Trials@uspto.gov
`571.272.7822
`
`
` Paper No. 6
`
`Filed: June 30, 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 IPR2016-00468
`Patent RE40,264 E
`____________
`
`
`
`Before MICHAEL R. ZECHER, CHRISTOPHER L. CRUMBLEY, and
`JO-ANNE M. KOKOSKI, Administrative Patent Judges.
`
`ZECHER, 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 21
`
`Samsung Exhibit 1017
`
`
`571.272.7822
`
`
` Paper No. 6
`
`Filed: June 30, 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 IPR2016-00468
`Patent RE40,264 E
`____________
`
`
`
`Before MICHAEL R. ZECHER, CHRISTOPHER L. CRUMBLEY, and
`JO-ANNE M. KOKOSKI, Administrative Patent Judges.
`
`ZECHER, 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 21
`
`Samsung Exhibit 1017
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`I. INTRODUCTION
`
`Petitioner, Lam Research Corporation (“Lam”), filed a Petition
`requesting an inter partes review of claims 13–26, 64, and 65 (“the
`challenged claims”) of U.S. Patent No. RE40,264 E (Ex. 1001, “the ’264
`patent”). Paper 1 (“Pet.”). Patent Owner, Daniel L. Flamm (“Flamm”),
`filed a Preliminary Response. Paper 5 (“Prelim. Resp.”).
`Under 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 would prevail in challenging any of claims
`13–26, 64, and 65 of the ’264 patent as unpatentable under 35 U.S.C.
`§ 103(a). We, therefore, deny the Petition.
`
`A. Related Matters
`
`The parties represent that the ’264 patent is presently at issue in a
`declaratory judgment action captioned Lam Research Corp. v. Daniel L.
`Flamm, No. 5:15-cv-01277-BLF (N.D. Cal.), and in an infringement action
`captioned Daniel L. Flamm v. Samsung Electronics Co., No. 1:15-cv-00613-
`LY (W.D. Tex.). Pet. 2; Paper 4, 1.
`In addition to this Petition, Lam also filed other petitions challenging
`the patentability of certain subsets of claims of the ’264 patent in the
`following cases: (1) Case IPR2015-01759; (2) Case IPR2015-01764; (3)
`Case IPR2015-01766; (4) Case IPR2015-01768; (5) Case IPR2016-00469;
`
`2
`
`
`
`Page 2 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`and (6) Case IPR2016-00470. Pet. 2. To date, another panel of the Board
`has entered a Decision Denying Institution in each of Cases IPR2015-01759
`and IPR2015-01766, and a Decision Granting Institution in each of Cases
`IPR2015-01764 and IPR2015-01768.
`
`B. The ’264 Patent
`
`The ’264 patent, titled “Multi-Temperature Processing,” reissued
`April 29, 2008, from U.S. Patent Application No. 10/439,245 (“the ’245
`application”), filed on May 14, 2003. Ex. 1001, at [54], [45], [21], [22].
`The ’264 patent is a reissue of U.S. Patent No. 6,231,776 B1 (“the ’776
`patent”), which issued May 15, 2001, from U.S. Patent Application No.
`09/151,163 (“the ’163 application”), filed September 10, 1998. Id. at [64].
`The ’264 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, reproduced 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
`
`3
`
`
`
`Page 3 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`(chamber 12 of plasma etch apparatus 10). Id. at 3:24–25, 3:32–33, 3:40–
`41.
`
`Figures 6 and 7, reproduced 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.” Ex. 1001,
`14:28–63, 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,
`
`4
`
`
`
`Page 4 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`etc. should be designed using conventional means to permit the
`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, 16:50–67.
`An example of a semiconductor substrate to be patterned is shown in
`Figure 9, reproduced 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
`Figure 10, reproduced below. Ex. 1001, 17:58–18:57.
`
`5
`
`
`
`Page 5 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`
`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. Ex. 1001, 18:58–19:64. The plasma’s optical emission at 530
`nanometers 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, 19:45–52.
`
`6
`
`
`
`Page 6 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`C. Illustrative Claim
`
`Of the challenged claims, claim 13 is the only independent claim.
`
`Independent claim 13 is directed to a method of etching a substrate in the
`manufacture of a device. Claims 14–26, 64, and 65 directly or indirectly
`depend from independent claim 13. Independent claim 13 is illustrative of
`the challenged claims 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 (italics omitted).
`
`7
`
`
`
`Page 7 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`D. Prior Art Relied Upon
`
`Moslehi
`
`Collins
`
`
`
`Lam relies upon the following prior art references:
`Inventor1 Patent or
`Relevant Dates
`Publication No.
`Mahawili U.S. Patent No.
`5,059,770
`U.S. Patent No.
`5,192,849
`Kadomura U.S. Patent No.
`6,063,710
`EP Pub. No.
`0 601 788 A2
`
`issued Oct. 22, 1991,
`filed Sept. 19, 1989
`issued Mar. 9, 1993,
`filed Aug. 10, 1990
`issued May 16, 2000,
`filed Feb. 21, 1997
`published June 15, 1994,
`filed Dec. 1, 1993
`
`Exhibit No.
`
`1005
`
`1003
`
`1002
`
`1004
`
`E. Asserted Grounds of Unpatentability
`Lam challenges claims 13–26, 64, and 65 of the ’264 patent based on
`
`the asserted grounds of unpatentability (“grounds”) set forth in the table
`below. Pet. 12–60.
`Challenged Claim(s)
`Basis
`References
`Kadomura (embodiment 1) and Moslehi § 103(a) 13–21, 23, 64, and 65
`Kadomura (embodiment 3) and Moslehi § 103(a) 13 and 22
`Kadomura (embodiment 1), Moslehi,
`§ 103(a) 24
`and Collins
`Kadomura (embodiment 1), Moslehi,
`and Mahawili
`
`§ 103(a) 25 and 26
`
`
`1 For clarity and ease of reference, we only list the first named inventor.
`
`8
`
`
`
`Page 8 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`
`
`II. ANALYSIS
`
`A. Claim Construction
`
`As an initial matter, we determine the proper standard of construction
`to apply. The term of a patent grant begins on the date on which the patent
`issues and ends twenty (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, therefore, expired no later than
`December 4, 2015.
`Because, on this record, we conclude that the term of the ’264 patent
`expired prior to the filing of the Petition, 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, our 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 v. AWH Corp.,
`415 F.3d 1303, 1312–17 (Fed. Cir. 2005) (en banc)). There is, however, a
`
`9
`
`
`
`Page 9 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`“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) (internal quotations and citation omitted).
`The parties do not propose constructions for any claim terms recited
`in the challenged claims of the ’264 patent. See generally Pet. 11–13,
`PO Resp. 1–7. Because there is no dispute between the parties regarding
`claim construction, we need not construe explicitly any claim term of the
`’264 patent at this time. See, e.g., Vivid Techs., Inc. v. Am. Sci. & Eng’g,
`Inc., 200 F.3d 795, 803 (Fed. Cir. 1999) (explaining that only those claim
`terms or phrases that are in controversy need to be construed, and only to the
`extent necessary to resolve the controversy).
`
`B. Priority Date for the Challenged Claims of the ’264 Patent
`
`As explained previously, the ’264 patent reissued from the ’245
`
`application, filed on May 14, 2003. Ex. 1001, at [21], [22]. The ’245
`application is a reissue of the ’776 patent, which issued May 15, 2001 from
`the ’163 application, which was filed September 10, 1998. Id. at [64]. The
`’163 application is a continuation-in-part of the following two applications:
`(1) the U.S. Provisional Application No. 60/058,650 (“the ’650 provisional
`application”), filed on September 11, 1997; and (2) U.S. Patent Application
`No. 08/567,224 (“the ’224 application”), filed on December 4, 1995. Id. at
`[60], [63], 1:11–15.
`
`Lam contends that Flamm may only claim the benefit of the filing
`date of ’650 provisional application, i.e., September 11, 1997, because this is
`the earliest filed application in the priority chain that includes sufficient
`written description support for certain limitations recited in the challenged
`
`10
`
`
`
`Page 10 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`claims. Pet. 4. Relying upon the testimony of its Declarant, Dr. Joseph L.
`Cecchi, Lam explains how the ’650 provisional application discloses
`selecting the thermal mass of the substrate holder, changing the substrate
`holder temperature within a specific time interval, and etching the film at the
`selected first temperature and etching a second portion of the film at the
`selected second temperature, as required by independent claim 13. Id. at 6–8
`(citing Ex. 1006, 11–12, 28–29, 32, 49, 50, 53;2 Ex. 1008 ¶¶ 34–36). Lam,
`however, argues that these limitations are lacking entirely from the
`disclosure of the ’224 application. Id. at 9. For instance, according to Lam,
`there is no mention of selecting the thermal mass of the substrate holder in
`the ’224 application, much less any mention of changing the substrate holder
`temperature within a specific time interval. Id. (citing Ex. 1008 ¶ 38).
`Consequently, Lam asserts that, because the ’224 application does not
`provide sufficient written description support for certain limitations required
`by independent claim 13, the challenged claims only are entitled to the
`priority date of the ’650 provisional application, i.e., September 11, 1997.
`Id. at 8. Flamm does not present arguments as to whether the ’264 patent is
`entitled to claim a priority date earlier than September 11, 1997.
`
`On this record, we are persuaded by Lam’s argument that the ’224
`application does not provide sufficient written description support for
`selecting the thermal mass of the substrate holder, changing the substrate
`holder temperature within a specific time interval, and etching the film at the
`
`
`2 All references to the page numbers in the ’650 provisional application refer
`to page numbers inserted by Lam at the bottom, right-hand corner of each
`page in Exhibit 1006.
`
`11
`
`
`
`Page 11 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`selected first temperature and etching a second portion of the film at the
`selected second temperature, as required by independent claim 13. For
`purposes of this Decision, Lam has presented sufficient evidence indicating
`that the challenged claims of the ’264 patent only are entitled to claim the
`benefit of the filing date of the ’650 provisional application, i.e., September
`11, 1997. Consequently, on this record, it appears that Kadomura qualifies
`as prior art to the challenged claims of the ’264 patent.
`
`C. Obviousness Over Kadomura (Embodiment 1) and Moslehi
`
`Lam contends that claims 13–21, 23, 64, and 65 are unpatentable
`
`under § 103(a) over the combination of Kadomura (embodiment 1) and
`Moslehi. Pet. 14–42. Lam explains how this proffered combination
`purportedly teaches 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 to support its positions. Ex. 1008 ¶¶ 63–97. On this record, we are
`not persuaded that Lam properly accounts for “the thermal mass of the
`substrate holder is selected for a predetermined temperature change within a
`specific interval of time during processing,” as recited in independent claim
`13.
`We begin our analysis with the principles of law that generally apply
`
`to a ground based on obviousness, followed by brief overviews of Kadomura
`and Moslehi, and then we address the parties’ contentions with respect to
`independent claim 13.
`
`12
`
`
`
`Page 12 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`1. Principles of Law
`
`A claim is unpatentable under § 103(a) if the differences between the
`claimed subject matter and the prior art are such that the subject matter, as a
`whole, would have been obvious at the time the invention was made to a
`person having ordinary skill in the art to which said subject matter pertains.
`KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 406 (2007). The question of
`obviousness is resolved on the basis of underlying factual determinations,
`including (1) the scope and content of the prior art; (2) any differences
`between the claimed subject matter and the prior art; (3) the level of skill in
`the art;3 and (4) when in evidence, so-called secondary considerations.
`Graham v. John Deere Co., 383 U.S. 1, 17–18 (1966). We analyze this
`asserted ground based on obviousness with the principles identified above in
`mind.
`
`2. Kadomura Overview
`
`Kadomura generally relates to a dry etching method used primarily for
`the production of semiconductor devices and, in particular, to a dry etching
`method and apparatus that provides compatibility for anisotropic fabrication
`and high selectivity. Ex. 1002, 1:6–10. According to Kadomura, one
`objective of the disclosed dry etching method is to apply an etching
`treatment that includes a plurality of steps to a specimen within the same
`
`
`3 Relying upon the testimony of Dr. Cecchi, Lam offers an assessment as to
`the level of skill in the art. Pet. 13–14 (citing Ex. 1008 ¶¶ 27–30). Flamm
`does not challenge this assessment of the level of skill in the art or propose
`an alternative. For purposes of this Decision, and to the extent necessary,
`we accept the assessment offered by Lam and Dr. Cecchi.
`
`13
`
`
`
`Page 13 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`processing apparatus, wherein the temperature of the specimen is changed
`between etching in a first step and etching in a second step. Id. at 2:65–3:5.
`Because the disclosed dry etching method conducts each of the etching
`treatments in the same processing apparatus, the time for changing the
`specimen temperature between the steps may be shortened. Id. at 4:46–49.
`Moreover, by conducting the change of specimen temperature within a short
`period of time, dry etching treatment may be applied without deteriorating
`the throughput. Id. at 4:49–54.
`Kadomura discloses three embodiments, each of which applies its dry
`etching method in a different manner. Ex. 1002, 5:44–56, Figs. 1A–1C, 2A–
`2C, 3A–3C. Of particular importance to this case are the first and third
`embodiments discussed in relation to Figures 1A–1C and 3A–3C.
`Kadomura’s first embodiment discussed in relation to Figures 1A–1C
`(“embodiment 1”) applies the dry etching method to a method of fabricating
`a W polycide using a two-step etching treatment. Id. at 6:1–7:18. In
`embodiment 1, the main etching in the first step is applied at a normal
`temperature (20ºCelsius (“C”)), whereas the overetching in the second step
`is applied at a much cooler temperature (-30ºC). Id. at 6:17–28, 6:63–7:7
`According to Kadomura, it is possible in this embodiment to attain both high
`selectivity and assurance for the anisotropic shape, as well as change the
`temperature of the specimen in a short period of time, by conducting each of
`the steps in the same etching device. Id. at 7:19–23.
`Kadomura’s third embodiment discussed in relation to Figures 3A–3C
`(“embodiment 3”) applies the dry etching method to a method of fabricating
`polysilicon on a silicon dioxide (SiO2) layer having a high step. Ex. 1002,
`9:33–11:4. In the first step of embodiment 3, the specimen temperature is
`
`14
`
`
`
`Page 14 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`controlled in the same manner as the second step in embodiment 1. Id. at
`10:4–10. That is, the main etching in this first step is applied at a cooler
`temperature (-30ºC). Id. at 9:54–62. The overetching in the second step is
`applied at a much higher temperature (50ºC). Id. at 10:17–27.
`
`3. Moslehi Overview
`
`Moslehi generally relates to a multipurpose low thermal mass chuck
`for semiconductor processing equipment and, in particular, to producing
`radio frequency (“RF”) plasma, wafer heating, and wafer cooling in plasma
`processing applications, such as etching, deposition, annealing, and surface
`cleaning. Ex. 1003, 1:8–14. According to Moslehi, the RF chuck of the
`disclosed invention is low thermal mass and multipurpose because, among
`other things, it heats and cools the semiconductor wafer with rapid thermal
`transients over a wide range of temperatures. Id. at 4:45–48; see also id. at
`4:55–57, 10:7–9, 11:58–60 (disclosing that the RF chuck has a low thermal
`mass for rapid semiconductor wafer heating and cooling).
`
`4. Claim 13
`
`In its Petition, Lam relies upon Kadomura to teach all the limitations
`
`recited in independent claim 13, except “the substrate holder having a
`selected thermal mass” and “the thermal mass of the substrate holder is
`selected for a predetermined temperature change within a specific interval of
`time during processing.” Pet. 14–20, 22–26. Lam turns to Moslehi’s RF
`chuck that has low thermal mass to teach “the substrate holder having a
`selected thermal mass,” as claimed. Id. at 15–16 (citing Ex. 1003, 4:45–48,
`4:55–57, 10:7–9, 11:58–60; Ex. 1008 ¶ 66). Lam relies on Kadomura’s
`embodiment 1 that applies a dry etching method involving a predetermined
`
`15
`
`
`
`Page 15 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`temperature change within a short period of time, in conjunction with
`Moslehi’s RF chuck that has low thermal mass, to teach “the thermal mass
`of the substrate holder is selected for a predetermined temperature change
`within a specific interval of time during processing,” as claimed. Id. at 20–
`22 (citing Ex. 1002, 6:18–62, 7:19–30; Ex. 1003, 4:45–48, 4:55–57, 10:7–9,
`11:58–60; Ex. 1008 ¶¶ 73, 74). Lam also provides a rationale to combine
`the teachings of Kadomura’s embodiment 1 with those of Moslehi. Id. at
`40–42.
`Flamm raises several arguments in response. First, Flamm contends
`that, in related Case IPR2015-01759, the Board was not persuaded by Lam’s
`approach of parsing phrases recited in independent claim 13 that are
`“interdependent” and addressing those phrases individually. PO Resp. 4
`(citing Ex. 2001, 17). Flamm argues that, even though in this case Lam
`parses “the thermal mass of the substrate holder is selected for a
`predetermined temperature change within a specific interval of time during
`processing” into two elements instead of three elements, this should not
`change the Board’s initial admonishment—namely, “[t]he claim language
`requires that these phrases are interdependent, and cannot be parsed into
`separate elements met individually.” Id. at 4 (emphasis added). Second,
`Flamm contends that Kadomura’s predetermined temperature change and
`time interval are not interdependent, as is required by independent claim 13.
`Id. at 5. Instead, Flamm argues that, because Kadomura’s time interval is a
`function of the time required to exhaust the first gas prior to introducing and
`stabilizing the second gas, this time interval is divorced completely from the
`predetermined temperature change. Id. at 5–6.
`
`16
`
`
`
`Page 16 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`
`We agree with Flamm that Lam’s analysis improperly breaks the
`elements of independent 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 independent claim 13 recites that “the thermal mass
`of the substrate holder is selected for a predetermined temperature change
`within a specific interval of time during processing.” Ex. 1001, 21:1–3
`(emphasis added). This 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, e.g., a change of 10°C per minute. Lam’s analysis is deficient, to the
`extent it separates selecting the thermal mass of the substrate holder from a
`predetermined temperature change within a specific interval of time and
`analyzes each separately.
`Although Kadomura discloses that embodiment 1 applies a dry
`etching method that involves a predetermined temperature change within a
`short period of time (Ex. 1002, 6:18–62, 7:19–30), it nonetheless is silent as
`to selecting the thermal mass of the substrate holder. Conversely, Moslehi
`merely discloses that the RF chuck has a low thermal mass, which, in turn,
`allows the RF chuck to heat or cool the temperature of the semiconductor
`wafer rapidly. Ex. 1003, 4:45–48, 4:55–57, 10:7–9, 11:58–60. Lam does
`not direct us to, nor can we find, a disclosure in Moslehi of selecting a
`thermal mass of the RF chuck, such as a low or high thermal mass, in order
`
`17
`
`
`
`Page 17 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`to ensure that the RF chuck changes a predetermined temperature over a
`specific period of time.
`We also do not find Dr. Cecchi’s supporting testimony on this
`particular issue to be persuasive. Ex. 1008 ¶¶ 73, 74. Dr. Cecchi’s analysis
`essentially repeats the arguments advanced in the Petition, and also breaks
`up the elements of the independent claim 13 into separate phrases that are
`then analyzed out of context. For these reasons, we do not credit his
`testimony that the combined teachings of Kadomura (embodiment 1) and
`Moslehi account for “the thermal mass of the substrate holder is selected for
`a predetermined temperature change within a specific interval of time during
`processing,” as recited in independent claim 13.
`Based on the record before us, Lam has not demonstrated a reasonable
`likelihood that it would prevail on its assertion that independent claim 13
`would have been obvious over the combination of Kadomura (embodiment
`1) and Moslehi.
`
`5. Claims 14–21, 23, 64, and 65
`
`By virtue of their dependency, claims 14–21, 23, 64, and 65 include
`the same limitations as independent claim 13. Therefore, for the same
`reasons discussed above with respect to independent claim 13, Lam has not
`demonstrated a reasonable likelihood that it will prevail on its assertion that
`dependent claims 14–21, 23, 64, and 65 would have been obvious over the
`combination of Kadomura (embodiment 1) and Moslehi.
`
`D. Remaining Grounds
`
`Lam also contends that (1) claims 13 and 22 are unpatentable under
`§ 103(a) over the combination of Kadomura (embodiment 3) and Moslehi;
`
`18
`
`
`
`Page 18 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`(2) claim 24 is unpatentable under § 103(a) over the combination of
`Kadomura (embodiment 1), Moslehi, and Collins; and (3) claims 25 and 26
`are unpatentable under § 103(a) over the combination of Kadomura
`(embodiment 1), Moslehi, and Mahawili. Pet. 42–60. Although the
`remaining ground asserted against claims 13 and 22 is based, in part, on
`Kadomura (embodiment 3) instead of Kadomura (embodiment 1), this
`ground suffers from the same deficiency identified above—namely, Lam
`improperly breaks the elements of independent claim 13 into small phrases
`and addresses them individually. Compare Pet. 20–22, 25–26, with id. at
`44–45, 47–48. By virtue of their dependency, claims 22 and 24–26 include
`the same limitations as independent claim 13. As applied by Lam, neither
`Collins nor Mahawili remedy the deficiencies in the combined teachings of
`Kadomura (embodiment 1) and Moslehi identified above. Consequently,
`Lam has not demonstrated a reasonable likelihood that it will prevail on its
`assertion that (1) claims 13 and 22 would have been obvious over the
`combination of Kadomura (embodiment 3) and Moslehi; (2) claim 24 would
`have been obvious over the combination of Kadomura (embodiment 1),
`Moslehi, and Collins; and (3) claims 25 and 26 would have been obvious
`over the combination of Kadomura (embodiment 1), Moslehi, and Mahawili.
`
`
`III. CONCLUSION
`
`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
`
`19
`
`
`
`Page 19 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 E
`
`challenging any of claims 13–26, 64, and 65 of the ’264 patent as
`unpatentable under § 103(a).
`
`
`IV. ORDER
`
`In consideration of the foregoing, it is ORDERED that the Petition is
`DENIED and no trial is instituted.
`
`20
`
`
`
`Page 20 of 21
`
`
`
`IPR2016-00468
`Patent RE40,264 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
`
`
`
`21
`
`
`
`Page 21 of 21
`
`
Accessing this document will incur an additional charge of $.
After purchase, you can access this document again without charge.
Accept $ Charge
Still Working On It
This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.
Give it another minute or two to complete, and then try the refresh button.
A few More Minutes ... Still Working
It can take up to 5 minutes for us to download a document if the court servers are running slowly.
Thank you for your continued patience.
This document could not be displayed.
We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.
Your account does not support viewing this document.
You need a Paid Account to view this document. Click here to change your account type.
Your account does not support viewing this document.
Set your membership
status to view this document.
With a Docket Alarm membership, you'll
get a whole lot more, including:
- Up-to-date information for this case.
- Email alerts whenever there is an update.
- Full text search for other cases.
- Get email alerts whenever a new case matches your search.
One Moment Please
The filing “” is large (MB) and is being downloaded.
Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.
Your document is on its way!
If you do not receive the document in five minutes, contact support at support@docketalarm.com.
Sealed Document
We are unable to display this document, it may be under a court ordered seal.
If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.
Access Government Site
