UNITED STATES PATENT AND TRADEMARK OFFICE
`__________
`
`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
`___________
`
`DECLARATION OF JOSEPH L. CECCHI IN SUPPORT OF PETITION
`FOR INTER PARTES REVIEW OF U.S. PATENT NO. RE40,264 E
`UNDER 37 C.F.R. § 1.68
`
`DECLARATION FOR SEVENTH PETITION
`
`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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`

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` U.S. Patent No. RE40,264
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`IPR Case No. Unassigned
` Declaration for Petition 7
`
`TABLE OF CONTENTS
`
`Page
`
`I.
`
`II.
`
`INTRODUCTION ........................................................................................ 1
`
`QUALIFICATIONS AND PROFESSIONAL EXPERIENCE ................... 1
`
`III.
`
`PERSON HAVING ORDINARY SKILL IN THE ART ............................ 9
`
`IV. RELEVANT LEGAL STANDARDS........................................................ 11
`
`V.
`
`PRIORITY DATE OF THE '264 PATENT............................................... 14
`
`A.
`
`B.
`
`C.
`
`D.
`
`Independent Claim 51 ...................................................................... 14
`
`Independent Claim 56 ...................................................................... 15
`
`Independent Claim 60 ...................................................................... 16
`
`The Continuation-In-Part Provisional Application No.
`60/058,650 Disclosure Filed September 11, 1997 ........................... 16
`
`1.
`
`2.
`
`On the Substrate Holder, Etching at the First Substrate
`Temperature, Changing to a Selected Second
`Temperature, and Etching at the Selected Second
`Temperature. .......................................................................... 17
`
`Using a Control Circuit to Change from the First
`Substrate Temperature to the Second Substrate
`Temperature within a Preselected Time Period..................... 17
`
`E.
`
`Disclosure of Parent Application No. 09/151,163 Filed Dec.
`4, 1995 .............................................................................................. 18
`
`VI.
`
`THE '264 PATENT .................................................................................... 22
`
`A.
`
`B.
`
`Representative Claim 51 .................................................................. 23
`
`The '264 Patent Disclosure............................................................... 24
`
`1.
`
`Multi-Temperature Etching ................................................... 24
`
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`Page
`
`2.
`
`3.
`
`4.
`
`Substrate Holder and Heat Transfer Device .......................... 24
`
`Temperature Sensor ............................................................... 25
`
`Control System....................................................................... 25
`
`VII. TECHNICAL BACKGROUND ................................................................ 25
`
`VIII. OPINIONS RELATING TO EACH OF THE GRUONDS....................... 27
`
`A.
`
`Ground 1: Claims 51-58 and 68-69 Are Rendered Obvious
`by Kadomura, '485 Wang, and Kawamura Under 35 U.S.C.
`§ 103(a)............................................................................................. 28
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`Kadomura in View of '485 Wang, and Kawamura
`Teaches All the Limitations of Independent Claim 51.......... 28
`
`Chart for Claim 51 ................................................................. 34
`
`Kadomura, '485 Wang, and Kawamura Teach All the
`Limitations of Claims 52-55 and 68-69................................. 38
`
`Charts for Claims 52-55 and 68-69........................................ 42
`
`Kadomura in View of '485 Wang, and Kawamura
`Teaches All the Limitations of Independent Claim 56.......... 44
`
`Chart for Claim 56 ................................................................. 45
`
`Kadomura, '485 Wang, and Kawamura Teach All the
`Limitations of Claims 57-58 .................................................. 47
`
`Chart for Claims 57 and 58.................................................... 47
`
`Reasons for Combinability for Claims 56-58........................ 48
`
`10. Reasons for Combinability for Claims 51-55 and 68-
`69............................................................................................ 49
`
`B.
`
`Ground 2: Claim 59 Is Rendered Obvious by Kadomura, '485
`Wang, Kawamura, '391 Wang, and Thomas Under 35 U.S.C.
`§ 103(a)............................................................................................. 50
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`IPR Case No. Unassigned
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`Page
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Kadomura in view of '485 Wang, Kawamura, '391
`Wang, and Thomas Teaches All the Limitations of
`Independent Claim 56............................................................ 51
`
`Chart for Claim 56 ................................................................. 53
`
`Kadomura in view of '485 Wang, Kawamura, '391
`Wang, and Thomas Teaches All the Limitations of
`Claim 59................................................................................. 55
`
`Chart for Claim 59 ................................................................. 56
`
`Reasons for Combinability for Claim 59............................... 57
`
`C.
`
`Ground 3: Claims 60-61 and 71 Are Rendered Obvious by
`Kadomura, Kawamura, '485 Wang, and Fischl Under 35
`U.S.C. § 103(a)................................................................................. 58
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Kadomura in view of '485 Wang, Kawamura, and
`Fischl Teaches All the Limitations of Claim 60.................... 59
`
`Chart for Claim 60 ................................................................. 64
`
`Kadomura, Kawamura, '485 Wang, and Fischl Teach
`All the Limitations of Claims 61, 71 ..................................... 65
`
`Chart for Claims 61 and 71.................................................... 66
`
`Reasons for Combinability for Claims 60-61, 70.................. 67
`
`Ground 4: Claim 62 Is Rendered Obvious by Kadomura,
`Kawamura, '485 Wang, Fischl, and Tegal Under 35 U.S.C.
`§ 103(a)............................................................................................. 68
`
`1.
`
`2.
`
`Chart for Claim 62 ................................................................. 69
`
`Reasons for Combinability for Claim 62............................... 69
`
`Ground 5: Claim 63 Is Rendered Obvious by Kadomura,
`Kawamura, '485 Wang, Fischl, and Narita Under 35 U.S.C.
`§ 103(a)............................................................................................. 70
`
`D.
`
`E.
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`IPR Case No. Unassigned
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`Page
`
`1.
`
`2.
`
`Chart for Claim 63 ................................................................. 70
`
`Reasons for Combinability for Claim 63............................... 71
`
`F.
`
`Ground 6: Claim 70 Is Rendered Obvious by Kadomura, '485
`Wang, Kawamura, Fischl, and Hwang Under 35 U.S.C.
`§ 103(a)............................................................................................. 71
`
`1.
`
`2.
`
`Chart for Claim 70 ................................................................. 73
`
`Reasons for Combinability for Claim 70............................... 73
`
`IX. CONCLUSION........................................................................................... 74
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`IPR Case No. Unassigned
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`I.
`
`INTRODUCTION
`
`
`
` U.S. Patent No. RE40,264
` Declaration for Petition 7
`
`1.
`
`I am over 18 years of age and otherwise competent to make this
`
`Declaration.
`
`2.
`
`I have been asked to provide my views regarding technical issues in
`
`connection with the above-captioned inter partes review of U.S. Patent No.
`
`RE40,264 E ("the '264 patent"). I opine only with respect to certain issues that are
`
`discussed in this declaration.
`
`II. QUALIFICATIONS AND PROFESSIONAL EXPERIENCE
`
`3.
`
`I am currently Dean of the School of Engineering and Professor of
`
`Chemical and Biological Engineering at the University of New Mexico ("UNM").
`
`This is my second term as Dean, and the term began in February 2014. I have held
`
`my appointment as Professor since joining UNM in 1994. I also serve
`
`concurrently as Associate Provost for National Laboratory Relations.
`
`4.
`
`From 2011 to 2012, while on leave from UNM, I served as Provost
`
`and Professor of Engineering at the Masdar Institute of Science and Technology in
`
`Abu Dhabi, United Arab Emirates.
`
`5.
`
`My first appointment as Dean of the School of Engineering extended
`
`from 2000 to 2009. From 2004 to 2011, I was Chair of the Board of Directors of
`
`the Science and Technology Corp. at UNM, the university's technology transfer
`
`organization responsible for patenting and licensing UNM's intellectual property. I
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`currently serve as Vice Chair of the Science and Technology Corp. at UNM.
`
`6.
`
`From 1994 until 2000, I was Chair of the Department of Chemical and
`
`Nuclear Engineering at UNM. Previously, I was a Lecturer with the rank of
`
`Professor in the Department of Chemical Engineering at Princeton University,
`
`where I also directed the Graduate Program in Plasma Science and Technology. I
`
`was associated with the Plasma Physics Laboratory at Princeton University for
`
`twenty-one years, as leader of the Plasma Processing Group (1987-1994); Principal
`
`Research Physicist (1984-1994); leader of the Materials Physics Group (1979-
`
`1987); Research Physicist (1978-1984); and Staff Physicist (1972-1978).
`
`7.
`
`From 1991 to 1994, I was Director of the New Jersey SEMATECH
`
`Center of Excellence for Plasma Etching. This organization, which involved four
`
`universities and one industrial laboratory, was engaged in state-of-the-art research
`
`in plasma processing for semiconductor manufacturing.
`
`8.
`
`From 1992 to 2001, I worked on three committees established by the
`
`Semiconductor Industry Association ("SIA") to generate technology "roadmaps"
`
`for semiconductor manufacturing. Most recently, from 1998 to 2000, I was a
`
`member of the Interconnect Technical Working Group ("TWG") for the SIA
`
`International Technology Roadmap for Semiconductors ("ITRS").
`
`9.
`
`I obtained my Ph.D. in physics from Harvard University in 1972. I
`
`also received a Master's degree in physics from Harvard University in 1969, a
`
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`Bachelor's degree in physics from Knox College in 1968, and a Master's of
`
`Business Administration (MBA) degree from the University of New Mexico in
`
`2011.
`
`10.
`
`I have had significant research experience in a number of areas
`
`pertaining to semiconductor devices and their manufacturing, including plasma
`
`physics, plasma chemistry, plasma etching, plasma enhanced chemical vapor
`
`deposition (PECVD), atomic layer deposition (ALD), which is a form of chemical
`
`vapor deposition, plasma-assisted ALD, and chemical-mechanical-polishing
`
`(CMP), sometimes called "chemical-mechanical-planarization".
`
`11.
`
`I have published over ninety papers in my fields of expertise. Among
`
`the eight United States patents on which I am an inventor, and an additional patent
`
`application for which the claims have been allowed, the following six are in the
`
`area of plasma technology for manufacturing semiconductors and other materials:
`
`
`
`
`
`"Method and Apparatus for Coupling a Microwave Source in an
`
`Electron Cyclotron Resonance System," U.S. Patent No. 5,111,111,
`
`issued September 30, 1991;
`
`"Apparatus and Method for Uniform Microwave Plasma Processing
`
`Using TE11 and TM01 Modes," U.S. Patent No. 5,302,803, issued
`
`April 12, 1994;
`
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`"Apparatus and Process for Producing High Density Axially Extended
`
`
`
`
`
`
`
`
`
`Plasmas," U.S. Patent No. 5,587,038, issued December 24, 1996;
`
`"Method of Making Dense, Conformal, Ultra-Thin Cap layers for
`
`Nanoporous Low-k ILD by Plasma Assisted Atomic Layer
`
`Deposition," U.S. Patent No. 7,947,579, issued May 24, 2011; and
`
`"Ultra-Thin Microporous/Hybrid Materials," U.S. Patent No.
`
`8,187,678, issued May 29, 2012.
`
`"Enzymatically Active High-Flux Selectively Gas-Permeable
`
`Membranes," U.S. Patent Application No. 14/215,962, Claims
`
`Allowed, September 29, 2015.
`
`12.
`
`I have been elected as a fellow in AVS, The Society for the Science
`
`and Technology of Materials, Interfaces, and Processing.
`
`13.
`
`I am aware of research and development activities ongoing in
`
`semiconductor manufacturing and devices since the 1980s time frame. As a result
`
`of my research experience in the plasma etching, deposition, and CMP areas, I am
`
`also familiar with other silicon semiconductor process technologies that directly
`
`impact these areas, including such things as lithography and cleaning techniques.
`
`14. As a professor, I have taught courses in silicon semiconductor devices
`
`and process technology at undergraduate and graduate levels. Many of the
`
`students I have taught have gone on to work for companies engaged in
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`semiconductor manufacturing. I have supervised the research of a number of
`
`students in semiconductor manufacturing as part of their work for their M.S. and
`
`Ph.D. degrees.
`
`15. My curriculum vitae (CV) (Exhibit 1014) includes additional details
`
`about my experience and professional background.
`
`16.
`
`The '264 patent generally relates to "plasma processing" (Ex. 1001,
`
`1:18), with specific applications to plasma etching, plasma assisted chemical vapor
`
`deposition, and materials that include silicon, silicon dioxide, silicon nitride,
`
`polysilicon, and others. Id. at 1:23-31. The specification of the '264 patent also
`
`discloses that "[p]referably, the plasma discharge is derived from the inductively
`
`couple plasma source that is a de-coupled plasma source ('DPS') or a helical
`
`resonator, though other sources can be employed." Id. at 4:4-7.
`
`17.
`
`In my research, I have designed, constructed, and used de-coupled
`
`plasma sources, including inductively coupled plasma sources, helicon plasma
`
`sources, and electron cyclotron plasma (ECR) sources. These sources are also
`
`high-density plasma sources. I have used these plasma sources for plasma etching
`
`and plasma assisted chemical vapor deposition. For example, publication 74 in my
`
`CV (Ex. 1014 at 15), describes a plasma processing apparatus, including an
`
`electron cyclotron resonance (ECR) plasma source used for plasma etching of
`
`polysilicon, silicon dioxide and silicon. The plasma processing apparatus, shown
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`in Figure 1 of this publication, includes an ECR source chamber and a downstream
`
`processing chamber. The latter includes a water cooled wafer chuck (or substrate
`
`holder) that incorporated Helium at 1-2 Torr pressure between the wafer and the
`
`chuck to provide enhanced heat transfer.
`
`18.
`
`Publications 75 and 77 in my CV (Ex. 1014 at 15) describe improved
`
`operational characteristics of an ECR plasma etch reactor based on optimizing the
`
`coupling of the microwave power to the plasma. The optimized coupling reduces
`
`the reflected power to less than 5% of the incident power without external tuning,
`
`simplifying control of the plasma operation. This work underpins U.S. Patent,
`
`5,111,111, on which I am co-inventor.
`
`19.
`
`Publications 78 and 79 in my CV (Ex. 1014 at 15) describe a method
`
`for producing more uniform plasmas in ECR plasma etch reactors. This work
`
`includes results of etching a photoresist patterned, n-doped polysilicon layer
`
`deposited over an oxide layer on a silicon wafer, using an SF6/Ar gas mixture. An
`important result is that the polysilicon etch rate uniformity across the wafer was
`
`correlated with the plasma uniformity. When the plasma uniformity was
`
`maximized, the polysilicon etch rate across the wafer was uniform to within about
`
`2%.
`
`20.
`
`Publication 81 in my CV (Ex. 1014 at 16) describes a method for
`
`providing independent radio frequency (rf) wafer biasing on the wafer chuck in a
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`manner that produces more uniform ion bombardment across substrates being
`
`processed. This work shows that using a lower rf frequency for wafer biasing
`
`results in a more uniform distribution of ion bombardment across the wafer.
`
`21.
`
`Publication 88 in my CV (Ex. 1014 at 16) addresses a critical issue of
`
`using an inductively couple plasma (ICP) source to etch silicon dioxide with high
`
`selectivity to silicon. Selectivity is achieved by introducing gas mixtures
`
`containing C, F, and H into the plasma source, which dissociates the feedstock
`
`gases to produce fluorocarbon radicals that deposit a polymer on the wafer surface.
`
`The polymer suppresses etch rates of silicon compared to the etch rates of silicon
`
`dioxide, thus promoting selectivity of oxide etching. The wafer chuck in this
`
`plasma apparatus was water cooled. Helium at 10 Torr was introduced between
`
`the water cooled chuck and wafer to promote heat transfer. The wafer temperature
`
`was measured using a Luxtron fluoroptic thermometer. Concentrations of the
`
`fluorocarbon radicals were measured by diode laser absorption spectroscopy and
`
`correlated to measurements of the thickness of the deposited polymer.
`
`22. As further examples, publications 92, 93, and 94 in my CV (Ex. 1014
`
`at 17) relate to a process of plasma-assisted atomic layer deposition, which is a
`
`form of plasma-assisted chemical vapor deposition that provides layer-by-layer
`
`control of thin film deposition. An inductively coupled plasma source was used in
`
`this work. Publications 92 and 93 describe how plasma-assisted atomic layer
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`deposition of silicon dioxide can be applied to producing a material that can be
`
`used for interlevel dielectrics between conductors in integrated circuits. These
`
`plasma processes are also the subject matter in U.S. Patent Nos. 7,947,579 and
`
`8,187,678, on which I am an inventor.
`
`23.
`
`I am being compensated for my time at my standard hourly rate of
`
`$450 in connection with this proceeding. My compensation is in no way
`
`contingent upon my performance or the outcome of this case.
`
`24.
`
`I have been asked my technical opinions regarding the understanding
`
`of a person of ordinary skill in the art (discussed below) as it relates to the '264
`
`patent and other reference documents.
`
`25.
`
`I have also been asked to provide my technical opinions on concepts
`
`discussed in the '264 patent and other reference documents, as well as my technical
`
`opinions on how these concepts relate to several claim limitations of the '264
`
`patent in the context of the specification.
`
`26.
`
`In reaching the opinions stated herein, I have considered the '264
`
`patent, its prosecution history, and the references listed in the table below, and
`
`have also drawn as appropriate upon my own education, training, research,
`
`knowledge, and personal and professional experience.
`
`Exhibit
`1001
`
`Description
`U.S. Patent No. RE40,264 (the '264 patent)
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`U.S. Patent No. 6,063,710 (Kadomura)
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`1012
`
`1014
`
`1015
`
`U.S. Patent No. 5,219,485 ('485 Wang)
`
`U.S. Patent No. 5,892,207 (Kawamura)
`
`D. S. Fischl, G. W. Rodrigues, and D. W. Hess, Etching of
`Tungsten and Tungsten Silicide Films by Chlorine Atoms
`
`European Patent Application No. 90304724.9 to Lachenbruch
`et al.
`
`U.S. Pat. No. 4,913,790 (Narita)
`
`U.S. Pat. No. 4,992,391 ('391 Wang)
`
`U.S. Pat. No. 4,680,086 (Thomas)
`
`U.S. Pat. No. 5,174,856 (Hwang)
`
`Continuation-in-Part Provisional Application No. 0/058,650 filed
`Sept. 11, 1997
`
`Parent Application No. 08/567,224 filed Dec. 4, 1995
`
`Curriculum Vitae of Joseph L. Cecchi, Ph.D.
`
`Daniel L. Flamm and G. Kenneth Herb, "Plasma Etching
`Technology – An Overview" in Plasma Etching, An Introduction,
`Dennis M. Manos and Daniel L. Flamm, eds. (Academic Press,
`San Diego, 1988).
`
`III. PERSON HAVING ORDINARY SKILL IN THE ART
`
`27.
`
`I have approached my analysis of the '264 patent from the perspective
`
`of a person having ordinary skill in the art (a PHOSITA) at the time of the
`
`purported invention of the '264 patent. As explained below in Section V, the
`
`parent application does not disclose numerous limitations of the challenged claims.
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`Thus, I have been informed that the relevant time of the purported invention is
`
`September 11, 1997, the date of the provisional application to which the '264
`
`patent claims priority.
`
`28.
`
`I have been informed by counsel that a person having ordinary skill in
`
`the art is a hypothetical person who is presumed to have known all of the relevant
`
`art at the time of the invention. Factors that may be considered in determining the
`
`level of ordinary skill in the art may include: (1) type of problems encountered in
`
`the art; (2) prior art solutions to those problems; (3) rapidity with which
`
`innovations are made; (4) sophistication of the technology; and (5) educational
`
`level of active workers in the field. I have been informed by counsel that it is from
`
`the viewpoint of a person of ordinary skill in the art that determined patentability.
`
`29. Based on these factors, in my opinion, a person having ordinary skill
`
`in the art of the '264 patent would generally have had either (i) a Bachelor's degree
`
`in engineering, physics, chemistry, materials science, or a similar field, and three
`
`or four years of work experience in semiconductor manufacturing or related fields,
`
`or (ii) a Master's degree in engineering, physics, chemistry, materials science, or a
`
`similar field and two or three years of work experience in semiconductor
`
`manufacturing or related fields.
`
`30. Based on this understanding of a PHOSITA for the '264 patent, I
`
`believe that I am at least a person having ordinary skill in the art for purposes of
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`the '264 patent. For example, my qualifications and experiences discussed in
`
`Section II above, and in my CV (Ex. 1014), demonstrate my familiarity with and
`
`knowledge of the art of the '264 patent. I therefore believe that I am qualified to
`
`offer this declaration as to how such a person would have interpreted the '264
`
`patent and the prior art on or about September 11, 1997. Unless otherwise stated,
`
`my statements below refer to the knowledge, beliefs and abilities of a person
`
`having ordinary skill in the art of the '264 patent at the time of the purported
`
`invention of the '264 patent.
`
`IV. RELEVANT LEGAL STANDARDS
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`31. My opinions are informed by my understanding of the relevant law. I
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`understand that the patentability analysis is conducted on a claim-by-claim basis.
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`32.
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`I understand that a single piece of prior art "anticipates" a claim if
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`each and every element of the claim is disclosed in that prior art. I further
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`understand that, where a claim element is not explicitly disclosed in a prior art
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`reference, the reference may nonetheless anticipate a claim if the missing claim
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`element is necessarily present in the apparatus or a natural result of the method
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`disclosed—i.e., if the missing element is "inherent."
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`33.
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`I understand that the prior art may render a patent claim "obvious." I
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`understand that two or more pieces of prior art that each disclose fewer than all
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`elements of a patent claim may nevertheless be combined to render a patent claim
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`6416519.6 04
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`LAM Exh 1013-pg 16
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`

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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
` Declaration for Petition 7
`obvious if the combination of the prior art collectively discloses all elements of the
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`claim and a person having ordinary skill in the art at the time would have had
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`reason to combine the prior art. I understand that this reason to combine need not
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`be explicit in any of the prior art, but may be inferred from the knowledge of a
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`person having ordinary skill in the art at the time the patent application was filed. I
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`also understand that a person having ordinary skill in the art is not an automaton,
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`but is a person having ordinary creativity. I further understand that one or more
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`pieces of prior art that disclose fewer than all of the elements of a patent claim may
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`render a patent claim obvious if including the missing element would have been
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`obvious to a person having ordinary skill in the art (e.g., the missing element
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`represents only an insubstantial difference over the prior art or a reconfiguration of
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`a known system).
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`34.
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`I understand that a patent claim is obvious if the differences between
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`the subject matter claimed and the prior art are such that the subject matter as a
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`whole would have been obvious at the time the alleged invention was made. I
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`understand that the obviousness analysis must focus on the knowledge available to
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`one of skill in the art at the time of the alleged invention in order to avoid
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`impermissible hindsight. I further understand that the obviousness inquiry assumes
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`that the person having ordinary skill in the art would have knowledge of all
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`relevant references available at the time of the alleged invention.
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`6416519.6 04
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`LAM Exh 1013-pg 17
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`

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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
` Declaration for Petition 7
`I also understand that the USPTO has identified exemplary rationales
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`35.
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`that may support a conclusion of obviousness, and I have considered those
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`rationales in my analysis. The rationales include:
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`
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`
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`
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`
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`
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`
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`Combining prior art elements according to known methods to yield
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`predictable results;
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`Simple substitution of one known element for another to obtain
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`predictable results;
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`Use of known technique to improve similar devices (methods or
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`products) in the same way;
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`Applying a known technique to a known device (methods or products)
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`ready for improvement to yield predictable results;
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`Choosing from a finite number of identified, predictable solutions,
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`with a reasonable expectation of success, such that the effort was
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`"obvious to try";
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`Known work in one field of endeavor that may prompt variations on
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`the work for use in either the same field or a different one based on
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`design incentives or other market forces if the variations are
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`predictable to a person having ordinary skill in the art;
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`
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`Some teaching, suggestion, or motivation in the prior art that would
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`have led a person having ordinary skill in the art to modify the prior
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`6416519.6 04
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`LAM Exh 1013-pg 18
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`

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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
` Declaration for Petition 7
`art reference or to combine prior art reference teachings to arrive at
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`the claimed invention.
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`36.
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`I appreciate that secondary considerations may be considered, if
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`present, as part of the overall obviousness analysis. Such considerations do not
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`appear to be present here:
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`
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`
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`
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`I have never heard anyone offer praise for the '264 patent, nor am I
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`aware of any commercial success attributable to the '264 patent.
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`I am also unaware of any copying of the alleged invention of the '264
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`patent.
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`I am unaware of any use to which the owner of the '264 patent has put
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`the patent except to assert it in litigation.
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`V.
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`PRIORITY DATE OF THE '264 PATENT
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`37.
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`The '264 patent is a reissue of U.S. Patent No. 6,231,776 ("the '776
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`patent"), which issued from Application No. 09/151,163 filed on Sept. 10, 1998
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`and Provisional Application No. 60/058,650 filed on Sept. 11, 1997 ("the
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`continuation-in-part provisional application"), which is a continuation-in-part of
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`Application No. 08/567,224 ("the parent application") filed on Dec. 4, 1995. Ex.
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`1001. As discussed below, claims 51-63 and 68-71 were not disclosed and
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`adequately supported by the parent application
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`A.
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`Independent Claim 51
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`6416519.6 04
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`LAM Exh 1013-pg 19
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`

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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
` Declaration for Petition 7
`38. Claim 51 recites a method comprising the steps of (a) "placing a
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`substrate having a film thereon on a substrate holder in a processing chamber; the
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`processing chamber comprising the substrate holder, a substrate control circuit
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`operable to adjust the substrate temperature, a substrate holder temperature sensor,
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`and a substrate holder control circuit operable to maintain the substrate holder
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`temperature;" (b) "performing a first etching of a first portion of the film at a
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`selected first substrate temperature;" (c) "performing a second etching of a second
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`portion of the film at a selected second substrate temperature, the second
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`temperature being different from the first temperature." Ex. 1001, 24:4-19. The
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`claim recites "the substrate temperature control circuit effectuates the change from
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`the first substrate temperature to the second substrate temperature within a
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`preselected time period." Id. at 24:23-26.
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`B.
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`Independent Claim 56
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`39. Claim 56 recites a method comprising the steps of (a) "placing the
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`substrate on a substrate holder;" (b) "sensing a substrate holder temperature," (c)
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`"etching at least a portion of a first silicon-containing layer in a chamber while the
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`substrate is maintained at a selected first substrate temperature;" (d) "etching at
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`least a portion of a second silicon-containing layer in the chamber while the
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`substrate is maintained at a selected second substrate temperature." Ex. 1001,
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`24:40-51. The claim recites "the substrate temperature is changed from the first
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`6416519.6 04
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`LAM Exh 1013-pg 20
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`

`
`IPR Case No. Unassigned
`
` U.S. Patent No. RE40,264
` Declaration for Petition 7
`substrate temperature to the second substrate temperature with a control circuit
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`operable to effectuate the changing within a preselected time period that is less
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`than the overall process time associated with the etching the first silicon-containing
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`layer and the second silicon-containing layer." Id. at 24:55-61.
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`C.
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`Independent Claim 60
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`40. Claim 60 recites a method comprising the steps of (a) "transferring a
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`substrate comprising a stack of layers including a silicide layer into a chamber, the
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`chamber comprising a substrate holder;" (b) "sensing the substrate holder
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`temperature;" (c) "heating the substrate holder with a substrate holder control
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`circuit and a heating device to maintain the substrate holder at a temperature that is
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`operable to effectuate a substrate temperature above room temperature while
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`processing the substrate;" (d) "processing the substrate on the substrate holder at a
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`first substrate temperature;" and (e) "processing the substrate on the substrate
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`holder at a second substrate temperature to etch at least a portion of the silicide
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`layer." Ex. 1001, 25:9-26. The claim recites "wherein the first substrate
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`temperature is different from the second substrate temperature and the first
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`substrate temperature is changed to the second substrate temperature with a
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`substrate temperature control circuit within a preselected time t