Trials@uspto.gov
`571-272-7822
`
`
` Paper 7
`
`Entered: February 24, 2016
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`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`LAM RESEARCH CORP.,
`Petitioner,
`
`v.
`
`DANIEL L. FLAMM,
`Patent Owner.
`____________
`
`Case IPR2015-01759
`Patent RE 40,264 E
`____________
`
`
`
`Before DONNA M. PRAISS, CHRISTOPHER L. CRUMBLEY, and
`JO-ANNE M. KOKOSKI, Administrative Patent Judges.
`
`CRUMBLEY, Administrative Patent Judge.
`
`
`
`
`
`DECISION
`Denying Institution of Inter Partes Review
`35 U.S.C. § 314(a) and 37 C.F.R. § 42.108
`
`
`
`
`
`
`
`
`Page 1 of 20
`
`Samsung Exhibit 1016
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`571-272-7822
`
`
` Paper 7
`
`Entered: February 24, 2016
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`LAM RESEARCH CORP.,
`Petitioner,
`
`v.
`
`DANIEL L. FLAMM,
`Patent Owner.
`____________
`
`Case IPR2015-01759
`Patent RE 40,264 E
`____________
`
`
`
`Before DONNA M. PRAISS, CHRISTOPHER L. CRUMBLEY, and
`JO-ANNE M. KOKOSKI, Administrative Patent Judges.
`
`CRUMBLEY, Administrative Patent Judge.
`
`
`
`
`
`DECISION
`Denying Institution of Inter Partes Review
`35 U.S.C. § 314(a) and 37 C.F.R. § 42.108
`
`
`
`
`
`
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`Page 1 of 20
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`Samsung Exhibit 1016
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`IPR2015-01759
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`I. INTRODUCTION
`
`Lam Research Corporation filed a Petition requesting an inter partes
`review of claims 13–26, 64, and 65 of U.S. Patent No. RE 40,264 E (Ex.
`1001, “the ’264 patent”). Paper 1 (“Pet.”). Daniel L. Flamm, the named
`inventor on the ’264 patent and the Patent Owner, filed a Preliminary
`Response to the Petition. Paper 6 (“Prelim. Resp.”).
`Pursuant to 35 U.S.C. § 314(a), an inter partes review may not be
`instituted unless the information presented in the Petition shows “there is a
`reasonable likelihood that the petitioner would prevail with respect to at least
`1 of the claims challenged in the petition.” Taking into account the
`arguments presented in Flamm’s Preliminary Response, we conclude that
`the information presented in the Petition does not establish that there is a
`reasonable likelihood that Lam will prevail in challenging claims 13–26, 64,
`and 65 of the ’264 patent as unpatentable. Accordingly, we do not institute
`trial on those claims.
`
`A. Related Matters
`
`The ’264 patent is the subject of concurrently filed inter partes review
`proceedings IPR2015-01764, IPR2015-01766, and IPR2015-01768.
`We are informed that the ’264 patent is presently at issue in a
`declaratory judgment action captioned Lam Research Corp. v. Daniel L.
`Flamm, Case 5:15-cv-01277-BLF (N.D. Cal.), and in an infringement action
`captioned Daniel L. Flamm v. Samsung Electronics Co., Ltd., et al., Case
`1:15-cv-613 (W.D. Tex.). Pet. 3; Paper 4, 1.
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`B. The ’264 Patent
`
`The ’264 patent, titled “Multi-Temperature Processing,” reissued
`April 29, 2008, from U.S. Patent Application No. 10/439,245, filed on May
`14, 2003. Ex. 1001, (54), (45), (21), (22). The ’264 patent is a reissue of
`U.S. Patent No. 6,231,776, which issued May 15, 2001 from U.S. Patent
`Application 09/151,163, filed September 10, 1998. Id. at (64). The patent is
`directed to a method “for etching a substrate in the manufacture of a device,”
`where the method “provide[s] different processing temperatures during an
`etching process or the like.” Ex. 1001, Abstract. The apparatus used in the
`method is shown in Figure 1 below.
`
`
`Figure 1 depicts a substrate (product 28, such as a wafer to be etched) on a
`substrate holder (product support chuck or pedestal 18) in a chamber
`(chamber 12 of plasma etch apparatus 10). Id. at 3:24–25, 3:32–33, 3:40–
`41.
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`Figures 6 and 7, below, depict a temperature-controlled substrate
`holder and temperature control systems.
`
`
`
`Figures 6 and 7 depict temperature-controlled fluid flowing through
`substrate holder (600, 701), guided by baffles 605, where “[t]he fluid [is]
`used to heat or cool the upper surface of the substrate holder.” Id. at 14:28–
`63 and 16:5–67. Figure 6 also depicts heating elements 607 underneath the
`substrate holder, where “[t]he heating elements can selectively heat one or
`more zones in a desirable manner.” Id. at 15:10–26. Referring to Figure 7,
`the operation of the temperature control system is described as follows:
`The desired fluid temperature is determined by comparing the
`desired wafer or wafer chuck set point temperature to a measured
`wafer or wafer chuck temperature . . . . The heat exchanger, fluid
`flow rate, coolant–side fluid temperature, heater power, chuck,
`etc. should be designed using conventional means to permit the
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`heater to bring the fluid to a setpoint temperature and bring the
`temperature of
`the chuck and wafer
`to predetermined
`temperatures within specified time intervals and within specified
`uniformity limits.
`Id. at 16:36–39 and 50–67.
`An example of a semiconductor substrate to be patterned is shown in
`Figure 9, below.
`
`
`Figure 9 depicts substrate 901 having a stack of layers including oxide layer
`903, polysilicon layer 905, tungsten silicide layer 907, and photoresist
`masking layer 909 with opening 911, from the treatment method shown in
`Fig. 10, below. Id. at 17:58–18:57.
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`Figure 10 depicts the tungsten silicide layer being etched between
`points B and D at a constant temperature; the polysilicon layer being
`exposed between Points D and E; the polysilicon layer being etched at a
`constant temperature beyond point E; and the resist being ashed beyond
`Point I. Id. at 18:58–19:64. The plasma’s optical emission at 530 nm is
`monitored to determine when there is breakthrough to the polysilicon layer
`(Point D) and a lower etch temperature is required to etch the polysilicon
`layer (Point E). Id. at 19:8–24 and 45–52.
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`C. Illustrative Claim
`
`Of the challenged claims, only claim 13 is independent, and is
`
`reproduced below:
`13. A method of etching a substrate in the manufacture of a
`device, the method comprising:
`placing a substrate having a film thereon on a substrate
`holder in a chamber, the substrate holder having a
`selected thermal mass;
`setting the substrate holder to a selected first substrate holder
`temperature with a heat transfer device;
`etching a first portion of the film while the substrate holder
`is at the selected first substrate holder temperature;
`with the heat transfer device, changing the substrate holder
`temperature from the selected first substrate holder
`temperature to a selected second substrate holder
`temperature; and
`etching a second portion of the film while the substrate
`holder is at the selected second substrate holder
`temperature;
`wherein the thermal mass of the substrate holder is selected
`for a predetermined temperature change within a specific
`interval of time during processing; the predetermined
`temperature change comprises the change from the
`selected first substrate holder temperature to the selected
`second substrate holder temperature, and the specified
`time interval comprises the time for changing from the
`selected first substrate holder temperature to the selected
`second substrate holder temperature.
`
`
`Ex. 1001, 20:50–21:10.
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`D. Asserted Grounds of Unpatentability
`
`Lam challenges claims 13–26, 64, and 65 of the ’264 patent on the
`
`asserted grounds of unpatentability set forth in the table below. Pet. 6.
`Basis1 Challenged Claim(s)
`References
`Tegal2, Matsumura3
`§ 103(a) 13, 15, 16, 18–21, 64, 65
`Tegal, Matsumura, Thomas4
`§ 103(a) 14
`Tegal, Matsumura, Narita5
`§ 103(a) 17
`Hwang6, Tegal, Matsumura
`§ 103(a) 22
`Tegal, Matsumura, Collins7
`§ 103(a) 23, 24
`Tegal, Matsumura, Mahawili8
`§ 103(a) 25, 26
`
`Lam asserts that all references are prior art to the ’264 patent under 35
`
`U.S.C. § 102(b) (Pet. 5); Flamm does not, at this stage of the proceeding,
`challenge the prior art status of any reference.
`
`
`
`1 The relevant sections of the Leahy-Smith America Invents Act (“AIA”),
`Pub. L. No. 112–29, took effect on March 16, 2013. Because the application
`from which the ’264 patent issued was filed before that date, our citations to
`Title 35 are to its pre-AIA version.
`2 EP 0 399 676 A1 (Nov. 28, 1990) (Ex. 1002).
`3 U.S. Patent 5,151,871 (Sept. 29, 1992) (Ex. 1003).
`4 U.S. Patent 4,680,086 (July 14, 1987) (Ex. 1005).
`5 U.S. Patent 4,913,790 (Apr. 3, 1990) (Ex. 1004).
`6 U.S. Patent 5,174,856 (Dec. 29, 1992) (Ex. 1006).
`7 EP 0 601 788 A2 (June 15, 1994) (Ex. 1007).
`8 U.S. Patent 5,059,770 (Oct. 22, 1991) (Ex. 1008).
`8
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`II. ANALYSIS
`
`A. Claim Construction
`
`1. Claim Construction Standard
`Before proceeding with claim construction, we must determine the
`proper standard of construction to apply. Lam contends that the claims of
`the ’264 patent should be given their broadest reasonable construction. Pet.
`9–10. That standard, however, is applicable only to unexpired patents. See
`37 C.F.R. § 42.100(b) (“A claim in an unexpired patent shall be given its
`broadest reasonable construction in light of the specification of the patent in
`which it appears.”).
`The term of a patent grant begins on the date on which the patent
`issues and ends 20 years from the date on which the application for the
`patent was filed in the United States, “or, if the application contains a
`specific reference to an earlier filed application or applications under section
`120, 121, 365(c), or 386(c), from the date on which the earliest such
`application was filed.” 35 U.S.C. § 154(a)(2) (2002). The earliest patent
`application referenced for the benefit of priority under 35 U.S.C. § 120, for
`the ’264 patent, was filed on December 4, 1995, and the patent has no term
`extensions. The term of the ’264 patent, thus, expired no later than
`December 4, 2015.
`Because, on this record, we conclude that the term of the ’264 patent
`expired subsequent to the filing of the Petition and the Preliminary
`Response, but prior to the end of the preliminary stage9 of an inter partes
`
`
`9 37 C.F.R. § 42.2 (“Preliminary Proceeding begins with the filing of a
`9
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`review, for purposes of this Decision we construe the claims of the ’264
`patent under the standard applicable to expired patents. For claims of an
`expired patent, the Board’s claim interpretation is similar to that of a district
`court. See In re Rambus Inc., 694 F.3d 42, 46 (Fed. Cir. 2012). “In
`determining the meaning of the disputed claim limitation, we look
`principally to the intrinsic evidence of record, examining the claim language
`itself, the written description, and the prosecution history, if in evidence.”
`DePuy Spine, Inc. v. Medtronic Sofamor Danek, Inc., 469 F.3d 1005, 1014
`(Fed. Cir. 2006) (citing Phillips, 415 F.3d at 1312–17). There is, however, a
`“heavy presumption” that a claim term carries its ordinary and customary
`meaning. CCS Fitness, Inc. v. Brunswick Corp., 288 F.3d 1359, 1366 (Fed.
`Cir. 2002).
`
`2. Disputed Claim Terms
`In its Preliminary Response, Flamm points out that the Petition
`proposes constructions of claim terms based on the broadest reasonable
`interpretation, and therefore is “unfounded.” Prelim. Resp. 3. Flamm does
`not identify, however, how the construction of any disputed term would be
`different under the broadest reasonable interpretation standard, as opposed to
`the standard for expired patents. Nor do we discern the construction of the
`terms to be different under the two standards. To the extent Flamm is
`arguing that Lam’s Petition should be denied simply for using the incorrect
`claim construction standard, we decline to do so.
`
`
`petition for instituting a trial and ends with a written decision as to whether a
`trial will be instituted.”)
`
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`Lam proffers constructions for several claim terms: selected thermal
`mass, portion of the film, specified time interval, and etching at least one of
`the portions of the file comprises radiation. Pet. 10–15. Of these terms,
`Flamm only disputes with particularity the construction of selected thermal
`mass. Prelim. Resp. 4–5. For the purposes of this Decision, only this
`disputed term requires construction.
`
`3. Selected Thermal Mass
`Claim 13 requires that the substrate holder “hav[e] a selected thermal
`mass . . . wherein the thermal mass of the substrate holder is selected for a
`predetermined temperature change within a specific interval of time.” As
`Lam correctly notes, the specification of the ’264 patent does not disclose
`how the thermal mass of the substrate holder is selected, and makes only
`passing reference to the thermal mass being “low.” Pet. 10. For instance,
`the specification states that “[i]n a specific embodiment, the upper surface
`[of the substrate holder] is made using a low thermal mass, high conductivity
`material.” Ex. 1001, 15:43–45. The Summary of the Invention also states
`that the substrate holder has a “low thermal mass” as compared to the
`thermal capacity of the fluid that circulates through the substrate holder, in
`order to “permit[] maintaining the workpiece at a substantially uniform
`temperature.” Id. at 2:37–46. The specification does not describe how one
`of ordinary skill in the art is to select the thermal mass of the substrate
`holder “for a predetermined temperature change within a specific interval of
`time,” as required by claim 13.
`Given the specification’s relative silence on selected thermal mass,
`Lam asserts that a person of ordinary skill in the art would have understood
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`that the “thermal mass” of an object is the “measure of the amount of heat
`required to produce a particular temperature change in that object.” Pet. 11.
`Relying on the testimony of its declarant, Dr. Joseph L. Cecchi, Lam asserts
`that the thermal mass of an object is proportional to both the object’s
`specific heat, and the mass of the object. Id. (citing Ex. 1009 ¶¶ 58–59). A
`person of ordinary skill in the art, according to Lam, would have understood
`selected thermal mass to mean selecting the specific heat of the substrate
`holder, its mass, or both. Id.
`Flamm argues that Lam’s proposed construction reads the word
`“thermal” out of the claim, as it would permit the claim to be satisfied by a
`substrate holder having a selected mass, independent of its thermal
`properties. Prelim. Resp. 5. Flamm proposes that the plain and ordinary
`meaning of thermal mass is “the product of the specific heat capacity of the
`material of the body and the mass of the body,” and recognizes that this is
`consistent with the definition set forth by Dr. Cecchi. Id. Flamm concludes
`that selected thermal mass means “the selected product of the specific heat
`capacity of the material of the body and the mass of the body.” Id.
`On the record before us, we cannot discern any material distinction
`between the parties’ claim construction positions. Flamm recognizes that its
`definition of thermal mass is consistent with that of Dr. Cecchi. The crux of
`Flamm’s objection appears to be that Lam’s proposed construction would
`permit selected thermal mass to be met by selecting the mass of an object
`without regard to the effect of that selection on the thermal mass. Prelim.
`Resp. 5 (“the selection of the ‘mass’ or ‘material’ of a substrate holder could
`be made independent of the thermal properties thereof”). We do not
`
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`interpret Lam’s construction in this manner, but believe Flamm’s objections
`are addressed by making explicit the link between thermal mass and the
`object’s mass and material. To that end, we construe selected thermal mass
`as “thermal mass selected by selecting the mass of the substrate holder, the
`material of the substrate holder, or both.”
`
`B. Obviousness Over Tegal and Matsumura
`
`Lam contends that claims 13, 15, 16, 18–21, 64, and 65 are
`
`unpatentable under 35 U.S.C. § 103(a), as they would have been obvious
`over the combined disclosures of Tegal and Matsumura. Pet. 16–37. Lam
`explains how the combined references teach the subject matter of each
`challenged claim and asserts that a person of ordinary skill in the art would
`have had reason to combine or modify the references. Id. Lam also relies
`upon the Declaration of Dr. Cecchi (Ex. 1009) to support its positions.
`Tegal “relates to plasma etch processes for the manufacture of
`semiconductor wafers . . . .” Ex. 1002, 1:4–5. Figure 1, below, is a
`schematic of an embodiment for etching a silicon oxide layer at two
`temperatures in the same chamber.
`
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`Figure 1 depicts plasma reactor 10 with a chamber having a substrate (wafer
`15) on a substrate holder (electrode 13 with plurality of tines 16). Id. at
`2:52–3:7. The plasma reactor “performs different types of etch, requiring
`different temperatures, in a single reactor” on the substrate. Id. at 1:43–48.
`For example, “a tapered etch can be performed in oxide through a patterned
`photoresist” by a first etching at 80°C for an isotropic etch, followed by a
`second etching at 10°C–40°C for an anisotropic etch. Id. at 5:5–45.
`Figure 1 also depicts a system for controlling the temperature of the
`substrate holder, in the form of two reservoirs of water maintained at 10°C
`and 80°C. The 10°C and 80°C waters are mixed, using taps 47 and 44, and
`delivered to the substrate holder (electrode 13 with plurality of tines 16) at
`the desired temperature. The return water from the substrate holder is
`recirculated back to the reservoirs, remixed with hot or cold water to the
`desired temperature, and recirculated to the substrate holder. The valves
`“may be individually actuated electronically.” Id. at 3:36–4:32.
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`Tegal discloses that changing the temperature of the substrate requires
`more than heating or cooling the substrate; the temperature of the plumbing
`connecting the substrate holder with the source of fluid must also be raised
`or lowered. Id. at 3:44–49. Tegal addresses this by locating valves 23–26
`“as closely as possible to” the substrate holder, so that only conduits 46, 47,
`43, and 44 and electrode/substrate holder 13 must change temperature. Id. at
`3:50–52; 4:44–46. Furthermore, Tegal discloses that “[b]y reducing the
`mass of these means, the time for the temperature change is reduced.” Id. at
`46–48.
`Matsumura discloses a “method of heat-processing semiconductor
`devices whereby temperatures of the semiconductor devices can be
`controlled at devices-heating and -cooling times so as to accurately control
`their thermal history curve.” Ex. 1003, 2:60–65. Matsumura envisions
`applying the method to plasma etching when Matsumura states that while
`“the present invention has been applied to the adhesion and baking processes
`for semiconductor wafers in the above-described embodiments . . . it can
`also be applied to any of the ion implantation, CVD, etching and ashing
`processes.” Id. at 10:3–7.
`
`1. The Parties’ Positions
`Our analysis focuses on the parties’ arguments regarding selected
`thermal mass, as we find them dispositive to Lam’s Petition. Lam argues
`that Tegal discloses selecting the thermal mass of the substrate holder, in
`particular selecting the mass of the substrate holder to “reduce the time for
`temperature change” as described above. Pet. 16–17. According to Lam,
`this is “for a predetermined temperature change,” as Tegal discloses
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`changing the temperature from 80°C to 40°C. Pet. 22 (citing Ex. 1002,
`5:32–41).
`Furthermore, Lam asserts that Matsumura discloses making a
`temperature change “within a specific interval of time,” because its
`“predetermined recipe[s]” are for heating or cooling an object over a
`predetermined period of time. Pet. 22–23 (citing Ex. 1003, 3:1–7). Lam
`argues that a person of ordinary skill in the art at the time of the invention
`would have had reason to use the Matsumura control system, including its
`recipes, in the Tegal substrate holder, to improve the flexibility of the Tegal
`system. Id. at 35–36.
`Flamm raises several arguments in response. First, Flamm argues that
`Lam improperly divides up the claim elements, reducing wherein the
`thermal mass of the substrate holder is selected for a predetermined
`temperature change within a specific interval of time during processing into
`three elements: 1) wherein the thermal mass of the substrate holder is
`selected; 2) for a predetermined temperature change; and 3) within a
`specific interval of time during processing. Prelim. Resp. 9–10. Second,
`Flamm contends that Tegal does not disclose selecting the thermal mass
`because the reduction of the mass of the “means” in Tegal has nothing to do
`with reducing the thermal mass of these means. Id. at 11–12. Furthermore,
`Flamm argues, this portion of Tegal does not disclose selecting the thermal
`mass for a predetermined temperature change, as required by the claims. Id.
`at 13–14.
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`2. Analysis
`At the outset, we agree with Flamm that Lam’s analysis improperly
`breaks the elements of claim 13 into small phrases, and then attempts to
`match disclosures from the prior art to those phrases taken out of context. In
`particular, we note that claim 13 requires that the thermal mass of the
`substrate holder is selected for a predetermined temperature change within a
`specific interval of time during processing. The claim language requires that
`these phrases are interdependent, and cannot be parsed into separate
`elements met individually. In other words, the thermal mass must be
`selected in order to undergo a predetermined temperature change within a
`specific interval of time (for example, a change of 10°C per minute). Lam’s
`analysis is deficient, to the extent it separates predetermined temperature
`change from specific interval of time and analyzes each separately.
`Tegal discloses selecting the mass—and, by extension, the thermal
`mass—of its conduits and substrate holder only in the sense that it advocates
`reducing the mass of these means in order to achieve a reduced time to
`change their temperature. See Ex. 1002, 4:46–48. This is no more a specific
`interval of time than “faster” is a specific interval of time. Tegal does not,
`on this record, disclose any selection of the mass10 of the substrate holder in
`order to ensure that the substrate holder changes a specific temperature over
`a discrete period of time. Nor is Matsumura sufficient to meet this element
`of the claims, as Matsumura does not disclose selecting the thermal mass of
`the substrate holder at all.
`
`
`10 Lam does not argue that Tegal teaches selecting the material of the
`substrate holder, only its mass.
`
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`We do not find Dr. Cecchi’s testimony on these issues (Ex. 1009
`¶¶ 73, 81–83) to be persuasive. Dr. Cecchi’s analysis mirrors that set forth
`in the Petition, and also breaks up the elements of the claims into phrases
`that are then analyzed out of context. For these reasons, we do not credit his
`testimony that Tegal and Matsumura teach all of the limitations of claim 13.
`As we have found that the combined teachings of Tegal and
`Matsumura fail to disclose that the thermal mass of the substrate holder is
`selected for a predetermined temperature change within a specific interval
`of time during processing, we are unpersuaded that the record sufficiently
`establishes that Lam would prevail in demonstrating the unpatentability of
`claim 13 over these references. We reach the same conclusion with respect
`to dependent claims 15, 16, 18–21, 64, and 65, which also contain the same
`claim limitation. We, therefore, decline to institute trial on this ground of
`unpatentability.
`
`C. Remaining Grounds of Unpatentability
`
`Lam presents several other grounds of unpatentability under section
`
`103(a), each of which is based on the combined disclosures of Tegal and
`Matsumura with other references. Pet. 6. None of these asserted
`obviousness grounds, however, rely on any disclosures other than Tegal and
`Matsumura to meet the thermal mass limitation of claim 13 discussed in the
`preceding section. See, e.g., id. at 45–46 (claim chart for Hwang, Tegal, and
`Matsumura ground relies only on Tegal for thermal mass limitations). We,
`therefore, are not persuaded that any of the additional references remedy the
`deficiency in the combined disclosures of Tegal and Matsumura identified
`
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`above. Accordingly, we deny institution of trial on these grounds, as Lam
`has not demonstrated a reasonable likelihood of prevailing.
`
`
`III. CONCLUSION
`
`For the foregoing reasons, we conclude that the information presented
`in the Petition and Preliminary Response does not establish that there is a
`reasonable likelihood that Lam will prevail in challenging claims 13–26, 64,
`and 65 of the ’264 patent as unpatentable under § 103(a).
`
`
`IV. ORDER
`
`In consideration of the foregoing, it is hereby ordered that the Petition is
`denied.
`
`
`
`19
`
`
`
`Page 19 of 20
`
`
`
`IPR2015-01759
`Patent RE 40,264 E
`
`For PETITIONER:
`
`
`Michael R. Fleming
`Samuel K. Lu
`Irell & Manella LLP
`mfleming@irell.com
`slu@irell.com
`LamFlammIPR@irell.com
`
`
`
`For PATENT OWNER:
`
`Christopher Frerking
`chris@ntknet.com
`
`George C. Summerfield
`summerfield@stadheimgrear.com
`
`
`
`
`
`
`
`
`
`
`
`20
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`
`
`Page 20 of 20
`
`
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