Trials@uspto.gov
`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 IPR2015-01764
`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
`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 25
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`Samsung Exhibit 1018
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`571-272-7822
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`
` 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 IPR2015-01764
`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
`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 25
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`Samsung Exhibit 1018
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`IPR2015-01764
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`I. INTRODUCTION
`Lam Research Corporation filed a Petition requesting an inter partes
`review of claims 27–30, 33, 35–39, 42, 43, 45, 46, 49, 51–54, 66, 67, and 69
`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 establishes that there is a reasonable
`likelihood that Lam will prevail in challenging claims 27–30, 33, 35–39, 42,
`43, 45, 46, 49, 51–54, 66, 67, and 69 of the ’264 patent as unpatentable.
`Accordingly, we institute trial on those claims.
`
`A. Related Matters
`
`The ’264 patent is the subject of concurrently filed inter partes review
`proceedings IPR2015-01759, 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, at (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.
`6
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`C. Illustrative Claim
`
`Of the challenged claims, claims 27, 37, and 51 are independent.
`
`Claim 27 is illustrative of the challenged independent claims, and is
`reproduced below:
`27. A method of etching a substrate in the manufacture of a
`device, the method comprising:
`heating a substrate holder to a first substrate holder
`temperature with a heat transfer device, the substrate
`holder having at least one temperature sensing unit,
`placing a substrate having a film thereon on the substrate
`holder in a chamber;
`etching a first portion of the film at a selected first substrate
`temperature; and
`etching a second portion of the film at a selected second
`substrate temperature, the selected second substrate
`temperature being different from the selected first
`substrate temperature;
`wherein substrate temperature is changed from the selected
`first substrate temperature to the selected second
`substrate temperature, using a measured substrate
`temperature, within a preselected time interval for
`processing, and at least the first substrate temperature or
`the second substrate temperature, in single or in
`combination, is above room temperature.
`
`
`Ex. 1001, 22:8–28.
`
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`D. Asserted Grounds of Unpatentability
`
`Lam challenges claims 27–30, 33, 35–39, 42, 43, 45, 46, 49, 51–54,
`
`66, 67, and 69 of the ’264 patent on the asserted grounds of unpatentability
`set forth in the table below. Pet. 5–6.
`References
`Tegal2, Matsumura3, Narita4
`
`Basis1 Challenged Claim(s)
`§ 103(a) 27, 28, 30, 33, 35–39,
`42, 43, 45, 46, 49, 51–
`54, 66, 67, 69
`§ 103(a) 29
`
`Tegal, Matsumura, Narita, Ooshio5
`
`
`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 4,913,790 (Apr. 3, 1990) (Ex. 1004).
`5 U.S. Patent 4,645,218 (Feb. 24, 1987) (Ex. 1005).
`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 stage6 of an inter partes
`
`
`6 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
`Lam proffers constructions for several claim terms: portion of the
`film, preselected time interval, and etching . . . the portions of the film
`comprises radiation. Pet. 10–15. Flamm does not address the construction
`of any of the claim terms. After reviewing the parties’ arguments, based on
`the current record we are not persuaded that express construction of any
`term is necessary in order to resolve the disputes currently before us. Thus,
`we discern no need to provide any express constructions at this time. Vivid
`Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999)
`(“[O]nly those terms need be construed that are in controversy, and only to
`
`
`petition for instituting a trial and ends with a written decision as to whether a
`trial will be instituted.”)
`
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`the extent necessary to resolve the controversy.”).
`
`B. Obviousness Over Tegal, Matsumura, and Narita
`
`Lam contends that claims 27, 28, 30, 33, 35–39, 42, 43, 45, 46, 49,
`
`51–54, 66, 67, and 69 are unpatentable under 35 U.S.C. § 103(a), as they
`would have been obvious over the combined disclosures of Tegal,
`Matsumura, and Narita. 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. Joseph L. Cecchi (Ex. 1006) to support its positions.
`
`1. Tegal
`Tegal “relates to plasma etch processes for the manufacture of
`semiconductor wafers . . . .” Ex. 1002, 1:4–5. Figure 1, below, is a
`schematic 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 two reservoirs of water maintained at 10°C and
`80°C to control the temperature of the substrate holder and substrate. 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 that interconnect the
`
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`reservoirs to the substrate holder “may be individually actuated
`electronically.” Id. at 3:36–4:32.
`Figure 1 further depicts controlling substrate (wafer) temperature
`using “an external source of helium gas to the underside of wafer 15 through
`one or more channels, not shown, in the upper surface of electrode 13. As
`known per se in the art, this provides better thermal coupling between wafer
`15 and electrode 13.” Id. at 3:4–26. The passageways in the substrate
`holder (electrode 13 with plurality of tines 16) for water “are separate from
`the passageways conveying helium from port 19.” Id. at 3:15–26.
`While Tegal provides the example of “etching an oxide layer on a
`semiconductor wafer,” Tegal envisions “enhance[d] throughput” by
`“performing two different types of etch in the same reactor” and performing
`“different types of etch, requiring different temperatures, in a single reactor.”
`Id. at 6:43–44, 1:43–48. Tegal also provides an example of “etching an
`oxide layer on a semiconductor wafer” at temperatures between 10°C and
`80°C, but envisions that “any two temperatures can be used.” Id. at 6:4–13,
`6:43–44.
`
`2. Matsumura
`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 discloses
`applying the method to plasma etching when it states that “the present
`invention has been applied to the adhesion and baking processes for
`semiconductor wafers in the above-described embodiments . . . it can also be
`13
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`applied to any of the ion implantation, CVD, etching and ashing processes.”
`Id. at 10:3–7.
`Figure 5A, below, is a schematic of an embodiment for heat-
`processing a substrate (wafer W) on a substrate holder (wafer-stage 12,
`which includes upper plate 13 and conductive thin film 14) in chamber 11.
`
`
`Figure 5A depicts adhesion unit 42 with control system 20, which measures
`the temperature of thin film 14 deposited on the underside of upper plate 13
`with thermal sensor 25. Id. at 5:13–17, 5:32–47, 5:67–6:4, 6:45–50.
`Control system 20 sends signals (SM) to power supply circuit 19 to heat
`semiconductor wafer W on upper plate 13 by conductive thin film 14; and
`sends signals (SC) to cooling system 23 to control the amount of coolant
`supplied to jacket 22. Id. at 5:52–6:32, Figs. 5A and 5B.
`Inside the control system is a recipe, such as that shown in Figure 9
`14
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`below.
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`Figure 9 depicts a “recipe” with a “thermal history curve” showing
`temperature as a function of time. Id. at 4:42–43. At a given time (or
`pulse), the control system measures the substrate holder temperature with
`thermal sensor 25, compares thermal sensor 25’s measurement to that of the
`recipe shown in Figure 9, and either (1) sends a signal (SM) to power supply
`circuit 19 to heat the substrate (wafer W), (2) sends a signal (SC) to cooling
`system 23 to cool the substrate (jacket 22 under stage 12 exchanges heat
`with thin film 14), or (3) sends no signal and waits for the next measurement
`time. Id. at 5:52–6:32, Figs. 5A and 5B.
`To further explain the temperature control, Matsumura discloses
`Figure 7, shown below.
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`“FIG. 7 is a chart intended to explain the temperature change (include ripple
`of temperature) of a heating plate at a time when its temperature is being
`raised, lowered and kept certain.” Id. at 4:36–39.
`
`3. Narita
`Narita discloses a method for treating “a surface of a workpiece while
`accurately controlling the temperature of the workpiece.” Ex. 1004, 2:7–10.
`Narita further discloses that the method can be applied to plasma etching and
`thermal chemical vapor deposition (CVD), among other treatment methods.
`Id. at 3:3–5. The disclosed treating method “includes a temperature rise step
`in which first temperature control is performed and a treatment step in which
`second temperature control is performed.” Id. at Abstr. Figure 1, below, is a
`schematic of an embodiment for a CVD process where there is a substrate
`(semiconductor wafer 2) on a substrate holder (support member 5).
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`Figure 1 depicts control section 23 that controls the temperature using two
`temperature detecting mechanisms: thermocouple 6, which contacts
`substrate 2, and pyrometer 16, which does not contact the substrate. Id. at
`3:13–37, 3:65–4:13, 4:26–31. Narita discloses that two temperature sensors
`are used because the thermocouple has a thermal mass and
`rising
`reliability
`is decreased with
`respect
`to quickly
`temperatures because it takes a considerably long period of time
`to
`increase
`the
`temperature of
`the
`thermocouple
`itself.
`Therefore, when
`the substrate
`is quickly heated,
`the
`thermocouple cannot follow the temperature rise. As a result, the
`difference between a temperature detected by the thermocouple
`and an actual temperature becomes large, and a set value to be
`kept constant after quick rise is greatly overshot. . . .
`In contrast to this, if a pyrometer is used for temperature
`control of a substrate, the pyrometer can properly respond to
`quick heating because it has good response characteristics.
`Id. at 1:42–64.
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`Figure 2, below, depicts temperature as a function of time when a
`wafer is quickly heated.
`
`
`Figure 2 shows (1) overshooting the temperature set value (dashed
`line) when the control circuit only uses thermocouple 6 measurements to
`control the process; and (2) not overshooting the temperature set value (solid
`line) when the control circuit switches from thermocouple 6 to pyrometer 16
`measurements to control the process, during the time when the temperature
`is quickly increasing. Id. at 6:18–49.
`
`4. Analysis
`Based on the foregoing disclosures, Lam contends that the elements of
`the challenged claims are taught by the combination of Tegal, Matsumura,
`and Narita. For example, with respect to claim 27, Lam argues that Tegal
`discloses heating a substrate holder to a first temperature (80°C) with a heat
`transfer device (the fluid flowing through the apparatus of Figure 1). Pet.
`15–16. Tegal also is said to disclose placing a substrate with a film thereon
`
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`into a chamber, and etching a first portion of the film at the first temperature.
`Id. at 16–17. Tegal then discloses a “reactive ion etch (RIE) of the oxide . . .
`obtained by switching to a fluid temperature of 10°C–40°C,” which Lam
`contends satisfies claim 27’s requirement of etching a second portion of the
`film at a selected second temperature. Id. at 18 (citing Ex. 1002, 5:39–41).
`Lam relies on Matsumura’s disclosure of a temperature sensor
`attached to its conductive thin film to meet claim 27’s requirement that the
`substrate holder has a temperature sensing unit. Id. at 16. Matsumura is also
`said to teach changing the substrate temperature within a preselected time
`interval through its disclosure of a temperature control system that uses
`“predetermined recipes” to heat or cool an object over a predetermined
`period of time. Id. at 19–20 (citing Ex. 1003, 3:1–7). For example, Lam
`notes that Figure 8 of Matsumura shows a recipe with a temperature change
`from 20°C to 120°C over 60 seconds. Id.
`Finally, Lam posits that either Matsumura or Narita discloses
`changing from the selected first substrate temperature to the second using a
`measured substrate temperature. Id. at 20. Lam contends that Matsumura’s
`disclosure that its heating and cooling signals are responsive to the
`“temperature detecting signal” meets this limitation, as well as Narita’s
`disclosure of directly measuring the temperature of a substrate during a
`temperature change using a pyrometer. Id.
`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 temperature control
`system in the Tegal system, because Matsumura teaches the benefits of
`sensing the substrate temperature and Tegal suggests electronically
`
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`controlling the temperature of the substrate holder. Id. at 54. Lam also
`argues that incorporating the Matsumura control system into Tegal would
`have improved the flexibility of the Tegal system. Id. at 54–55. The person
`of ordinary skill in the art would have also modified Tegal to incorporate a
`temperature sensor as disclosed in Matsumura or Narita, Lam argues, to
`make more accurate temperature measurements during the temperature
`change disclosed by Tegal. Id. at 55–56. Lam cites the Declaration of
`Dr. Cecchi as supporting the reason to combine the references. Ex. 1006
`¶¶ 133–37.
`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
`changing the temperature from 80°C to 40°C. Pet. 23–24 (citing Ex. 1002,
`5:32–41).
`Lam provides similar analyses of how the limitations of claims 37 and
`51, as well as the challenged dependent claims, are taught by the combined
`disclosures of Tegal, Matsumura, and Narita. Upon review, Lam
`sufficiently sets forth articulated reasoning with rational underpinning to
`support its proposed combination of references, and sufficiently details—on
`this record—how this combination teaches all elements of the challenged
`claims. Flamm’s arguments to the contrary, discussed below, do not
`persuade us otherwise.
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`Flamm’s response focuses primarily on whether the asserted prior art
`discloses a preselected time interval or preselected time period between the
`first and second substrate temperatures, as required by the challenged
`claims. Flamm first argues that Tegal discloses changing the temperature in
`a continuum between 80°C and 10°C, unlike claim 27, which allegedly
`requires “terminating the etch employing the first temperature and then, after
`a preselected time interval, initiating the etch with a second temperature.”
`Prelim. Resp. 6. We disagree that claim 27, or any of the challenged claims,
`requires terminating the etch while the temperature is being changed. To the
`contrary, the ’264 patent states that “it is highly desirable and advantageous
`to reduce the etching temperature during the polysilicon etch.” Ex. 1001,
`19:34–36 (emphasis added). Indeed, claim 28, which depends from claim
`27, further requires “a continuous etching process [which] comprises etching
`the first portion of the film and etching the second portion of the film.” Id.
`at 22:29–31. Because the scope of claim 27 must necessarily encompass
`that of claim 28, claim 27 cannot require a non-continuous etching process
`in which the etch is terminated between the two substrate temperatures.
`Flamm also addresses Matsumura, and argues that the reference does
`not teach a time interval between a first etch temperature and a second etch
`temperature, because it does not address etching using two different
`temperatures at all. Prelim. Resp. 7. Lam’s proposed ground of
`unpatentability, however, does not rely on Matsumura for this disclosure.
`Rather, we understand Lam to argue that using the control “recipes” of
`Matsumura in the system of Tegal—which does disclose etching at different
`temperatures—would result in a system in which the temperature is changed
`
`
`
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`IPR2015-01764
`Patent RE 40,264 E
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`over a preselected time period. As discussed above, on this record we find
`Lam’s reasoning persuasive.
`Flamm repeats its arguments regarding preselected time period for
`independent claims 37 and 51 (Prelim. Resp. 8–9), and we find them
`similarly unpersuasive for these claims. Flamm does not independently
`argue the patentability of the dependent claims at this time. Id. at 9–10.
`For these reasons, we conclude that the record at this stage of the
`proceeding establishes a reasonable likelihood that claims 27, 28, 30, 33,
`35–39, 42, 43, 45, 46, 49, 51–54, 66, 67, and 69 would have been obvious to
`a person of ordinary skill in the art at the time of the invention, and institute
`trial of these claims over the combined disclosures of Tegal, Matsumura, and
`Narita.
`
`C. Obviousness Over Tegal, Matsumura, Narita, and Ooshio
`
`We similarly conclude that Lam has established sufficiently that there
`
`is a reasonable likelihood claim 29 would have been obvious over Tegal,
`Matsumura, Narita, and Ooshio. Pet. 57–60. Claim 29 depends from claim
`27, and further requires that “the substrate temperature change is by at least
`heat transfer with the substrate using at least an electrostatic chuck.” Ex.
`1001, 22:32–34. Ooshio discloses that in the past “a variety of means for
`securing a wafer have been used. In recent years electrostatic chucks are
`used for securing a specimen wafer by electrostatic forces.” Ex. 1005, 1:10–
`14. Lam argues that a person of ordinary skill in the art would have had
`reason to use Ooshio’s electrostatic chuck in place of the substrate holder of
`Tegal, for better thermal coupling between the holder and the substrate. Pet.
`
`
`
`22
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`59 (citing Ex. 1002, 3:9–14). Flamm does not separately address this ground
`of unpatentability. Prelim. Resp. 9–10.
`
`We conclude that the record at this stage of the proceeding establishes
`a reasonable likelihood that claim 29 would have been obvious to a person
`of ordinary skill in the art at the time of the invention, and institute trial of
`these claims over the combined disclosures of Tegal, Matsumura, Narita,
`and Ooshio.
`
`III. CONCLUSION
`For the foregoing reasons, we conclude that the information presented
`in the Petition and Preliminary Response establishes that there is a
`reasonable likelihood that Lam will prevail in challenging claims 27–30, 33,
`35–39, 42, 43, 45, 46, 49, 51–54, 66, 67, and 69 of the ’264 patent as
`unpatentable under § 103(a). At this stage of the proceeding, the Board has
`not made a final determination as to the patentability of any challenged
`claim.
`
`
`IV. ORDER
`
`Accordingly, it is
`ORDERED that inter partes review is instituted with respect to the
`following grounds of unpatentability:
`(1) Whether claims 27, 28, 30, 33, 35–39, 42, 43, 45, 46, 49, 51–54,
`66, 67, and 69 are unpatentable under 35 U.S.C. § 103(a) as having been
`obvious over the combined disclosures of Tegal, Matsumura, and Narita;
`and
`
`(2) Whether claim 29 is unpatentable under 35 U.S.C. § 103(a) as
`having been obvious over the combined disclosures of Tegal, Matsumura,
`23
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`IPR2015-01764
`Patent RE 40,264 E
`
`Narita, and Ooshio;
`FURTHER ORDERED that no ground other than those specifically
`instituted above is authorized for the inter partes review; and
`FURTHER ORDERED that pursuant to 35 U.S.C. § 314(a), inter
`partes review of the ’264 patent is hereby instituted commencing on the
`entry date of this Order, and pursuant to 35 U.S.C. § 314(c) and 37 C.F.R.
`§ 42.4, notice is hereby given of the institution of a trial.
`
`
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`IPR2015-01764
`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
`
`
`
`
`
`
`
`
`
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`25
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`
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