Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`
`
`
`
`
`
`
`_____________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________________________
`
`
`MICRON TECHNOLOGY, INC., INTEL CORPORATION,
`AND GLOBALFOUNDRIES U.S., INC.
`Petitioners
`
`
`
`
`
`
`
`
`
`
`
`
`
`SAMSUNG ELECTRONICS COMPANY, LTD.
`Petitioner
`
`v.
`
`DANIEL L. FLAMM
`Patent Owner
`
`
`
`
`
`
`
`
`
`
`
`
`
`_____________________________
`
`Case IPR. No. Unassigned
`U.S. Patent No. 5,711,849
`
`Title: PROCESS OPTIMIZATION IN GAS PHASE DRY ETCHING
`_____________________________
`
`Page 1 of 99
`
`Samsung Exhibit 1023
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`
`
`Petition for Inter Partes Review of U.S. Patent No. 5,711,849 Under
`35 U.S.C. §§ 311-319 and 37 C.F.R. §§ 42.1-.80, 42.100-
`.123__________________________
`
`
`
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`Page 2 of 99
`
`

`

`
`
`INTRODUCTION .......................................................................................... 2
`REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW
`2
`
`2.1 Grounds for Standing (37 C.F.R. § 42.104(a)) .................................... 2
`2.2 Notice of Lead and Backup Counsel and Service Information ............ 2
`2.3 Notice of Real-Parties-in-Interest (37 C.F.R. § 42.8(b)(1)) ................. 4
`2.4 Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ............................. 4
`2.5 Fee for Inter Partes Review .................................................................. 5
`2.6 Proof of Service .................................................................................... 5
`IDENTIFICATION OF CLAIMS BEING CHALLENGED (§
`42.104(B)) ....................................................................................................... 5
`OVERVIEW OF THE 849 U.S. PATENT 5 NO. 5,711,849
`4.
`
`849 PATENT PROSECUTION HISTORY ................................................. 11
`CLAIM CONSTRUCTION ......................................................................... 12
`6.1 Applicable Law .................................................................................. 12
`6.2 Construction of Claim Terms ............................................................. 13
`6.2.1 “surface reaction rate constant” (all claims) ............................ 13
`PERSON HAVING ORDINARY SKILL IN THE ART ............................ 15
`DESCRIPTION OF THE PRIOR ART ....................................................... 16
`8.1 Alkire (Ex. 1005) ................................................................................ 16
`8.2 Galewski (Ex. 1007) ........................................................................... 19
`8.3 Motivations To Combine: Alkire in Combination with
`Galewski ............................................................................................. 22
`GROUND #1: CLAIMS 1-29 OF THE 849 PATENT ARE
`UNPATENTABLE AS OBVIOUS OVER ALKIRE IN VIEW OF
`GALEWSKI ................................................................................................. 24
`9.1 Claim 1 is obvious over Alkire in view of Galewski ......................... 24
`9.1.1 [1.P] “A device fabrication method comprising the steps
`of:” ............................................................................................ 24
`9.1.2 [1.1] “providing a plasma etching apparatus comprising a
`substrate therein, said substrate comprising a top surface
`
`1.
`2.
`
`3.
`
`5.
`6.
`
`7.
`8.
`
`9.
`
`
`
`Page 3 of 99
`
`

`

`
`
`and a film overlying said top surface, said film
`comprising a top film surface;”................................................ 25
`9.1.3 [1.2] “etching said top film surface to define a relatively
`non-uniform etching profile on said film, and defining
`etch rate data comprising an etch rate and a spatial
`coordinate which defines a position within said relatively
`non-uniform etching profile on said substrate, said
`etching comprising a reaction between a gas phase
`etchant and said film; and” ...................................................... 26
`9.1.4 [1.3] “extracting a surface reaction rate constant from
`said etch rate data, and using said surface reaction rate
`constant in the fabrication of a device.” .................................. 29
`9.2 Claim 10 is obvious over Alkire in view of Galewski ....................... 35
`9.2.1 [10.P] “A method of designing a reactor comprising the
`steps of:” .................................................................................. 35
`9.2.2 [10.1] “providing a first plasma etching apparatus
`comprising a substrate therein, said substrate comprising
`a top surface and a film overlying said top surface, said
`film comprising a top film surface” ......................................... 36
`9.2.3 [10.2] “etching said top film surface to define a relatively
`non-uniform etching profile on said film, and defining
`etch rate data comprising an etch rate and a spatial
`coordinate which defines a position within said relatively
`non-uniform etching profile on said film of said
`substrate, said etching comprising a reaction between a
`gas phase etchant and said film; and” ...................................... 36
`9.2.4 [10.3] “extracting a surface reaction rate constant from
`said etch rate data, and using said surface reaction rate
`constant in designing a second plasma etching
`apparatus.” ................................................................................ 37
`9.3 Claim 20 is obvious over Alkire in view of Galewski ....................... 37
`9.3.1 [20.P] “A substrate fabrication method, using a plasma
`etching apparatus, said method comprising:” .......................... 37
`9.3.2 [20.1] “providing a substrate selected from a group
`consisting of a semiconductor wafer, a plate, and a flat
`panel display, said substrate comprising a top surface;” ......... 38
`
`
`
`Page 4 of 99
`
`

`

`
`
`9.3.3 [20.2] “forming a film overlying said top surface, said
`film comprising a top film surface;” ........................................ 38
`9.3.4 [20.3] “etching said top film surface to define a relatively
`non-uniform profile on said film, and defining etch rate
`data comprising an etch rate and a spatial coordinate
`which defines a position within said relatively non-
`uniform etching profile of said film on said substrate,
`said etching comprising a reaction between a gas phase
`etchant and said film; and” ...................................................... 38
`9.3.5 [20.4] “extracting a surface reaction rate constant from
`said etch rate data, and using said surface reaction rate
`constant.” .................................................................................. 39
`9.4 Claim 22 is obvious over Alkire in view of Galewski ....................... 39
`9.4.1 [22.P] “A method of fabricating an integrated circuit
`device, using a plasma etching apparatus, said method
`comprising:” ............................................................................. 39
`9.4.2 [22.1] “providing a uniformity value and a surface
`reaction rate constant for an etching reaction, said etching
`reaction including a substrate and etchant species;” ................ 40
`9.4.3 [22.2] “defining etching parameters providing said
`uniformity value; and” ............................................................. 40
`9.4.4 [22.3] “adjusting at least one of said etching parameters
`using said surface reaction rate constant to produce a
`selected etching rate” ............................................................... 41
`9.4.5 [22.4] “wherein said etching rate providing an etching
`condition for fabrication of an integrated circuit device.” ....... 43
`9.5 Claim 26 is obvious over Alkire in view of Galewski ....................... 43
`9.5.1 [26.P] “A process for fabricating a device using a plasma
`etching apparatus, said device being fabricated by use of
`a surface reaction rate constant, said surface reaction rate
`constant being derived from a method comprising:” ............... 43
`9.5.2 [26.1] “providing a plasma etching apparatus comprising
`a substrate therein, said substrate comprising a top
`surface and a film overlying said top surface, said film
`comprising a top film surface” ................................................. 44
`
`
`
`Page 5 of 99
`
`

`

`
`
`9.5.3 [26.2] “etching said top surface at a temperature to define
`a relatively non-uniform etching profile on said film, and
`defining etch rate data comprising an etch rate and a
`spatial coordinate which defined a position from said
`relatively non-uniform etching profile on said film of
`said substrate, said etching comprising a reaction
`between a gas phase etchant and said film; and” ..................... 44
`9.5.4 [26.3] “extracting from said etching rate data a surface
`reaction rate constant for said temperature.” ........................... 45
`9.6 Dependent Claims 2 and 11 are obvious over Alkire in view of
`Galewski ............................................................................................. 45
`9.6.1 [2.0] “The method of claim 1 wherein said etching step is
`diffusion limited.” .................................................................... 45
`9.7 Dependent Claims 3 and 12 are obvious over Alkire in view of
`Galewski ............................................................................................. 46
`9.7.1 [3.0] “The method of claim 1 wherein said spatial
`coordinate includes a radius and an angle.” ............................. 46
`[12.0] “The method of claim 10 wherein said spatial
`coordinate which defines said position along said
`relatively non-uniform etching profile includes a radius
`and an angle.” ........................................................................... 46
`9.8 Dependent Claims 4 and 13 are obvious over Alkire in view of
`Galewski ............................................................................................. 48
`9.8.1 [4.0] “The method of claim 1 wherein said spatial
`coordinate includes an x-direction and a y-direction.” ............ 48
`[13.0] “The method of claim 10 wherein said spatial
`coordinate which defines said position within said
`relatively non-uniform etching profile includes an x-
`direction and a y-direction.” .................................................... 49
`9.9 Dependent Claims 5 and 14 are obvious over Alkire in view of
`Galewski ............................................................................................. 49
`9.9.1 [5.0] “The method of claim 1 wherein said extracting
`step correlates said surface reaction rate constant over a
`diffusivity with said etch rate, said etch rate being
`defined by said relatively non-uniform etching profile.” ........ 49
`
`
`
`
`
`
`
`Page 6 of 99
`
`

`

`
`
`
`
`
`
`[14.0] “The method of claim 8 wherein said extracting
`step correlates said surface reaction rate constant over a
`diffusivity with said etch rate, said etch rate being
`defined by said relatively non-uniform etching profile.” ........ 49
`9.10 Dependent Claims 6 and 15 are obvious over Alkire in view of
`Galewski ............................................................................................. 50
`9.10.1 [6.0] “The method of claim 1 wherein said etch rate is
`defined by said relatively non-uniform etching profile at
`selected spatial coordinates over a time.” ................................ 50
`[15.0] “The method of claim 10 wherein said etch rate is
`defined by said relatively non-uniform etching profile at
`selected spatial coordinates over a time.” ................................ 50
`9.11 Dependent Claims 7 and 16 are obvious over Alkire in view of
`Galewski ............................................................................................. 51
`9.11.1 [7.0] “The method of claim 1 wherein said etching is an
`ashing method.” ....................................................................... 51
`[16.0] “The method of claim 10 wherein said etching is
`an ashing method.” ................................................................... 51
`9.12 Dependent Claims 8 and 17 are obvious over Alkire in view of
`Galewski ............................................................................................. 52
`9.12.1 [8.0] “The method of claim 7 wherein said ashing
`method comprises reactants including an oxygen and a
`photoresist.” ............................................................................. 52
`[17.0] “The method of claim 16 wherein said ashing
`method comprises reactants including an oxygen and a
`photoresist.” ............................................................................. 52
`9.13 Claim 9 is obvious over Alkire in view of Galewski ......................... 52
`9.13.1 [9.0] “The method of claim 1 further comprising a step of
`using said reaction rate constant in adjusting said plasma
`etch apparatus.” ........................................................................ 52
`9.14 Claim 18 is obvious over Alkire in view of Galewski ....................... 54
`9.14.1 [18.0] “The method of claim 10 wherein said second
`plasma etching apparatus is a co-axial reactor.” ...................... 54
`9.15 Claim 19 is obvious over Alkire in view of Galewski ....................... 56
`
`
`
`
`
`
`
`Page 7 of 99
`
`

`

`
`
`
`
`9.15.1 [19.0] “The method of claim 10 wherein said second
`plasma etching apparatus is a plasma etching apparatus.” ...... 56
`9.16 Dependent Claims 21 and 28 are obvious over Alkire in view of
`Galewski ............................................................................................. 56
`9.16.1 [21.0] “The method of claims 1, 10, or 20 wherein said
`etching is provided whereupon chemical effects are
`enhanced over ion bombardment effects.” .............................. 56
`[28.0] “The process of claim 26 wherein said etching is
`provided whereupon chemical effects are enhanced over
`ion bombardment effects.” ....................................................... 56
`9.17 Claim 23 is obvious over Alkire in view of Galewski ....................... 58
`9.17.1 [23.0] “The method of claim 22 wherein said etching
`parameters can be selected from a group consisting of a
`temperature, a pressure, a power, a gap, and a flow rate.” ...... 58
`9.18 Dependent Claims 24 and 25 are obvious over Alkire in view of
`Galewski ............................................................................................. 58
`9.18.1 [24.0] “The method of claim 22 wherein said uniformity
`value ranges from 90% and greater.” ....................................... 58
`[25.0] “The method of claim 22 wherein said uniformity
`value ranges from 95% and greater.” ....................................... 58
`9.19 Claim 27 is obvious over Alkire in view of Galewski ....................... 59
`9.19.1 [27.0] “The process of claim 26 wherein said surface
`reaction rate constant is derived using at least a
`diffusivity value that is determined by an equation.” .............. 59
`9.20 Claim 29 is obvious over Alkire in view of Galewski ....................... 59
`9.20.1 [29.0] “The method of claim 26 further comprising using
`said surface reaction rate constant in a method selected
`from a group consisting of a fabrication of a device or of
`designing a reactor, said surface reaction rate constant
`being provided by at least a diffusivity value.” ....................... 59
`10. CONCLUSION ............................................................................................. 60
`
`
`
`
`
`Page 8 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`TABLE OF CONTENTS
`
`Page
`
`INTRODUCTION .......................................................................................... 1
`REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW ....... 1
`2.1 Grounds for Standing (37 C.F.R. § 42.104(a)) .................................... 1
`2.2 Notice of Lead and Backup Counsel and Service Information ............ 2
`2.3 Notice of Real-Parties-in-Interest (37 C.F.R. § 42.8(b)(1)) ................. 5
`2.4 Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ............................. 5
`2.5 Fee for Inter Partes Review ................................................................. 7
`2.6 Proof of Service .................................................................................... 7
`IDENTIFICATION OF CLAIMS BEING CHALLENGED (§
`42.104(B)) ....................................................................................................... 7
`OVERVIEW OF THE 849 PATENT ............................................................. 8
`849 PATENT PROSECUTION HISTORY ................................................. 15
`CLAIM CONSTRUCTION ......................................................................... 17
`6.1 Applicable Law .................................................................................. 17
`6.2 Construction of Claim Terms ............................................................. 17
`6.2.1 “surface reaction rate constant” (all claims) ............................ 18
`PERSON HAVING ORDINARY SKILL IN THE ART ............................ 21
`DESCRIPTION OF THE PRIOR ART ....................................................... 22
`8.1 Alkire (Ex. 1005) ................................................................................ 22
`8.2 Galewski (Ex. 1007) ........................................................................... 26
`8.3 Motivations To Combine: Alkire in Combination with
`Galewski ............................................................................................. 30
`GROUND #1: CLAIMS 1-29 OF THE 849 PATENT ARE
`UNPATENTABLE AS OBVIOUS OVER ALKIRE IN VIEW OF
`GALEWSKI ................................................................................................. 33
`9.1 Claim 1 is obvious over Alkire in view of Galewski ......................... 33
`9.1.1 [1.P] “A device fabrication method comprising the steps
`of:” ............................................................................................ 33
`
`1.
`2.
`
`3.
`
`4.
`5.
`6.
`
`7.
`8.
`
`9.
`
`
`
`Page 9 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`9.1.2 [1.1] “providing a plasma etching apparatus comprising a
`substrate therein, said substrate comprising a top surface
`and a film overlying said top surface, said film
`comprising a top film surface;”................................................ 34
`9.1.3 [1.2] “etching said top film surface to define a relatively
`non-uniform etching profile on said film, and defining
`etch rate data comprising an etch rate and a spatial
`coordinate which defines a position within said relatively
`non-uniform etching profile on said substrate, said
`etching comprising a reaction between a gas phase
`etchant and said film; and” ...................................................... 36
`9.1.4 [1.3] “extracting a surface reaction rate constant from
`said etch rate data, and using said surface reaction rate
`constant in the fabrication of a device.” .................................. 40
`9.2 Claim 10 is obvious over Alkire in view of Galewski ....................... 47
`9.2.1 [10.P] “A method of designing a reactor comprising the
`steps of:” .................................................................................. 47
`9.2.2 [10.1] “providing a first plasma etching apparatus
`comprising a substrate therein, said substrate comprising
`a top surface and a film overlying said top surface, said
`film comprising a top film surface” ......................................... 48
`9.2.3 [10.2] “etching said top film surface to define a relatively
`non-uniform etching profile on said film, and defining
`etch rate data comprising an etch rate and a spatial
`coordinate which defines a position within said relatively
`non-uniform etching profile on said film of said
`substrate, said etching comprising a reaction between a
`gas phase etchant and said film; and” ...................................... 49
`9.2.4 [10.3] “extracting a surface reaction rate constant from
`said etch rate data, and using said surface reaction rate
`constant in designing a second plasma etching
`apparatus.” ................................................................................ 49
`9.3 Claim 20 is obvious over Alkire in view of Galewski ....................... 50
`9.3.1 [20.P] “A substrate fabrication method, using a plasma
`etching apparatus, said method comprising:” .......................... 50
`
`- ii -
`
`Page 10 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`9.3.2 [20.1] “providing a substrate selected from a group
`consisting of a semiconductor wafer, a plate, and a flat
`panel display, said substrate comprising a top surface;” ......... 50
`9.3.3 [20.2] “forming a film overlying said top surface, said
`film comprising a top film surface;” ........................................ 51
`9.3.4 [20.3] “etching said top film surface to define a relatively
`non-uniform profile on said film, and defining etch rate
`data comprising an etch rate and a spatial coordinate
`which defines a position within said relatively non-
`uniform etching profile of said film on said substrate,
`said etching comprising a reaction between a gas phase
`etchant and said film; and” ...................................................... 52
`9.3.5 [20.4] “extracting a surface reaction rate constant from
`said etch rate data, and using said surface reaction rate
`constant.” .................................................................................. 52
`9.4 Claim 22 is obvious over Alkire in view of Galewski ....................... 52
`9.4.1 [22.P] “A method of fabricating an integrated circuit
`device, using a plasma etching apparatus, said method
`comprising:” ............................................................................. 52
`9.4.2 [22.1] “providing a uniformity value and a surface
`reaction rate constant for an etching reaction, said etching
`reaction including a substrate and etchant species;” ................ 53
`9.4.3 [22.2] “defining etching parameters providing said
`uniformity value; and” ............................................................. 54
`9.4.4 [22.3] “adjusting at least one of said etching parameters
`using said surface reaction rate constant to produce a
`selected etching rate” ............................................................... 55
`9.4.5 [22.4] “wherein said etching rate providing an etching
`condition for fabrication of an integrated circuit device.” ....... 57
`9.5 Claim 26 is obvious over Alkire in view of Galewski ....................... 58
`9.5.1 [26.P] “A process for fabricating a device using a plasma
`etching apparatus, said device being fabricated by use of
`a surface reaction rate constant, said surface reaction rate
`constant being derived from a method comprising:” ............... 58
`
`- iii -
`
`Page 11 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`9.5.2 [26.1] “providing a plasma etching apparatus comprising
`a substrate therein, said substrate comprising a top
`surface and a film overlying said top surface, said film
`comprising a top film surface” ................................................. 59
`9.5.3 [26.2] “etching said top surface at a temperature to define
`a relatively non-uniform etching profile on said film, and
`defining etch rate data comprising an etch rate and a
`spatial coordinate which defined a position from said
`relatively non-uniform etching profile on said film of
`said substrate, said etching comprising a reaction
`between a gas phase etchant and said film; and” ..................... 59
`9.5.4 [26.3] “extracting from said etching rate data a surface
`reaction rate constant for said temperature.” ........................... 60
`9.6 Dependent Claims 2 and 11 are obvious over Alkire in view of
`Galewski ............................................................................................. 60
`9.6.1 [2.0] “The method of claim 1 wherein said etching step is
`diffusion limited.” .................................................................... 60
`9.7 Dependent Claims 3 and 12 are obvious over Alkire in view of
`Galewski ............................................................................................. 61
`9.7.1 [3.0] “The method of claim 1 wherein said spatial
`coordinate includes a radius and an angle.” ............................. 61
`9.8 Dependent Claims 4 and 13 are obvious over Alkire in view of
`Galewski ............................................................................................. 64
`9.8.1 [4.0] “The method of claim 1 wherein said spatial
`coordinate includes an x-direction and a y-direction.” ............ 64
`9.9 Dependent Claims 5 and 14 are obvious over Alkire in view of
`Galewski ............................................................................................. 65
`9.9.1 [5.0] “The method of claim 1 wherein said extracting
`step correlates said surface reaction rate constant over a
`diffusivity with said etch rate, said etch rate being
`defined by said relatively non-uniform etching profile.” ........ 65
`9.10 Dependent Claims 6 and 15 are obvious over Alkire in view of
`Galewski ............................................................................................. 66
`
`- iv -
`
`Page 12 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`9.10.1 [6.0] “The method of claim 1 wherein said etch rate is
`defined by said relatively non-uniform etching profile at
`selected spatial coordinates over a time.” ................................ 66
`9.11 Dependent Claims 7 and 16 are obvious over Alkire in view of
`Galewski ............................................................................................. 67
`9.11.1 [7.0] “The method of claim 1 wherein said etching is an
`ashing method.” ....................................................................... 67
`9.12 Dependent Claims 8 and 17 are obvious over Alkire in view of
`Galewski ............................................................................................. 68
`9.12.1 [8.0] “The method of claim 7 wherein said ashing
`method comprises reactants including an oxygen and a
`photoresist.” ............................................................................. 68
`9.13 Claim 9 is obvious over Alkire in view of Galewski ......................... 69
`9.13.1 [9.0] “The method of claim 1 further comprising a step of
`using said reaction rate constant in adjusting said plasma
`etch apparatus.” ........................................................................ 69
`9.14 Claim 18 is obvious over Alkire in view of Galewski ....................... 71
`9.14.1 [18.0] “The method of claim 10 wherein said second
`plasma etching apparatus is a co-axial reactor.” ...................... 71
`9.15 Claim 19 is obvious over Alkire in view of Galewski ....................... 73
`9.15.1 [19.0] “The method of claim 10 wherein said second
`plasma etching apparatus is a plasma etching apparatus.” ...... 73
`9.16 Dependent Claims 21 and 28 are obvious over Alkire in view of
`Galewski ............................................................................................. 74
`9.16.1 [21.0] “The method of claims 1, 10, or 20 wherein said
`etching is provided whereupon chemical effects are
`enhanced over ion bombardment effects.” .............................. 74
`9.17 Claim 23 is obvious over Alkire in view of Galewski ....................... 76
`9.17.1 [23.0] “The method of claim 22 wherein said etching
`parameters can be selected from a group consisting of a
`temperature, a pressure, a power, a gap, and a flow rate.” ...... 76
`9.18 Dependent Claims 24 and 25 are obvious over Alkire in view of
`Galewski ............................................................................................. 76
`
`- v -
`
`Page 13 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`9.18.1 [24.0] “The method of claim 22 wherein said uniformity
`value ranges from 90% and greater.” ....................................... 76
`9.19 Claim 27 is obvious over Alkire in view of Galewski ....................... 77
`9.19.1 [27.0] “The process of claim 26 wherein said surface
`reaction rate constant is derived using at least a
`diffusivity value that is determined by an equation.” .............. 77
`9.20 Claim 29 is obvious over Alkire in view of Galewski ....................... 77
`9.20.1 [29.0] “The method of claim 26 further comprising using
`said surface reaction rate constant in a method selected
`from a group consisting of a fabrication of a device or of
`designing a reactor, said surface reaction rate constant
`being provided by at least a diffusivity value.” ....................... 77
`10. CONCLUSION ............................................................................................. 78
`
`- vi -
`
`Page 14 of 99
`
`

`

`Exhibit #
`
`Ex.1001
`
`Ex.1002
`
`Ex.1003
`
`Ex.1004
`
`Ex.1005
`
`Ex.1006
`
`Ex.1007
`
`Ex.1008
`
`Ex.1009
`
`Ex.1010
`
`Ex.1011
`
`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`Exhibit List
`
`
`Description
`
`U.S. Patent No. 5,711,849 (“849 Patent”)
`
`File History for U.S. Patent No. 5,711, 849
`
`Declaration of Dr. David Graves (“Graves Decl.”)
`
`Curriculum Vitae of Dr. David Graves
`
`Alkire et al., Transient Behavior during Film Removal in Diffusion-
`Controlled Plasma Etching, J. Electrochem. Soc.: Solid-State
`Science and Technology, March 1985, pp. 648-656 (“Alkire”)
`
`Kao et al., Analysis of Nonuniformities in the Plasma Etching of
`Silicon with CF4/O2, J. Electrochem. Soc., Vol. 137 No. 3,
`March 1990, pp. 954-960 (“Kao”)
`
`Galewski et al., Modeling of a High Throughput Hot-Wall Reactor
`for Selective Epitaxial Growth of Silicon, IEEE Transactions On
`Semiconductor Manufacturing, Vol. 5 No. 3, August 1991, pp. 169-
`179 (“Galewski”)
`
`Klavs F. Jensen, Chemical Engineering in the Processing of
`Electronic and Optical Materials: A Discussion, Advances in
`Chemical Engineering, Vol. 16, 1991, pp. 395-412 (“Jensen 1991”)
`
`Jensen et al., Modeling and Analysis of Low Pressure CVD
`Reactors, J. Electrochem. Soc., Vol. 130, No. 9, September 1983,
`pp. 1950-1957 (“Jensen 1983”)
`
`al., Plasma-Enhanced Etching and Deposition,
`et
`Hess
`Microelectronics Processing, Chemical Engineering Aspects,
`Advances in Chemistry Series 221, pp. 377-440 (“Hess”)
`
`Klavs F. Jensen, Micro-Reaction Engineering Applications of
`Reaction Engineering to Processing of Electronic and Photonic
`Materials, Chemical Engineering Science, Vol. 42, No. 5, 1987, pp.
`923-958 (“Jensen 1987”)
`
`- vii -
`
`Page 15 of 99
`
`

`

`Exhibit #
`
`Ex.1012
`
`Ex.1013
`
`Ex.1014
`
`Ex.1015
`
`Ex.1016
`
`Ex.1017
`
`Ex.1018
`
`Ex.1019
`
`Ex.1020
`
`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`Description
`
`U.S. Patent No. 4,918,031 (“Flamm 031”)
`
`U.S. Patent No. 5,304,282 (“Flamm 282”)
`
`U.S. Patent No. 4,815,201 (“Harris”)
`
`U.S. Patent No. 5,453,157 (“Jeng”)
`
`Petition for Inter Partes Review, Lam Research Corp. v. Daniel L.
`Flamm, IPR2016-00466
`
`Declaration of Mariellen F. Calter regarding Alkire et al., Transient
`Behavior during Film Removal in Diffusion-Controlled Plasma
`Etching (1985), Kao et al., Analysis of Nonuniformities in the
`Plasma Etching of Silicon with CF4/O2 (1990), and Galewski et al.,
`Modeling of a High Throughput Hot-Wall Reactor for Selective
`Epitaxial Growth of Silicon (1992)
`
`Steinfeld et al., Chemical Kinetics and Dynamics, Prentice Hall,
`Inc., 1989
`
`Dennis M. Manos and Daniel L. Flamm, Plasma Etching: An
`Introduction, Academic Press, 1989
`
`G. B. Thomas, Calculus and Analytical Geometry, 4th Ed.,
`Addison-Wesley, 1968
`
`Ex. 1021
`
`RESERVED
`
`Ex. 1022
`
`RESERVED
`
`Ex. 1023
`
`Comparison between the Current Petition and Petition in IPR2017-
`00406
`
`
`
`- viii -
`
`Page 16 of 99
`
`

`

`Petition for Inter Partes Review of U.S. Patent No. 5,711,849
`
`1.
`
`INTRODUCTION
`
`Pursuant to 35 U.S.C. §§ 311-319 and 37 C.F.R. §§ 42.1-.80, 42.100-.123,
`
`Petitioners Micron
`
`Technology,
`
`Inc.,
`
`Intel
`
`Corporation,
`
`and
`
`GLOBALFOUNDRIES U.S., Inc. (collectively “PetitionersSamsung Electronics
`
`Co., Ltd. ( “Petitioner”) hereby petitionpetitions the Patent Trial and Appeal Board
`
`to institute an inter partes review of claims 1-29 of U.S. Patent No. 5,711,849,
`
`titled “Process Optimization In Gas Phase Dry Etching” (Ex.1001, the “849
`
`Patent”), and cancel those claims as unpatentable.
`
`This Petition is being submitted concurrently with a Motion for Joinder.
`
`Specifically, Petitioner requests institution and joinder with Mic