throbber
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
`___________
`
`PETITION FOR INTER PARTES REVIEW
`
`
`
`OF U.S. PATENT NO. RE40,264 E
`
`SIXTH 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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`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. 
`
`II. 
`
`INTRODUCTION ....................................................................................... 1 
`
`MANDATORY NOTICES PURSUANT TO 37 C.F.R. § 42.8 ................. 1 
`
`A.  Notice of Real Party-In-Interest (37 C.F.R. § 42.8(b)(1)) ................. 1 
`
`B. 
`
`C. 
`
`D. 
`
`E. 
`
`F. 
`
`Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ........................... 2 
`
`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 
`
`Certification of Grounds for Standing (37 C.F.R. §
`42.104(a)) ........................................................................................... 2 
`
`III. 
`
`PRIORITY DATE OF THE '264 PATENT ................................................ 3 
`
`A. 
`
`B. 
`
`C. 
`
`Independent Claim 27 ........................................................................ 5 
`
`Independent Claim 37 ........................................................................ 5 
`
`The Continuation-In-Part Provisional Application No.
`60/058,650 Disclosure Filed September 11, 1997 ............................. 6 
`
`1. 
`
`2. 
`
`Etching the Film (cl. 27) or Film Treatment (cl. 37) at
`the Selected First Temperature, Changing to a
`Selected Second Temperature, and Etching (cl. 27) or
`Film Treatment (cl. 37) at the Selected Second
`Temperature ............................................................................ 6 
`
`Using a Measured Substrate Temperature (cl. 27) or a
`Control Circuit and Substrate Temperature Sensor (cl.
`37) ........................................................................................... 7 
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`Page
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`D.  Disclosure of Parent Application No. 09/151,163 Filed Dec.
`4, 1995 ................................................................................................ 8 
`
`E. 
`
`Claims 27-50, 66, and 67Are Only Entitled to a Priority Date
`of September 11, 1997 ..................................................................... 12 
`
`IV. 
`
`CHALLENGE AND RELIEF REQUESTED .......................................... 12 
`
`A. 
`
`Specific Art and Statutory Ground(s) on which the
`Challenges are Based ....................................................................... 13 
`
`V. 
`
`VI. 
`
`PERSON HAVING ORDINARY SKILL IN THE ART ......................... 14 
`
`THERE IS A REASONABLE LIKELIHOOD THAT AT LEAST
`ONE CLAIM OF THE '264 PATENT IS UNPATENTABLE ................ 15 
`
`A.  Ground 1: Claims 27-29, 31-46, 50, 66, and 67 are Rendered
`Obvious by Kadomura in View of '485 Wang and Kawamura
`under 35 U.S.C. § 103(a) .................................................................. 15 
`
`1. 
`
`2. 
`
`3. 
`
`4. 
`
`5. 
`
`6. 
`
`7. 
`
`Kadomura in View of '485 Wang and Kawamura
`Teaches All the Limitations of Independent Claim 27 ......... 15 
`
`Chart for Claim 27 ................................................................ 22 
`
`Kadomura in view of '485 Wang and Kawamura
`Teaches All the Limitations of Dependent Claims 28-
`29, 31-36, 66 ......................................................................... 26 
`
`Chart for Claims 28-29, 31-36, and 66 ................................. 31 
`
`Kadomura in View of '485 Wang and Kawamura
`Teaches All the Limitations of Independent Claim 37 ......... 33 
`
`Chart for Claim 37 ................................................................ 39 
`
`Kadomura in View of '485 Wang and Kawamura
`Teaches All the Limitations of Dependent Claims 38-
`46, 50, and 67 ........................................................................ 41 
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`Page
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`8. 
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`9. 
`
`Chart for Claims 38-46, 50, and 67 ...................................... 49 
`
`Reasons for Combinability for Claims 27-29, 31-46,
`50, 66, and 67 ........................................................................ 50 
`
`B. 
`
`Ground 2: Kadomura in View of '485 Wang, Kawamura, and
`Tegal Teaches All the Limitations of Dependent Claims 30
`and 49 ............................................................................................... 53 
`
`1. 
`
`2. 
`
`Chart for Claims 30 and 49 ................................................... 53 
`
`Reasons for Combinability for claims 30 and 49 ................. 53 
`
`C. 
`
`Ground 3: Kadomura in View of EP Wang and Kawamura
`Teaches All the Limitations of Claims 37, 47, and 48 ..................... 54 
`
`1. 
`
`2. 
`
`Chart for Claims 37, 47, and 48 ............................................ 57 
`
`Reasons for Combinability for claims 37, 47, and 48 .......... 58 
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`TABLE OF AUTHORITIES
`
`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) ................................................................ 3
`
`Baldwin Graphic Systems, Inc. v. Siebert, Inc.,
`512 F. 3d 1338 (Fed. Cir. 2008) ............................................................. 17
`
`Hollmer v. Harari,
`681 F.3d 1351 (Fed. Cir. 2012) ................................................................ 3
`
`In re Alappat,
`33 F.3d 1526 (Fed. Circ. 1994) .............................................................. 43
`
`In re Freeman,
`573 F.2d 1237 (CCPA 1978) .................................................................. 43
`
`In re Noll,
`545 F.2d 141 (CCPA 1976) .................................................................... 43
`
`In re Prater,
`415 F.2d at 1403 (CCPA 1969) .............................................................. 43
`
`KSR Int'l. Co. v. Teleflex Inc.,
`550 U.S. 398 (2007).................................................................................. 1
`
`Statutes 
`
`35 U.S.C. § 102 ................................................................................................. 13
`
`35 U.S.C. § 103 ................................................................................................. 15
`
`35 U.S.C. § 112 ............................................................................................... 3, 4
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`Page(s)
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`35 U.S.C. § 120 ................................................................................................... 3
`
`35 U.S.C. § 311-319............................................................................................ 1
`
`35 U.S.C. § 314 ................................................................................................. 14
`
`Other Authorities 
`
`M.P.E.P. § 201.11 I.B ......................................................................................... 4
`
`Rules 
`
`37 C.F.R. § 42.100 .............................................................................................. 1
`
`37 C.F.R. § 42.103 .............................................................................................. 2
`
`37 C.F.R. § 42.104 ............................................................................ 2, 12, 13, 15
`
`37 C.F.R. § 42.15 ................................................................................................ 2
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`37 C.F.R. § 42.22 .............................................................................................. 12
`
`37 C.F.R. § 42.8 .............................................................................................. 1, 2
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`EXHIBIT LIST
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`
`Exhibit
`1001
`
`Description
`U.S. Patent No. RE40,264 (the '264 patent)
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`U.S. Patent No. 6,063,710 (Kadomura)
`
`U.S. Patent No. 5,219,485 ('485 Wang)
`
`European Patent Application Number 90304724.9 (Tegal)
`
`U.S. Patent No. 5,892,207 (Kawamura)
`
`European Patent Application Number 87311193.4 (EP Wang)
`
`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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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
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` Petition 6
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`In accordance with 35 U.S.C. §§ 311-319 and 37 C.F.R. § 42.100 et seq.,
`
`Lam Research Corporation ("Lam" or "Petitioner") respectfully requests that the
`
`Board institute inter partes review of claims 27-50, 66, and 67 ("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 twenty-six challenged claims are all directed to a method for processing
`
`a substrate in the manufacture of a semiconductor device.1 Ex. 1009 ¶¶ 52-60. 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. 1009 ¶¶ 61-63.
`
`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.
`
`1 Claims 13-26, 64, and 65 are challenged in a separate IPR, "Petition 5" or
`
`the "Fifth Petition," filed concurrently with this IPR. Claims 51-63, 68-71 are
`
`challenged in a separate IPR, "Petition 7" or the "Seventh Petition," filed
`
`concurrently with this IPR.
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`IPR Case No. Unassigned
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` Petition 6
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`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.
`
`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
`
`
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` Petition 6
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`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). "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 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
`
`
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`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 27-50, 66, and 67 were disclosed and adequately
`
`supported by a proper disclosure under 35 U.S.C. § 112 in the continuation-in-part
`
`provisional application filed on Sept. 11, 1997. Because certain features of claims
`
`27-50, 66, and 67 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 provisional
`
`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
`
`application, but which was first introduced or adequately supported in the
`
`continuation-in-part provisional application, such a claim is entitled only to the
`
`filing date of the continuation-in-part provisional application.") (emphasis added).
`
`Ex. 1009 ¶ 31.
`
`
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`IPR Case No. Unassigned
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` Petition 6
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`Independent Claim 27
`
`A.
`Claim 27 recites a method comprising (a) "heating a substrate holder to a
`
`first substrate holder temperature with a heat transfer device, the substrate holder
`
`having at least one temperature sensing unit; (b) "placing a substrate having a film
`
`thereon on a substrate holder within a chamber;" (c) "etching a first portion of the
`
`film at a selected first substrate temperature;" (d) "etching a second portion of the
`
`film at a selected second substrate temperature, the selected second substrate
`
`temperature being different from the selected first substrate temperature;" (e)
`
`"wherein substrate temperature is changed from the selected first substrate
`
`temperature to the selected second substrate temperature, using a measured
`
`substrate temperature, within a preselected time interval for processing" (f) "and at
`
`least the first substrate temperature or the second substrate temperature, in single or
`
`in combination, is above room temperature." Ex. 1001, 22:10-28. Ex. 1009 ¶ 32.
`
`Independent Claim 37
`
`B.
`Claim 37 recites a method comprising (a) "placing a substrate having a film
`
`thereon on a substrate holder within a chamber of a plasma discharge apparatus;"
`
`(b) "performing a first film treatment of a first portion of the film at a selected first
`
`substrate temperature;" (c) "with the substrate temperature control circuit, changing
`
`from the selected first substrate temperature to a selected second substrate
`
`temperature;" and (d) "performing a second film treatment of a second portion of
`
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`the film at the selected second substrate temperature." Ex. 1001, 22:59-23:14. Ex.
`
`1009 ¶ 33.
`
`For step (c), claim 37 recites "the substrate temperature control circuit" to be
`
`"operable to change the substrate temperature from the selected first substrate
`
`temperature to the selected second substrate temperature within a preselected time
`
`period to process the film." Ex. 1001, 23:17-21. The claim also requires that the
`
`plasma discharge apparatus comprises (1) "a substrate temperature control system
`
`comprising a substrate temperature sensor and a substrate temperature control
`
`circuit operable to adjust the substrate temperature to a predetermined substrate
`
`temperature value with a first heat transfer process" and (2) "a substrate holder
`
`temperature control system comprising a substrate holder temperature sensor and a
`
`substrate holder temperature control circuit operable to adjust the substrate holder
`
`temperature to a predetermined substrate holder temperature value with a second
`
`heat transfer process." Id. at 22:62-23:5. Ex. 1009 ¶ 34.
`
`C. The Continuation-In-Part Provisional Application No. 60/058,650
`Disclosure Filed September 11, 1997
`1.
`
`Etching the Film (cl. 27) or Film Treatment (cl. 37) at the
`Selected First Temperature, Changing to a Selected Second
`Temperature, and Etching (cl. 27) or Film Treatment (cl.
`37) 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
`
`during etching." Ex. 1007-11, 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. 1007-32, lines 5-7. The specification and Figure 3
`
`further disclose the programmed temperature process. Ex. 1007-49 – 1007-50
`
`("Programmed Temperature Process (Fig. 3)"). Ex. 1009 ¶ 35.
`
`2.
`
`Using a Measured Substrate Temperature (cl. 27) or a
`Control Circuit and Substrate Temperature Sensor (cl. 37)
`
`In the description of Figure 6 of the continuation-in-part provisional
`
`application, the following is disclosed: "Also possible to have fiber optic for
`
`interference or band edge IR sensor or [L]uxtron probe to sense bottom surface
`
`temperature of wafer and control on this temperature." Ex. 1007-46, second para.,
`
`fifth sentence. In the description of Figure 1 of the continuation-in-part provisional
`
`application, the following is disclosed: "The desired fluid temperature is
`
`determined by comparing the desired wafer or wafer chuck setpoint temperature to
`
`a measured wafer or wafer chuck temperature (this measurement can be performed
`
`with a thermocouple, thermistor, pyrometer, fluoroptic® sensor or other sensing
`
`means)." Ex. 1007-48, first para., fourth sentence. In the description of Figure 2
`
`
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`of the continuation-in-part provisional application, the following is disclosed: "In
`
`addition to the sensors TCl and TC2, it is convenient to monitor the top surface
`
`chuck temperature and the wafer temperature so that TCl can be selected to
`
`maintain the wafer temperature within a specified amount of a wafer etching or
`
`CVD temperature . . . ." Ex. 1007-49, first para., sixth sentence. The continuation-
`
`in-part application Figure 3 and the description for Figure 3 disclose the etching of
`
`the native oxide at room temperature, the etching of tungsten silicide at the higher
`
`temperature, the etching of the polysilicon at a reduced temperature , all done in
`
`the same chamber. Ex. 1007-49 – 1007-50. Ex. 1009 ¶ 36.
`
`D. Disclosure of Parent Application No. 09/151,163 Filed Dec. 4, 1995
`The parent application, filed on Dec. 4, 1995, does not provide written
`
`description support for any of claims 27-50, 66, and 67 of the '264 patent, and thus
`
`the challenged claims are entitled to priority of no earlier than Sept. 11, 1997.
`
`Missing from the parent application is all the above referenced disclosure as well
`
`as the above referenced Figures 1, 2, 3, and 6 in the continuation-in-part
`
`provisional application. See Ex. 1008-53 – 1008-65 (parent application figs. 1-9).
`
`Ex. 1009 ¶ 37.
`
`As discussed above, claims 27 and 37 of the '264 patent recites a method of
`
`performing film treatment or etching on a substrate on a substrate holder, where
`
`the film treatment or etching takes place at both a first temperature and a second
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`IPR Case No. Unassigned
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` Petition 6
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`temperature of the substrate and the temperature is changed within a specific time
`
`interval. Claim 27 requires measuring the substrate temperature and claim 37
`
`requires using a substrate temperature control circuit and a substrate temperature
`
`sensor. The concepts of etching the film at the selected first temperature and
`
`etching at a second portion of the film at the selected second temperature while on
`
`the same substrate holder and using a substrate temperature control circuit and a
`
`substrate temperature sensor are entirely lacking from the disclosure of the parent
`
`application, and thus the '264 patent cannot claim priority to the parent application.
`
`Ex. 1009 ¶ 38.
`
`There is no mention of using a substrate temperature control circuit and a
`
`substrate temperature sensor in the parent application. Also, there is no mention of
`
`changing the substrate holder temperature within a specific time interval. Ex. 1009
`
`¶ 39.
`
`Only approximately one page out of 36 pages of the text of the parent
`
`application's specification touches on processing a substrate at different
`
`temperatures. Ex. 1008-45. Instead of disclosing changing the temperature of a
`
`single substrate holder to two different temperatures for processing as recited in
`
`claims 27-50, 66, and 67, the parent application discloses multiple different
`
`substrate holders (or "pedestals") within different chambers, each of which is kept
`
`at a different temperature. Id. Ex. 1009 ¶ 40.
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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
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` Petition 6
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`The parent application teaches that the temperature of the substrate is
`
`changed by moving the substrate to a different chamber having a different pedestal
`
`between each processing step. The photoresist stripping is taught as comprising
`
`two steps, followed by a cooling step. First, stripping occurs in a first chamber
`
`having a pedestal set to "a temperature of about 40 °C to maintain a lower wafer
`
`temperature." Ex. 1008-45, lines 16-23. In the second step, the "wafer was
`
`transferred into a [second] chamber," where "overashing was performed to
`
`substantially remove all photoresist material from the wafer." Id. at lines 24-31.
`
`The "pedestal of this chamber was at 150 to 200 °C." Id. Then, after the stripping
`
`process is completed, "the wafer is removed" from the previous chamber "and
`
`placed on the cooling station," which "reduces the temperature of the wafer. Ex.
`
`1008-46, lines 2-5. Ex. 1009 ¶ 41.
`
`Thus, the stripping process described in the parent application requires at
`
`least three separate substrate temperature-adjusting devices—at least two substrate
`
`holders (one for each stripping chamber), and a separate "cooling station" to cool
`
`the wafer after the photoresist has been removed. This is in contrast to claims 27-
`
`50, 66, and 67, which recite changing the temperature of a single substrate holder
`
`to influence the film treatment or etching process. Ex. 1009 ¶ 42.
`
`Accordingly, the parent application does not disclose at least the following
`
`limitations for claims 27-36 and 66:
`
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`IPR Case No. Unassigned
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` "placing a substrate having a film thereon on the substrate holder in a
`
`chamber; etching a first portion of the film at a selected first substrate
`
`temperature; and etching a second portion of the film at a selected
`
`second substrate temperature, the selected second substrate
`
`temperature being different from the selected first substrate
`
`temperature"; and
`
` "wherein substrate temperature is changed from the selected first
`
`substrate temperature to the selected second substrate temperature,
`
`using a measured substrate temperature, within a preselected time
`
`interval." Ex. 1009 ¶ 43.
`
`
`
`Accordingly, the parent application does not disclose at least the following
`
`limitations for claims 37-50 and 67:
`
` "placing a substrate having a film thereon on a substrate holder within
`
`a chamber of a plasma discharge apparatus … performing a first film
`
`treatment of a first portion of the film at a selected first substrate
`
`temperature; with the substrate temperature control circuit, changing
`
`from the selected first substrate temperature to a selected second
`
`substrate temperature, the selected second substrate temperature being
`
`different from the selected first substrate temperature; and performing
`
`a second film treatment of a second portion of the film at the selected
`
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` Petition 6
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`second substrate temperature; wherein … the substrate temperature
`
`control circuit is operable to change the substrate temperature from
`
`the selected first substrate temperature to the selected second substrate
`
`temperature within a preselected time period to process the film"; and
`
` "a substrate temperature sensor and a substrate temperature control
`
`circuit operable to adjust the substrate temperature to a predetermined
`
`substrate temperature value with a first heat transfer process." Ex.
`
`1009 ¶ 44.
`
`E. Claims 27-50, 66, and 67Are Only Entitled to a Priority Date of
`September 11, 1997
`
`As shown above, the Parent Application No. 08/567,224 does not provide
`
`written description support for any of the claims 27 and 37 of the '264 patent, and
`
`thus the challenged claims are entitled to priority of no earlier than Sept. 11, 1997.
`
`Claims 28-36 and 66 depend from claim 27 and claims 38-50 and 67 depend from
`
`claim 37. Because of their dependency, these claims are entitled to priority of no
`
`earlier than Sept. 11, 1997 as well. Ex. 1009 ¶ 45.
`
`IV. CHALLENGE AND RELIEF REQUESTED
`Pursuant to 37 C.F.R. § 42.22(a)(1) and §§ 42.104(b) and (b)(1), Petitioner
`
`challenges claims 27-50, 66, and 67 of the '264 patent. Petitioner respectfully
`
`requests inter partes review and cancellation of the challenged claims of the '264
`
`patent based on the grounds detailed below in Section VI.
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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
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` Petition 6
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`A.
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`Specific Art and Statutory Ground(s) on which the Challenges are
`Based
`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. 5,219,485 to Wang
`
`("'485 Wang," Ex. 1003) filed Oct. 17, 1991 and issued Jun. 15, 1993; European
`
`Patent Application Number 90304724.9 to Lachenbruch et al. ("Tegal," Ex. 1004)
`
`filed May 1, 1990 by Tegal Corp. and published on Nov. 28, 1990 as Publication
`
`No. 0399676A1; U.S. Patent No. 5,892,207 to Kawamura et al. ("Kawamura," Ex.
`
`1005) filed Nov. 27, 1996 and issued Apr. 6, 1999; and European Patent
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`Application Number 87311193.4 to Wang et al. ("EP Wang," Ex. 1006) filed Dec.
`
`18, 1987 by Applied Materials, Inc. and published on Jun. 6, 1988 as Publication
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`No. 0272140A2.
`
`Kadomura and Kawamura qualify as prior art under pre-AIA 35 U.S.C. §
`
`102(e) because their application were filed before the Sept. 11, 1997 priority date
`
`of the '264 patent. '485 Wang, Tegal, Narita, and EP Wang, qualify as prior art
`
`under pre-AIA 35 U.S.C. § 102(b) because each was published or issued more than
`
`one year prior to the Sept. 11, 1997. The references in this Petition were not before
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`the Examiner during the prosecution of the '264 patent or its parent applications.
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`IPR Case No. Unassigned
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` U.S. Patent No. RE40,264
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` Petition 6
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`The Petition does not present the same or substantially the same prior art or
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`arguments previously presented during the prosecution of the '264 patent or its
`
`parent applications. Petitioner requests cancellation of challenged claims 27-50,
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`66, and 67 of the '264 patent under the following statutory grounds:
`
`References(s)
`Ground 35 U.S.C.
`1
`§ 103(a) Kadomura in view of '485
`Wang and Kawamura
`§ 103(a) Kadomura in view of '485
`Wang, Kawamura, and Tegal
`§ 103(a) Kadomura in view of
`Kawamura and EP Wang
`
`2
`
`3
`
`Claims
`27-29, 31-36, 66
`37-46, 50, 67
`30, 49
`
`37, 47, 48
`
`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).
`
`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. 1009 ¶¶ 1-30, 46-51.
`
`V.
`
`PERSON HAVING ORDINARY SKILL IN THE ART
`
`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,
`
`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. 1009 ¶¶ 27-30.
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` U.S. Patent No. RE40,264
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`IPR Case No. Unassigned
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` Petition 6
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`VI. THERE IS A REASONABLE LIKELIHOOD THAT AT LEAST ONE
`CLAIM OF THE '264 PATENT IS UNPATENTABLE
`
`Claims 27-50, 66, and 67 of the '264 patent are unpatentable on the
`
`following grounds. Pursuant to 37 C.F.R. § 42.104(b)(4), Petitioner provides in
`
`the following claim charts a detailed comparison of the claimed subject matter and
`
`the prior art specifying where each element of the challenged claims is found. Ex.
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`1009 ¶ 64.
`
`A. Ground 1: Claims 27-29, 31-46, 50, 66, and 6

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