UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`INTEL CORPORATION, GLOBALFOUNDRIES U.S., INC.,
`MICRON TECHNOLOGY, INC., and
`SAMSUNG ELECTRONICS COMPANY, LTD.,
`Petitioners,
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`v.
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`DANIEL L. FLAMM,
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`Patent Owner.
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`PTAB Case No. IPR2017-002811
`Patent No. RE40,264 E
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`PETITIONERS’ REPLY TO PATENT OWNER’S RESPONSE
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`Claims 37-50 & 67
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` 1
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` Samsung Electronics Company, Ltd. was joined as a party to this proceeding via
`a Motion for Joinder in IPR2017-01751.
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`
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`

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`TABLE OF CONTENTS
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`
`Page
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`B.
`
`C.
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`2.
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`2.
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`B.
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`
`I.
`II.
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`V.
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`
`
`Introduction ..................................................................................................... 1
`Combinations based on Kadomura and Matsumura rendered claims
`37-46, 49-50, and 67 obvious ......................................................................... 2
`A.
`The prior art taught changing processing temperature within a
`“preselected time period” ..................................................................... 3
`It would have been obvious to combine Kadomura and
`Matsumura ............................................................................................ 4
`1.
`A skilled person would have combined Kadomura and
`Matsumura ................................................................................. 5
`Flamm does not meaningfully address some of
`Petitioners’ motivations and his arguments on the others
`fail .............................................................................................. 8
`Flamm mischaracterizes Kadomura and Matsumura ......................... 12
`1.
`Kadomura ................................................................................. 13
`2. Matsumura ............................................................................... 15
`III. Combinations based on Kikuchi and Matsumura also rendered claims
`37-46, 49-50, and 67 obvious ....................................................................... 16
`A. Kikuchi and Matsumura disclosed each element of claim 37 ............ 17
`1.
`Kikuchi and Matsumura taught claim 37, limitations [a]
`and [b] ...................................................................................... 17
`Kikuchi and Matsumura disclosed claim 37, limitations
`[b] and [f] ................................................................................. 20
`A skilled person would have been motivated to combine
`Kikuchi and Matsumura ..................................................................... 21
`IV. The combination of Moslehi ’824, Oka, and Matsumura rendered
`claims 37, 47, and 48 obvious ...................................................................... 22
`Petitioners rely on the same theories of unpatentability as in the
`Petition .......................................................................................................... 25
`VI. Flamm has waived any arguments unique to the dependent claims ............ 25
`-i-
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`

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`TABLE OF CONTENTS
`(continued)
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`Page
`VII. Flamm’s supporting declaration is entitled to little, if any, weight .............. 26
`VIII. Conclusion .................................................................................................... 28
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`-ii-
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`

`TABLE OF AUTHORITIES
`
`
`
`
`CASES
`Belden Inc. v. Berk-Tek LLC,
`805 F.3d 1064 (Fed. Cir. 2015) .......................................................................... 25
`
`Intelligent Bio-Systems, Inc. v. Illumina Cambridge Ltd.,
`821 F.3d 1359 (Fed. Cir. 2016) .......................................................................... 25
`
`Meiresonne v. Google, Inc.,
`849 F.3d 1379 (Fed. Cir. 2017) .................................................................... 14, 16
`
`OTHER AUTHORITIES
`
`37 C.F.R. § 42.23(b) ................................................................................................ 25
`
`37 C.F.R. § 42.65(a) ................................................................................................. 26
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`
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`-iii-
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`

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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
`
`UPDATED EXHIBIT LIST
`
`Petitioner’s Exhibits
`
`Exhibit
`
`Description
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`Ex. 1001 U.S. Patent No. RE40,264 (“’264 patent”)
`
`Ex. 1002 U.S. Patent No. 5,605,600 (“Muller”)
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`Ex. 1003 U.S. Patent No. 5,151,871 (“Matsumura”)
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`Ex. 1004 U.S. Patent No. 5,226,056 (“Kikuchi”)
`
`Ex. 1005 U.S. Patent No. 6,063,710 (“Kadomura”)
`
`Ex. 1006 Declaration of Dr. John Bravman in Support of Petition for Inter
`Partes Review of U.S. Patent No. RE40,264
`
`Ex. 1007 U.S. Patent Application No. 08/567,224 (“’224 application”)
`
`Ex. 1008 Wright, D.R. et al., A Closed Loop Temperature Control System for
`a Low-Temperature Etch Chuck, Advanced Techniques for
`Integrated Processing II, Vol. 1803 (1992), pp. 321–329 (“Wright”)
`
`Ex. 1009 U.S. Patent No. 5,711,849 (“’849 patent”)
`
`Ex. 1010 U.S. Patent No. 5,446,824 (“Moslehi ’824”)
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`Ex. 1011 U.S. Patent No. 6,235,563 (“Oka”)
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`Ex. 1012 U.S. Patent No. 5,628,871 (“Shinagawa”)
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`Ex. 1013 U.S. Patent No. 5,393,374 (“Sato”)
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`Ex. 1014
`
`PTAB Decision Denying Institution of Inter Partes Review, Lam
`Research Corp. v. Daniel L. Flamm, IPR2016-00470, Paper 6 (July
`1, 2016)
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`
`
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`-iv-
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`

`

`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
`
`UPDATED EXHIBIT LIST (continued)
`
`PTAB Institution of Inter Partes Review, Lam Research Corp. v.
`Daniel L. Flamm, IPR2015-01768, Paper 7 (February 24, 2016)
`
`Ex. 1015
`
`Ex. 1016
`
`PTAB Institution of Inter Partes Review, Lam Research Corp. v.
`Daniel L. Flamm, IPR2015-01764, Paper 7 (February 24, 2016)
`
`Ex. 1017 U.S. Patent No. 5,242,536 (“Schoenborn”)
`
`Ex. 1018
`
`Petition for Inter Partes Review of U.S. Patent No. RE40,264 E
`Fourth Petition, Lam Research Corp. v. Daniel L. Flamm, IPR2015-
`01768, Paper 1 (August 18, 2015)
`
`Ex. 1019 U.S. Patent No. 5,174,856 (“Hwang”)
`
`Ex. 1020 U.S. Patent No. 4,331,485 (“Gat”)
`
`Ex. 1021 Declaration of Rachel J. Watters regarding Exhibit 1008
`
`Ex. 1022 Declaration of Jared Bobrow in Support of Motion for Pro Hac Vice
`Admission
`
`Ex. 1023 Declaration of Chad Campbell in Support of Motion for Pro Hac
`Vice Admission
`
`Ex. 1024
`
`Ex. 1025
`
`Ex. 1026
`
`Ex. 1027
`
`Reply Declaration of Dr. John Bravman in Support of Petition for
`Inter Partes Review of U.S. Patent No. RE40,264 and Reply to
`Patent Owner’s Response
`
`Final Written Decision, Thorley Indus. LLC v. Kolcraft Enter., Inc.,
`IPR2016-00352, Paper 25 (June 1, 2017)
`
`Final Written Decision, inContact, Inc. v. Microlog Corp., IPR2015-
`00560, Paper 21 (July 28, 2016)
`
`Patent Owner Preliminary Response, Lam Research Corp. v. Daniel
`L. Flamm, IPR2016-00470, Paper 5 (April 27, 2016)
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`-v-
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
`
`UPDATED EXHIBIT LIST (continued)
`
`Final Written Decision, Curt G. Joa, Inc. v. Fameccanica.Data
`S.p.A., IPR2016-00906, Paper 79 (October 11, 2017)
`
`Ex. 1028
`
`Ex. 1029 Decision Denying Institution of Inter Partes Review, Kinetic
`Techs., Inc. v. Skyworks Sols., Inc., IPR2014-00529, Paper 8
`(September 23, 2014)
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`-vi-
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`

`I.
`
`Introduction
`
`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
`
`Claims 37-50 and 67 of the ’264 patent recite well-known and long-used
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`semiconductor processing techniques. Having no way to dispute that fact, Patent
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`Owner (“Flamm”) fails to address most claim limitations in his Response to the
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`5
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`Petition. He focuses instead on the requirement in independent claim 37 for
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`changing processing temperatures “within a preselected time period.” But, as with
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`the claims’ other limitations, that approach was not new at the time of the alleged
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`invention. For example, Matsumura disclosed preselecting temperature change
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`times as part of process recipes programmed into a computer. As Flamm admits
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`10
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`(Paper 13 at 17), the use of preprogrammed recipes was “common knowledge,”
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`“pervasive,” and “obvious.”
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`Unable to dispute that the combined disclosures of the prior art taught what
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`is claimed (including temperature changes “within a preselected time period”),
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`Flamm’s Response attacks Petitioners’ motivations for combining the references,
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`15
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`arguing that the motivations are missing or conclusory. But the Petition and
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`supporting expert declaration from Dr. John Bravman identified and explained
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`multiple motivations to support Petitioners’ proposed prior art combinations.
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`Flamm simply fails to address many of Petitioners’ identified motivations to
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`combine, leaving that evidence unrebutted.
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`20
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`Flamm also mischaracterizes the prior art’s teachings and mistakenly argues
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`-1-
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`that prior art “teaches away” from the alleged invention because it differs from
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`certain embodiments in the ’264 patent. To the contrary, the references establish
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`that the claimed techniques were widespread and had well-understood benefits.
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`Flamm fails to identify any instance where the allegedly inventive approach is
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`5
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`criticized, discredited, or discouraged. Finally, while Flamm submitted a
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`supporting declaration, he is an interested party and his declaration is entitled to
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`little, if any, weight.
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`This Reply is supported by the Reply Declaration of Dr. Bravman (Ex. 1024)
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`and responds to the arguments made in Flamm’s Response (Paper 13) and
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`10
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`declaration (Ex. 2001).
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`II. Combinations based on Kadomura and Matsumura rendered claims 37-
`46, 49-50, and 67 obvious
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`In response to Petitioners’ evidence that prior art combinations based on
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`Kadomura and Matsumura rendered claims 37-46, 49-50, and 67 unpatentable as
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`15
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`obvious, Flamm focuses on one limitation of independent claim 37 directed to
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`changing temperature within a “preselected time period.” (Paper 13 at 7; Ex. 2001
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`¶9.) Flamm does not dispute that Petitioners’ Kadomura-based prior art
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`combinations disclosed all the other limitations of claim 37, and he does not
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`contest that at least Matsumura taught the “preselected time period” limitation.
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`20
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`Flamm’s primary argument is that it would not have been obvious to
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`combine Kadomura and Matsumura. But Flamm’s arguments mischaracterize
`-2-
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`

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`Kadomura and Matsumura and misapply the law on whether a prior art reference
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`“teaches away” from the alleged invention. As Petitioners and Dr. Bravman
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`demonstrated, there are many reasons why a skilled person would have combined
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`Kadomura and Matsumura.
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`5
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`A. The prior art taught changing processing temperature within a
`“preselected time period”
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`Kadomura disclosed changing temperature in “about 30 sec” or “about 50
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`sec” as part of its etching process. (Ex. 1005, 6:52-55, 10:11-13; Ex. 1006 ¶157.)
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`Matsumura disclosed semiconductor processing based on “predetermined recipe[s]”
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`10
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`that included temperature change times. (Ex. 1003, 3:1-7, 3:14-16; Paper 2 at 14-
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`15, 27-28; Ex. 1006 ¶¶143-144, 159-160.) Figure 9 below shows an example
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`recipe, including specific time periods of 20 seconds and 60 seconds for
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`temperature changes, as shown in red annotations. A control system (CPU and
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`PID controller) applied signals “responsive to inputted recipes and temperature
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`15
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`detecting signal[s]” to execute the preprogrammed recipes. (Ex. 1003, 5:58-63.)
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`-3-
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`

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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
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`Flamm does not dispute that Matsumura disclosed using a “preselected time
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`period” for changing processing temperatures. Indeed, Flamm admits that
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`Matsumura’s “stored recipe[s]” are the “crux” of the reference’s teachings. (Paper
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`5
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`13 at 7; Ex. 2001 ¶11.) Instead, Flamm erroneously argues that Matsumura fails to
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`teach “anything about etching,” despite Matsumura’s express teaching that its
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`methods can be applied to etching. (Paper 13 at 6.)
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`B.
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`It would have been obvious to combine Kadomura and
`Matsumura
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`10
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`Ignoring the evidence cited in the Petition and Dr. Bravman’s opening
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`declaration (Ex. 1006), Flamm argues that Petitioners have failed to establish any
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`motivation for combining Kadomura and Matsumura. (Paper 13 at 7-17.) And
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`-4-
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`

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`while Flamm admits that Matsumura’s teachings were well known (id. at 16-17),
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`he incorrectly asserts they did not apply to etching processes, ignoring
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`Matsumura’s disclosure to the contrary. (Ex. 1003, 10:3-7.) Flamm selectively
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`attacks a subset of Petitioners’ proposed motivations, but his arguments are
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`5
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`unsupported. He also ignores Petitioners’ other identified motivations. Flamm has
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`thus waived any substantive challenges to those motivations. (Paper 11 at 4.)
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`1.
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`A skilled person would have combined Kadomura and
`Matsumura
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`Petitioners and Dr. Bravman described several reasons why a skilled person
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`10
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`would have combined the teachings of Kadomura and Matsumura. To begin, a
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`skilled person would have incorporated Matsumura’s predetermined recipe
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`approach, including preselected times for temperature changes, into Kadomura’s
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`system. (Paper 2 at 28-30; Ex. 1024 ¶27 (citing Ex. 1006).) The motivations for
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`that modification would have been to:
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`15
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`• increase efficiency, control, accuracy, reliability, and predictability;
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`• ensure that temperature change time was less than gas exchange time;
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`and
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`• avoid potential decreases in throughput.
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`(Ex. 1024 ¶27 (citing Ex. 1006).)
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`-5-
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`

`

`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`Furthermore, a skilled person would have incorporated Matsumura’s
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`substrate holder temperature sensor into Kadomura’s processing system. The
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`motivations for making that change would have been to:
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`• allow a tool operator to confirm that Kadomura’s stage reached a
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`5
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`selected temperature;
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`• increase control of temperature change and processing times; and
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`• improve precision, measurement accuracy, and efficiency.
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`(Paper 2 at 30-31; Ex. 1024 ¶26 (citing Ex. 1006).)
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`Despite the evidence, Flamm erroneously argues that Petitioners failed to
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`10
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`articulate any motivation to combine Kadomura and Matsumura. (Paper 13 at 13-
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`15.) As explained above, that is untrue.
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`Flamm also generally attacks the combination, asserting that Matsumura is
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`“in a different field of art” and, without explanation, that its recipes “would have
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`been useless” for plasma etching (as in Kadomura). (Id. at17; Ex. 2001 ¶14.) Not
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`15
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`so. Matsumura expressly taught that its techniques “can also be applied to any of
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`the ion implantation, CVD, etching and ashing processes.” (Ex. 1003, 10:3-7
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`(emphasis added); Ex. 1024 ¶¶15-20 (citing Ex. 1006).) Flamm has no contrary
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`evidence.
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`Flamm further asserts that “the only thing in Matsumura that is not
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`20
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`mentioned by Kadomura is using a computer or microcontroller to effectuate a
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`-6-
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`

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`process.” (Paper 13 at 16; Ex. 2001 ¶14.) Flamm then acknowledges that digital
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`control of semiconductor processing steps (as in Matsumura) was obvious at the
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`time of the alleged invention:
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`5
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`No PHOSITA would have considered Matsumura for this at least
`since this type of automation was common knowledge at the time and
`its implementation in production worthy processing equipment was
`pervasive and obvious.
`
`(Paper 13 at 16-17 (emphasis added).)
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`Petitioners and Dr. Bravman agree that the use of preprogrammed recipes
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`10
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`was obvious at the time of the alleged invention. (Paper 2 at 29; Ex. 1024 ¶¶18,
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`38.) If anything, Flamm’s argument shows that Kadomura alone rendered this
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`limitation obvious. Petitioners included Matsumura in their petition because
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`Flamm previously successfully argued in a different IPR that Kadomura alone did
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`not teach claim 37’s “preselected time” limitation. (Ex. 1014, 18-19; Ex. 1027, 7-
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`15
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`8.) Flamm now admits, however, that Matsumura’s automated process control,
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`such as preselecting temperature change times, was obvious. In any case, Flamm’s
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`admission that this type of automation was “pervasive and obvious” further
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`supports that a skilled person would have been motivated to combine Matsumura’s
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`preprogrammed recipe approach with Kadomura’s system. (Ex. 1024 ¶38.)
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`20
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`Flamm further argues that whether Kadomura included a control circuit for
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`implementing processing recipes (as taught in Matsumura) is not relevant. (Paper
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`-7-
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`

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`13 at 16-17.) But controllers and preprogrammed recipes are centrally relevant to
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`the proposed combination, and Flamm admits elsewhere in his Response that “the
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`use of ‘predetermined recipes’” “is relevant to the matter at hand.” (Id. at 12.) A
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`programmable computer or processor is also relevant. As Matsumura taught, a
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`5
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`computer or processor stored and executed preprogrammed recipes. (Ex. 1003,
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`5:58-6:13.) Those recipes included temperature changes preselected to occur
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`within specific times, as recited in claim 37. Kadomura taught using a control
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`system with a PID controller, and it would have been obvious to program that
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`controller with predetermined recipes as taught in Matsumura. (Ex. 1024 ¶¶25, 27
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`10
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`(citing Ex. 1006).)
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`2.
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`Flamm does not meaningfully address some of Petitioners’
`motivations and his arguments on the others fail
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`Petitioners and Dr. Bravman described at least the following motivations for
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`combining Kadomura and Matsumura: increased throughput, control, accuracy,
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`15
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`efficiency, predictability, and reliability. (Paper 2 at 29-30; Ex. 1024 ¶¶18, 27-28,
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`33, 35-39 (citing Ex. 1006).) Flamm never addresses efficiency and predictability
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`in his Response, except to characterize those motivations as conclusory while
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`failing to rebut the substance of Petitioners’ arguments or Dr. Bravman’s detailed
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`opinions. He has therefore waived any challenge to those two motivations. (Paper
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`20
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`11 at 4.)
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`-8-
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`

`

`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`Flamm’s arguments for the remaining motivations (increased throughput,
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`control, accuracy, and reliability) are unavailing. Flamm argues that adding
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`Matsumura’s predetermined recipe approach to Kadomura’s system would not
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`have affected throughput. In doing so, Flamm assumes that the time for etching
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`5
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`gas exchange between steps in Kadomura’s system was always longer than the
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`time for temperature change. (Paper 13 at 3-5, 8-9, 12.) Flamm then asserts that
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`gas exchange time is the sole limiting factor on throughput and that temperature
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`change time is irrelevant. (Id. at 8-9.) Flamm is wrong on both counts.
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`Kadomura taught that changing processing temperature in less time than the
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`10
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`gas exchange period was possible (though not required) and beneficial because it
`
`avoided lowering throughput. (Paper 2 at 49-50; Ex. 1024 ¶¶27, 29-30 (citing Ex.
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`1006); Ex. 1005, 5:18-26, 7:19-30.) Kadomura further described its temperature
`
`change times in approximate terms. (Paper 2 at 29-30; Ex. 1024 ¶¶30-31 (citing
`
`Ex. 1006); Ex. 1005, 6:52-55 (“about 30 sec”), 10:11-13 (“about 50 sec”).) With
`
`15
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`that context, a skilled person would have been motivated to use Matsumura’s
`
`accurate preprogrammed recipe approach with Kadomura’s system. (Paper 2 at
`
`28-30; Ex. 1024 ¶31 (citing Ex. 1006).) As Flamm notes, temperature change time
`
`avoids a decrease in throughput only if that time is equal to or less than the gas
`
`exchange time. (Paper 13 at 8-9, 12.) A skilled person would have recognized that
`
`20
`
`use of Matsumura’s accurate preprogrammed recipe approach in combination with
`
`
`
`-9-
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`

`

`the Kadomura system would help ensure that condition is satisfied by
`
`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`preprogramming an exact selected temperature change time equal to or less than
`
`the gas exchange time. (Paper 2 at 29-30; Ex. 1024 ¶31 (citing Ex. 1006).)
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`Flamm also argues that even if temperature change time were longer than
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`5
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`gas exchange time, a skilled person would have shortened temperature change time
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`instead of using Matsumura’s predetermined recipe approach. (Paper 13 at 9-10;
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`Ex. 2001 ¶13.) Flamm then argues that Dr. Bravman did not explain how the
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`combination of Kadomura and Matsumura would have increased throughput or
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`why ensuring an exact temperature change time would have been beneficial.
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`10
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`(Paper 13 at 10-11.) The record contradicts those arguments. Petitioners and Dr.
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`Bravman explained that using a predetermined temperature change time (as taught
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`in Matsumura) would have ensured that the temperature change time in Kadomura
`
`did not exceed gas exchange time, thus avoiding decreased throughput. (Paper 2 at
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`29-30; Ex. 1024 ¶31 (citing Ex. 1006).) And contrary to Flamm’s representation
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`15
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`(Paper 13 at 10), the Petition relied on Dr. Bravman’s explanation of the
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`throughput benefit. (Paper 2 at 29-30 (citing Ex. 1006 ¶¶78, 161-166).)
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`Flamm asserts that Petitioners and Dr. Bravman’s additional motivations to
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`combine Kadomura and Matsumura (relating to control, efficiency, accuracy,
`
`predictability, and reliability) are conclusory and not linked to the use of
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`20
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`predetermined recipes. (Paper 13 at 11-16.) The record shows otherwise. (Paper
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`-10-
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`2 at 29-30; Ex. 1024 ¶¶33-35, 39 (citing Ex. 1006 ¶¶78, 161-166).) Tellingly,
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`Flamm does not mention, let alone contest, Dr. Bravman’s supporting testimony
`
`for any of these motivations. (Paper 13 at 11-12.) Instead, Flamm briefly
`
`addresses just three motivations: accuracy, control, and reliability. (Id. at 13-15.)
`
`5
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`Flamm first asserts that Petitioners do not explain why using Matsumura’s
`
`recipe approach would have improved accuracy, noting that Kadomura describes
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`fine temperature control. (Id. at 13-14.) As Petitioners explained, however,
`
`Matsumura’s recipe approach would have increased accuracy by allowing a
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`chipmaker to input preprogrammed processing times and temperature change times
`
`10
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`(in addition to processing temperatures) for Kadomura’s processes. (Paper 2 at 29-
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`30; Ex. 1024 ¶¶33-34 (citing Ex. 1006).) That approach would have improved
`
`Kadomura by accurately controlling temperature change times based on precise
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`preprogrammed values, not approximate ones. (Ex. 1024 ¶34 (citing Ex. 1006).)
`
`Matsumura itself described that its techniques resulted in better accuracy. (Ex.
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`15
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`1003, 10:22-29.)
`
`Flamm criticizes Petitioners’ control and reliability motivations as
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`conclusory. (Paper 13 at 14.) But Flamm does not substantively address the
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`explanations provided in the Petition or Dr. Bravman’s declaration relating to those
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`motivations. (Paper 2 at 29-30; Ex. 1024 ¶¶34-35, 39-41 (citing Ex. 1006).) Dr.
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`20
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`Bravman explained that using Matsumura’s preprogrammed recipe approach, as
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`was standard in the industry, would have allowed tight control of process
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
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`parameters such as processing temperatures. (Ex. 1006 ¶¶145, 161, 164-165.) Dr.
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`Bravman further described that Matsumura’s techniques would have increased
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`reliability by programming process recipes to occur with selected characteristics,
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`5
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`including processing temperatures and time periods. (Id. ¶¶145, 160-161, 164,
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`166.)
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`Flamm further asserts that Matsumura’s disclosure about increased accuracy,
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`control, and reliability is not relevant because it relates to thermal history curves,
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`not predetermined recipes. (Paper 13 at 14-15.) Matsumura explains, however,
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`10
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`that a recipe is a reproduction of a thermal history curve: “A recipe shown in Fig.
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`9 is inputted into the PID controller 203 by the keyboard 20a. Points P10 to P19
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`are set in the recipe so as to surely reproduce the thermal history curve of the
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`wafer W.” (Ex. 1003, 8:56-59 (emphasis added); Ex. 1024 ¶40 (citing Ex. 1006).)
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`And Flamm recognizes elsewhere that Matsumura’s techniques for “controlling
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`15
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`heating and cooling” “improved quality and reproducibility.” (Paper 13 at 6; Ex.
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`2001 ¶11.)
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`Flamm mischaracterizes Kadomura and Matsumura
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`C.
`In trying to undermine the combination of Kadomura and Matsumura,
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`Flamm describes those two references in ways that are inaccurate or incomplete.
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
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`1. Kadomura
`Flamm argues there would have been no benefit to using preselected time
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`periods for temperature changes. (Paper 13 at 3-6.) As discussed above (at 9-10),
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`that argument rests on a faulty assumption. A skilled person would have used
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`5
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`Matsumura’s preprogrammed recipe approach to help ensure that the temperature
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`change was accomplished within the gas exchange time. (Paper 2 at 29-30; Ex.
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`1024 ¶¶30-36 (citing Ex. 1006).)
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`Flamm further describes Kadomura as relating to a “cryogenic etching
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`process” that is allegedly different from the above-room temperature processing
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`10
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`disclosed in Matsumura. (Paper 13 at 3-5; Ex. 2001 ¶10.) But, like Matsumura,
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`Kadomura disclosed processing temperatures at and above room temperature, such
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`as 20ºC and 50ºC, well above temperatures that could even arguably be considered
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`“cryogenic.” (Ex. 1005, 6:5-29, 10:17-27; Ex. 1003, Fig. 9; Ex. 1024 ¶¶9, 11
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`(citing Ex. 1006).) Accordingly, it is not accurate to suggest that Kadomura is
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`15
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`confined to “cryogenic” etching. (Ex. 1024 ¶11.)
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`Flamm also characterizes the objectives of Kadomura’s etching as focused
`
`on attaining high accuracy and fine fabrication and applying low temperature
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`etching. (Paper 13 at 4.) Flamm concedes in passing elsewhere, however, that
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`Kadomura, like the rest of the semiconductor industry, was “concerned about
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`20
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`throughput.” (Id. at 9-10.) Indeed, Kadomura repeatedly emphasizes the
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`importance of throughput. (Ex. 1005, 4:46-54, 5:18-26, 7:19-30, 9:16-20, 10:36-
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
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`41; Paper 2 at 49-50, 54, 56-57; Ex. 1024 ¶¶12-13, 27, 29-30 (citing Ex. 1006).)
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`That emphasis on throughput supports Petitioners’ proposed combination of
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`Kadomura and Matsumura.
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`5
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`Flamm also argues that Kadomura “teaches away” from the ’264 patent
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`because Kadomura’s temperature change times (e.g., “about 30 sec”) are
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`“relatively long” as compared to those of “several seconds” in the patent. (Paper
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`13 at 5.) That difference is irrelevant because claim 37 does not require any
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`particular length of time for a temperature change. (Ex. 1024 ¶14.) Moreover,
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`10
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`Flamm misuses the phrase “teaching away,” which has a specific meaning in
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`patent law. The phrase applies when a prior art reference discredits, criticizes, or
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`otherwise discourages investigation into the alleged invention. Meiresonne v.
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`Google, Inc., 849 F.3d 1379, 1382 (Fed. Cir. 2017) (citation and quotation marks
`
`omitted). That concept has no application here because nothing in Kadomura
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`15
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`discredits, criticizes, or discourages changing temperature in a “preselected time
`
`period” as recited in claim 37. To the contrary, Kadomura reinforces that specific
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`temperature change times would have been beneficial to avoid lowering
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`throughput. (Paper 2 at 49-50; Ex. 1024 ¶¶12-13, 29-31 (citing Ex. 1006); Ex.
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`1005, 5:18-26, 7:19-30.)
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
`
`2. Matsumura
`In trying to distinguish Matsumura from Kadomura and the ’264 patent,
`
`Flamm argues the reference “does not teach anything about etching.” (Paper 13 at
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`6.) Matsumura expressly refutes that position. (Ex. 1003, 10:3-7; Ex. 1024 ¶¶15,
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`5
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`17 (citing Ex. 1006).) A skilled person would have known how to apply
`
`Matsumura’s process control and recipe techniques in an etching process. (Ex.
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`1024 ¶¶18-20.) A skilled person would have looked to Matsumura because it
`
`provided a detailed example of how to apply those techniques. (Id. ¶38.) In
`
`contrast, Flamm never provides any reasoning for why a skilled person would not
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`10
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`have used Matsumura’s techniques in plasma etching.
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`Flamm also suggests that Matsumura disclosed only “a single predetermined
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`temperature.” (Paper 13 at 7.) That is incorrect. The embodiment reflected in
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`Figure 9 below shows two different preselected processing temperatures in that
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`recipe: 90ºC and 140ºC. (Ex. 1003, Fig. 9; Ex. 1024 ¶21.)
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`As with Kadomura, Flamm argues that Matsumura “teaches away from the
`
`invention” of the ’264 patent. As support for that argument, Flamm notes that
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`Matsumura describes adhesion and baking processes. (Paper 13 at 6-7.) But
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`5
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`Flamm has not identified any teachings in Matsumura that discredit, criticize, or
`
`discourage the alleged invention of claim 37 or the “preselected time period”
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`limitation at issue. Meiresonne, 849 F.3d at 1382. In fact, as noted above (at 3-4),
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`Matsumura taught changing temperature within a preselected time period.
`
`III. Combinations based on Kikuchi and Matsumura also rendered claims
`37-46, 49-50, and 67 obvious
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`10
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`Petitioners and Dr. Bravman explained how Kikuchi and Matsumura
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`(together with Muller in some cases) rendered claims 37-46, 49-50, and 67
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`unpatentable as obvious. (Paper 2 at 58-80; Ex. 1024 ¶¶43-61 (citing Ex. 1006).)
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`Flamm asserts that Kikuchi and Matsumura fail to disclose limitations from
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`independent claim 37 and that Petitioners have not identified any motivation to
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`combine Kikuchi and Matsumura. (Paper 13 at 17-21.) Flamm does not dispute
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`that the Kikuchi-based prior art combinations disclosed all the limitations of claim
`
`37 not addressed in his Response.
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`5
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`A. Kikuchi and Matsumura disclosed each element of claim 37
`Petitioners and Dr. Bravman described in detail that the combination of
`
`Kikuchi and Matsumura taught each limitation of independent claim 37. (Paper 2
`
`at 58-66; Ex. 1006 ¶¶215-232.) Flamm disagrees, however, arguing that neither
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`Kikuchi nor Matsumura disclosed claim 37 limitation [a] (“placing a substrate
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`10
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`having a film thereon on a substrate holder within a chamber of a plasma discharge
`
`apparatus”), limitation [b] (“temperature control systems” operable to adjust
`
`substrate and substrate holder temperature to predetermined values), and
`
`limitation [f] (changing substrate temperature “within a preselected time period to
`
`process the film”). Kikuchi and Matsumura disclosed these limitations or rendered
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`15
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`them obvious.
`
`1. Kikuchi and Matsumura taught claim 37, limitations [a]
`and [b]
`
`Flamm first argues that Kikuchi and Matsumura do not disclose claim 37,
`
`limitations [a] and [b] because one embodiment of Kikuchi taught using pins to
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`20
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`hold a wafer during a first processing step and those pins “are not heated” to a
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`“first substrate holder temperature.” (Paper 13 at 18-19.) But Flamm once again
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`ignores what the combined references (here, Kikuchi and Matsumura) teach and
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`PTAB Case No. IPR2017-00281, Patent No. RE40,264 E
`Petitioners’ Reply to Patent Owner’s Response
`
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`interprets Kikuchi and the claim language too narrowly. Kikuchi disclosed both
`
`limitations on its own and, alternatively, in combination with Matsumura.
`
`Flamm do