PTAB

IPR2019-00371

ASM IP Holding BV v. Kokusai Electric Corp

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Petition
petition

1. Case Identification

2. Patent Overview

  • Title: Method of Manufacturing a Semiconductor Device
  • Brief Description: The ’316 patent relates to cyclical thin-film deposition methods for manufacturing semiconductor devices. The technology involves repeating a cycle of (a) forming a first layer with a non-ideal thickness—either "less than one atomic layer" or "several atomic layers"—and (b) modifying that first layer with a second element "without saturating" the modifying reaction.

3. Grounds for Unpatentability

Ground 1: Anticipation and Obviousness over Kim - Claims 1-2, 5, and 14 are anticipated by or, in the alternative, obvious over Kim.

  • Prior Art Relied Upon: Kim (WO 2004/094695).
  • Core Argument for this Ground:
    • Prior Art Mapping: Petitioner argued that Kim explicitly discloses a "starved exposure" atomic layer deposition (ALD) process that anticipates the claimed method, particularly the "less than one atomic layer" embodiment. Kim's process allegedly forms an aluminum oxide film by using a first precursor dose (trimethylaluminum) that is "insufficient to result in a maximum saturated ALD deposition rate," which Petitioner mapped to the formation of a discontinuous first layer of "less than one atomic layer." Kim then allegedly modifies this layer with a second precursor (water) using a sub-saturated dose, which Petitioner contended meets the "without saturating a modifying reaction" limitation. Dependent claims were addressed by showing Kim’s process is conducted in a non-plasma, heated, and decompressed atmosphere.
    • Motivation to Combine (for Obviousness): As an alternative to anticipation, Petitioner asserted a person of ordinary skill in the art (POSITA) would combine the various disclosures within Kim because the reference presents them as an integrated and advantageous process. Kim allegedly touts the starved exposure method as beneficial for improving deposition rates and reducing precursor chemical use, providing a clear motivation.
    • Expectation of Success: A POSITA would have a high expectation of success, as Kim provides detailed process parameters, working examples, and specific instructions for preparing aluminum oxide layers using the starved exposure method.

Ground 2: Obviousness over Kim in view of Forbes - Claims 6-13, 15, and 16 are obvious over Kim in view of Forbes.

  • Prior Art Relied Upon: Kim (WO 2004/094695) and Forbes (Application # 2008/0057659).
  • Core Argument for this Ground:
    • Prior Art Mapping: This ground addressed claims directed to forming films with three or four different elements. Petitioner argued that while Kim teaches using its starved exposure method for multi-element films like Hafnium Aluminum Oxynitride (HfAlON), it does not detail the specific sequence of precursor steps. Forbes allegedly provides this missing detail, disclosing a preferred ALD cycle for forming an HfAlON film by sequencing precursors for aluminum, oxygen, hafnium, and nitrogen. The combination of Kim’s sub-saturated deposition technique with Forbes’s precursor sequence allegedly renders the multi-element claims obvious.
    • Motivation to Combine: A POSITA seeking to implement Kim's general teaching for forming a HfAlON film via a starved exposure process would combine Kim's method with the specific, successful precursor sequence disclosed in Forbes for creating the exact same film. Forbes provides a clear roadmap for achieving the result proposed by Kim.
    • Expectation of Success: The combination was asserted to be predictable because both references operate in the same technical field of ALD and describe compatible process steps for similar materials.

Ground 3: Anticipation and Obviousness over Haverkort - Claims 1, 3-4, 6, 10, and 14-16 are anticipated by or, in the alternative, obvious over Haverkort.

  • Prior Art Relied Upon: Haverkort (Patent 7,294,582).
  • Core Argument for this Ground:
    • Prior Art Mapping: This ground focused on the patent's alternative "several atomic layers" limitation. Petitioner asserted Haverkort discloses a method for forming a silicon nitride film that anticipates this embodiment. Haverkort allegedly teaches depositing a first silicon layer that is explicitly "more than a monolayer" (e.g., 8 to 20 Å thick). This layer is then modified by reacting it with nitrogen. Petitioner argued that Haverkort’s resulting silicon nitride film was reported as undersaturated (with a Si:N ratio of about 1:1.25, below the saturated stoichiometric ratio of 1:1.33), thereby meeting the "without saturating" limitation.
    • Motivation to Combine (for Obviousness): Petitioner argued a POSITA would be motivated to follow Haverkort's integrated process to create silicon-rich silicon nitride films, which were known to have beneficial properties like reduced film stress. Haverkort’s explicit instruction to optimize nitridation conditions to avoid full saturation would motivate a POSITA to arrive at the claimed invention.
    • Expectation of Success: Haverkort provides detailed process flows, specific parameters for deposition and nitridation, and experimental results, which would have given a POSITA a reasonable expectation of successfully producing the claimed unsaturated, multi-layer film.

4. Key Claim Construction Positions

  • "less than one atomic layer": Petitioner argued this term should be construed to mean "a discontinuous layer" where potential reaction sites on the substrate remain unreacted. This construction was based on the patent specification and arguments made during prosecution. It was critical for mapping Kim's "starved exposure" and "sub-saturated" processes, which explicitly aim to avoid full monolayer formation.
  • "without saturating a modifying reaction of the first layer": Petitioner argued this phrase means that some, but not all, of the first layer remains unreacted with the second element, resulting in a non-stoichiometric or unsaturated final layer. This construction was essential for mapping the experimental results in Haverkort (a 6% undersaturated film) and the sub-saturated reactant doses described in Kim.

5. Relief Requested

  • Petitioner requests institution of an inter partes review and cancellation of claims 1-16 of Patent 9,318,316 as unpatentable.