said
`
`second temperature." Ex. 1006-32, lines 5-7. In the continuation-in-part
`
`provisional application Figure 3 and the description for Figure 3 disclose the
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`etching of the native oxide at room temperature, the etching of tungsten silicide at
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`the higher temperature, and the etching of the polysilicon at a reduced temperature,
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`all done in the same chamber. Ex. 1006-49 – Ex. 1006-50; Ex. 1006-53; Ex. 1008
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`¶ 36.
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`C. Disclosure of Parent Application No. 09/151,163 Filed December
`4, 1995
`
`The parent application, filed on Dec. 4, 1995, does not provide written
`
`description support for any of claims 13-26, 64 and 65 of the '264 patent, and thus
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`the challenged claims are entitled to priority of no earlier than Sept. 11, 1997.
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`Missing from the parent application is all the above referenced provisional
`
`application disclosure as well as the above referenced Figures 1, 2 and 3 in the
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`continuation-in-part provisional application. See Ex. 1007-53 – Ex. 1007-65
`
`(parent application figures 1-9); Ex. 1008 ¶ 37.
`
`As discussed above, claim 13 of the '264 patent recites a method of
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`performing etching on a substrate on a substrate holder having a selected thermal
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`mass, where the etching takes place at both a first temperature and a second
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`temperature of the substrate holder and the temperature is changed within a
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`specific time interval. The concepts of selecting the thermal mass of the substrate
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`holder, changing the substrate holder temperature within a specific time interval, or
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`etching the film at the selected first temperature and etching at a second portion of
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`the film at the selected second temperature are entirely lacking from the disclosure
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`of the parent application, and thus the '264 patent cannot claim priority to the
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`parent application. Indeed, there is no mention of selecting the thermal mass of the
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`substrate holder in the parent application or changing the substrate holder
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`temperature within a specific time interval. Ex. 1008 ¶ 38.
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`Only approximately one page out of 36 pages of the text of the parent
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`application's specification touches on processing a substrate at different
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`temperatures. Ex. 1007-45. Instead of disclosing changing the temperature of a
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`single substrate holder with a selected thermal mass to two different temperatures
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`for processing as recited in claim 13, the parent application discloses multiple
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`different substrate holders (or "pedestals") within different chambers, each of
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`which is kept at a different temperature. Id. Ex. 1008 ¶ 39.
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`The parent application teaches that the temperature of the substrate is
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`changed by moving the substrate to a different chamber having a different pedestal
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`between each processing step. The photoresist stripping is taught as comprising
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`two steps, followed by a cooling step. First, stripping occurs in a first chamber
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`having a pedestal set to "a temperature of about 40 °C to maintain a lower wafer
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`temperature." Ex. 1007-45, lines 16-23. In the second step, the "wafer was
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`transferred into a [second] chamber," where "overashing was performed to
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`substantially remove all photoresist material from the wafer." Id. at lines 24-31.
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`The "pedestal of this chamber was at 150 to 200 °C." Id. Then, after the stripping
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`process is completed, "the wafer is removed" from the previous chamber "and
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`placed on the cooling station," which "reduces the temperature of the wafer. Ex.
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`1007-46, lines 2-5; Ex. 1008 ¶ 40.
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`Thus, the stripping process described in the parent application requires at
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`least three separate substrate temperature-adjusting devices—at least two substrate
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`holders (one for each stripping chamber), and a separate "cooling station" to cool
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`the wafer after the photoresist has been removed. This is in contrast to claim 13,
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`which recites changing the temperature of a single substrate holder having a
`
`selected thermal mass to influence the etching process. Ex. 1008 ¶ 41.
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`Accordingly, the parent application does not disclose at least the following
`
`limitations:
`
` "substrate holder having a selected thermal mass";
`
` "a predetermined temperature change within a specific interval of time
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`during processing"; and
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` "etching a first portion of the film while the substrate holder is at the
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`selected first substrate temperature; . . . changing the substrate holder
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`temperature from the selected first substrate holder temperature to a
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`selected second substrate holder temperature; and etching a second
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`portion of the film while the substrate holder is at the selected
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`substrate holder temperature." Ex. 1008 ¶ 42.
`
`D. Claims 13-26, 64 and 65 Are Only Entitled to a Priority Date of
`September 11, 1997
`
`As shown above, the Parent Application No. 09/151,163 does not provide
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`written description support for any of the limitations of claim 13 of the '264 patent,
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`and thus the challenged claims are entitled to a priority date of no earlier than Sept.
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`11, 1997. Claims 14-26, 64 and 65 depend from claim 13. Because of their
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`dependency, these claims are entitled to a priority date of no earlier than Sept. 11,
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`1997 as well. Ex. 1008 ¶ 43.
`
`IV. CHALLENGE AND RELIEF REQUESTED
`Pursuant to 37 C.F.R. § 42.22(a)(1) and §§ 42.104(b) and (b)(1), Petitioner
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`challenges claims 13-26, 64, and 65 of the '264 patent. Petitioner respectfully
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`requests inter partes review and cancellation of claims 13-26, 64, and 65 of the
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`'264 patent based on the grounds detailed below in Section VI.
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`Specific Art and Statutory Ground(s) on Which the Challenges
`Are Based
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`A.
`
`Pursuant to 37 C.F.R. § 42.104(b)(2), inter partes review of the '264 patent
`
`is requested in view of the following references, each of which is prior art to the
`
`'264 patent: U.S. Patent No. 6,063,710 to Kadomura et al. ("Kadomura," Ex. 1002)
`
`filed Feb. 21, 1997 and issued May 16, 2000; U.S. Patent No. 5,192,849 to
`
`Moslehi ("Moslehi," Ex. 1003) filed Aug. 10, 1990 and issued Mar. 9, 1993;
`
`European Patent Application Number 93309608.3 to Collins et al. ("Collins," Ex.
`
`1004) filed Dec. 1, 1993 by Applied Materials, Inc. and published Jun. 15, 1994 as
`
`Publication No. 0601788A2; and U.S. Patent No. 5,059,770 to Mahawili
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`("Mahawili," Ex. 1005) filed Sept. 19, 1989 and issued Oct. 22, 1991.
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`Kadomura qualifies as prior art under pre-AIA 35 U.S.C. § 102(e) because
`
`the application to Kadomura was filed on Feb. 21, 1997, which is before the Sept.
`
`11, 1997 priority date of the '264 patent. Moslehi, Collins, and Mahawili qualify
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`as prior art under pre-AIA 35 U.S.C. § 102(b) because each was published or
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`issued more than one year prior to Sept. 11, 1997. The references in this Petition
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`were not before the Examiner during the prosecution of the '264 patent or its parent
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`applications. The Petition does not present the same or substantially the same prior
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`art or arguments previously presented during the prosecution of the '264 patent or
`
`its parent applications.
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`Petitioner requests cancellation of challenged claims 13-26, 64, and 65 of the
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`'264 patent under the following statutory grounds:
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`2
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`References(s)
`Ground 35 U.S.C.
`1
`§ 103(a Kadomura (embodiment 1) in view of
`Moslehi
`§ 103(a) Kadomura (embodiment 3) in view of
`Moslehi
`§ 103(a) Kadomura (embodiment 1) in view of
`Moslehi and Collins
`§ 103(a) Kadomura (embodiment 1) in view of
`Moslehi and Mahawili
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`3
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`4
`
`Claims
`13-21, 23,
`64, 65
`13, 22
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`24
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`25, 26
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`Embodiment 1 discloses a method for fabricating a W polycide. Ex. 1002, 6:1-
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`6:57, Figs. 1A-1C in Kadomura. Embodiment 3 in Kadomura discloses a method
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`for fabricating a polysilicon on an SiO2 layer. Id. at 9:33-11:4, Figs. 3A-3C.
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`Section VI demonstrates, for each of the statutory grounds, that there is a
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`reasonable likelihood that the Petitioner will prevail. See 35 U.S.C. § 314(a).
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`Additional explanation and support for each ground is set forth in the expert
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`declaration of Joseph L. Cecchi, Ph.D. Ex. 1008 ¶¶ 1-30, 44-49.
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`V.
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`PERSON HAVING ORDINARY SKILL IN THE ART
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`A Person Having Ordinary Skill In The Art ("PHOSITA") would generally
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`have had either (i) a Bachelor's degree in engineering, physics, chemistry,
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`materials science, or a similar field, and three or four years of work experience in
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`semiconductor manufacturing or related fields, or (ii) a Master's degree in
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`engineering, physics, chemistry, materials science, or a similar field and two or
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`three years of work experience in semiconductor manufacturing or related
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`fields. Ex. 1008 ¶¶ 27-30.
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`VI. THERE IS A REASONABLE LIKELIHOOD THAT AT LEAST ONE
`CLAIM OF THE '264 PATENT IS UNPATENTABLE
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`Claims 13-26, 64, and 65 of the '264 patent are unpatentable on the
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`following grounds. Pursuant to 37 C.F.R. § 42.104(b)(4), Petitioner provides in
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`the following claim charts a detailed comparison of the claimed subject matter and
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`the prior art specifying where each element of the challenged claims is found. Ex.
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`1008 ¶ 62.
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`A. Ground 1: Claims 13- 21, 23, 64, and 65 Are Rendered Obvious
`by Kadomura in View of Moslehi Under 35 U.S.C. § 103(a)
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`Kadomura teaches "an apparatus for manufacturing a semiconductor device"
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`and methods for etching a substrate (referred to as specimen W) with the apparatus
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`"wherein the temperature of the specimen is changed between etching in one step
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`and etching in the succeeding step, thereby applying etching at temperature
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`different between the one step and the succeeding step." Ex. 1002, 2:62-3:5; Ex.
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`1008 ¶ 62. Ground 1 relies on the first embodiment of Kadomura, which is
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`discussed primarily at 6:1-6:57 and in Figs. 1A-1C of Kadomura. It discloses a
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`method for fabricating a W polycide with a two-step etch process where each etch
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`is performed at a different temperature. Ex. 1002, 6:5-16; Ex. 1008 ¶ 63.
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`1. Kadomura in View of Moslehi Teaches All the Limitations
`of Independent Claim 13
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`Kadomura teaches "[a] method of etching a substrate in the manufacture of a
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`device" as recited by claim 13. See, e.g., Ex. 1002, 1:7-11 ("The present invention
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`concerns a dry etching method used mainly for the production of semiconductor
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`devices . . . ."); see also id. at 2:59-64; Ex. 1008 ¶ 64.
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`a)
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`Placing Substrate on Substrate Holder
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`Kadomura teaches the method step of "placing a substrate having a film
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`thereon
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