By: Christopher Frerking (chris@ntknet.com)
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`Reg. No. 42,557
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
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`LAM RESEARCH CORP.,
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`Petitioner
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`v.
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`DANIEL L. FLAMM,
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`Patent Owner
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`CASE IPR2015-01767
`U.S. Patent No. 6,017,221
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`
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`DECLARATION OF DANIEL L. FLAMM, Sc.D.
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`I, Daniel L. Flamm, Sc.D., hereby declare as follows:
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`1.
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`I am a U.S. patent attorney, and member of the California State Bar.
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`Prior to this, I worked in academia, research, and industry in various roles for more
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`than 50 years. My curriculum vitae, which includes a more detailed summary of
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`my background, experience, and publications, is attached as Appendix A.
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`2.
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`I have been a leading researcher and educator in the fields of
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`semiconductor processing technology, air pollution control, materials science, and
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`other areas of chemical engineering. My research has been funded by NASA,
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`National Science Foundation, Environmental Protection Agency, and AT&T Bell
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`Laboratories. While a Distinguished Member of Technical Staff at Bell
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`Laboratories, I led a semiconductor processing research group comprised of
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`research colleagues, visiting university scientists, postdoctoral associates, and
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`summer students. I have also served as a technical consultant to various
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`semiconductor device and processing equipment manufacturers.
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`3.
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`I have published over 150 technical journal articles and books, and
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`dozens of articles in conference proceedings, most of them in highly competitive
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`refereed conferences and rigorously reviewed journals. I am an inventor in more
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`than 20 U.S. patents, a number of which have been licensed, and most being in the
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`general field of semiconductor processing technology.
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`4.
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`I had experience studying and analyzing patents and patent claims
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`from the perspective of a person having ordinary skilled in the art (“PHOSITA”)
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`starting at least at the time of my employment at AT&T Bell Laboratories in 1977.
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`At AT&T Bell Laboratories, I served as a member of the patent licensing review
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`committee where I was responsible for reviewing hundreds of patents for potential
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`utility and licensing potential. I have also served as a technical expert in patent
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`disputes and litigation.
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`5.
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`I was admitted to the patent bar as an Agent in 2003 and have been
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`registered as a Patent Attorney since 2006.
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`6.
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`I am inventor of U.S. Patent No. 6,017,221, in the name of Daniel L.
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`Flamm and titled “Process Depending on Plasma Discharges Sustained by
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`Inductive Coupling” (“the ‘221 Patent”).
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`7.
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`I have read Lam’s Petition for Inter Partes Review in this matter and
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`the various art cited therein, including Lieberman 93 (Ex. 1002) and Dible (Ex.
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`1003). I have also reviewed the ‘221 patent and the art cited below.
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`8.
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`Lieberman provides no means to adjust or control anything. The
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`isolated secondary winding in the conventional magnetic flux coupled balanced
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`transformer suggested by Lieberman cannot control the coil potential because it is
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`floating. Its voltage and voltage distribution when it is coupled to a processing
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`chamber is determined by the detailed coupling of elements of the coil to process-
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`specific plasma conditions and compositions.
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`9.
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`Lieberman teaches a conventional balanced magnetic transformer,
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`which is not a balun.
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`10. A magnetic transformer is not a balun transformer; it is an essentially
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`different thing. A conventional magnetically coupled transformer, such as depicted
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`by Lieberman, transmits input energy to the output circuit through magnetic flux
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`linkage, and the conventional transformer is capable of DC isolation. A
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`conventional transformer suffers from large core and winding losses as frequency
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`increases and inherently suffers from even higher disproportionate losses in higher
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`power applications, such as here, powering a processing chamber plasma.
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`11. A balun transformer is a transmission line transformer that depends on
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`coupling input energy to a load using a transverse transmission line mode, wherein
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`an electromagnetic field is completely contained within the transmission line. In a
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`balun transmission line transformer, unlike conventional transformers, the magnetic
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`flux is effectively canceled out in the core, whereby far higher efficiencies can be
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`obtained over a far wider range of frequencies. A balun transformer, unlike the
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`conventional magnetic transformer, is not capable of DC isolation because a balun
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`requires a conductive connection to ground to be functional.
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`12. A PHOSITA having expertise in high frequency matching systems
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`would have recognized that in practice Lieberman’s coil midpoint, the so-called
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`virtual ground, would not maintain ground potential when powering a plasma
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`during processing. Because the transformer secondary is “floating,” all positions
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`along the coil have no determinable voltage relative to ground before a load
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`coupled to ground is provided. Having the midpoint coil voltage be midway from
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`the upper and lower end voltages of the coil requires that the upper (above the
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`midpoint) and lower segments of the coil be coupled to identical loads (the
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`capacitive and inductive coupling between the plasma and coil must be axially and
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`radially symmetric about a midpoint). This, in turn, requires plasma sheath
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`thickness and plasma density (and potential) at all positions above the midpoint to
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`be a mirror image of the values below the midpoint, which is unlikely or impossible
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`to occur where the plasma source is coupled to a processing chamber.
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`13. Plasma processing requires that plasma stream from the source toward
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`the workpiece in the chamber. Since the streaming creates a plasma density
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`gradient along the vertical axis in cylindrical geometry there is no midpoint load
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`symmetry.
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`14.
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`If the transformer secondary is “floating,” as Lieberman has stipulated,
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`the values of all of the voltages along the coil, and in particular those of the upper
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`end of the coil, the lower end of the coil, and the midpoint, will depend on the
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`detailed “load” (e.g., the plasma density, its spatial distribution, the plasma
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`potential, and position of the inductive plasma current ring). This is because the
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`voltage drop (voltage difference) between the midpoint and one end of any
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`physical coil, and particularly one carrying high frequency current, varies with the
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`local value of load coupled to that portion of the physical coil.
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`15. The proposition that voltage would be reduced by a factor of two is
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`flawed. That is at least because the geometric extent and position of the induced
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`plasma current ring (inductively coupled plasma absorbing power) depends on the
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`detailed distribution of current along the applicator coil. Since Lieberman never
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`clearly defines a reference configuration such as the electrical length (wavelength
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`portion) of a coil, (other than stating it is “similar to helicon antennas” (Ex. 1002 at
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`52)), and since the magnitude of voltage and power that are necessary to sustain a
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`preselected local plasma density depends on how an applicator is powered, the
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`relative voltages are indeterminate.
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`16. Lieberman does not teach balancing any currents, whether they are
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`capacitively coupled or phase and anti-phase portions as claimed, and Lieberman
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`does not disclose or distinguish phase and anti-phase capacitively coupled currents
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`as claimed. Lieberman’s conventional transformer has nothing operable to
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`selectively balance any capacitive currents, nor anything operable to adjust any
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`phase and anti-phase portions of capacitive currents.
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`17. Lieberman’s floating applicator coil and its isolated transformer
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`secondary have no ground. The midpoint of Lieberman’s coil is only a midpoint.
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`This midpoint is not a virtual ground because Lieberman has nothing to maintain
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`the midpoint, nor any other portion of the coil, at a reference potential.
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`18. The Dible and Lieberman powering systems are based on entirely
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`different principles of operation that have nothing in common. The Lieberman
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`excerpt was only concerned with the absolute magnitude of voltages and currents
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`in an inductively coupled plasma source and the solution of using a conventional
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`magnetic transformer with a floating secondary winding. In contrast, Dible
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`concerns controlling the relative phase of two currents flowing to respectively
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`different coil terminals for the completely different purpose of being able to choose
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`capacitive or inductive coupling operation in the same equipment.
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`19. At most, Dible merely teaches relative current phases powering the
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`opposing terminal ends of a coil. Dible does not disclose any local distribution of
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`current and voltage along the extent of any coil, nor does Dible teach selectively
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`balancing phase and anti-phase capacitive currents emanating from the coil into the
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`plasma, as claimed by the ‘221 patent in any mode of operation. In other words,
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`Dible taught providing an inductively coupled discharge when the powering
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`currents flowing into the two respective coil terminals have a relative phase
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`difference of 180 degrees, which stands in contrast to the ‘221 patent’s phase and
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`anti-phase capacitive currents flowing from distributed positions along the coil into
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`the plasma—these are entirely different things. Dible does not teach any selective
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`balancing of the phase and anti-phase currents into the plasma as claimed by the
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`‘221 patent.
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`20. A person having ordinary skill in the art would have considered
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`Dible’s control system to be inoperable, as explained below. Because of this, there
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`would have been no reason or incentive to combine Dible with similar functional
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`art. As is shown below, there is no similarity between Lieberman and Dible at
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`least because their respective powering systems are based on different and
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`incompatible principles of operation.
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`7
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`21. The Dible control system
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`is
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`incompatible with Lieberman’s
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`conventional magnetic flux coupled transformer floating secondary winding.
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`There would have been no reason or way to combine the control system of Dible
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`with Lieberman’s conventional isolated magnetic transformer and nothing useful
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`would result from attempting to do so. That is, combining Dible’s control system
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`would not work with Lieberman’s conventional magnetic transformer, as further
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`expressed below.
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`22. Lieberman teaches isolating a source of RF power from the coil by
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`using a conventional transformer based on magnetic flux coupling to an isolated
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`secondary winding and applying the rf voltage difference across the winding to
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`power two ends of a coil. Lieberman teaches this configuration is useful to reduce
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`the magnitude of voltage between the coil and plasma, and the magnitude of a
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`capacitive current flowing from the coil to plasma in the source by a factor of two,
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`relative to powering the coil using conventional (grounded) L-network impedance
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`matching.
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`23. Dible’s apparatus requires two radio frequency excitation sources,
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`each operable for outputting current to only one terminal of a plasma applicator
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`coil 202.
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`24. Extrinsic references such as the Comprehensive Dictionary of
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`Electrical Engineering, edited by P. A. Lapante, Taylor & Francis, the IEEE
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`Electrical Engineering Dictionary, Wikipedia, and provide no definition of this
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`term. However an L network, pi network and similar variations are generally
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`described as being impedance transformers. Accordingly, one having ordinary
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`skill in the art would understand the term “transformer networks” to mean a
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`matching network that can transform impedance. A conventional magnetic flux
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`coupled transformer such as described by Lieberman would not be considered to
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`be a matching network because it is not a network.
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`25. Dible discloses that a conventional transformer can be useful to output
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`current into one end of an applicator coil. In order to output current from a source
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`into one terminal of a coil, there must be a path for the current to return from the
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`coil to the current source (e.g., current will not flow through an open circuit). For
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`these reasons, it is obvious that Dible’s matching networks, transformer networks,
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`and other embodiments supplying current to the coil terminals provide a
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`connection to ground, which is a key element in Dible teaching away from any
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`combination with Lieberman.
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`26. Because Lieberman’s configuration depends on using a conventional
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`magnetic flux coupled transformer secondary that is floating, it cannot receive any
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`return current from a ground, which is required by Dible. Since it is impossible to
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`provide current to the coil using only one terminal of the floating transformer
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`secondary winding, it will be obvious that Lieberman’s powering system and
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`floating coil is incompatible with Dible’s method that requires outputting current
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`from two different power sources into two respectively different ends of the same
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`coil. That is, one of ordinary skill in the art would never combine a system that
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`requires a connection to ground as taught by Dible with a system that is floating, as
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`required by Lieberman.
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`27. Dible’s technique is also incompatible with applying balanced “push-
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`pull” power to a coil from any conventional transformer. By definition, balanced
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`“push-pull” power requires that opposing terminals of the applicator coil receive
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`current and voltage from the same (balanced) source and that the voltages at
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`respective ends be equal and opposite. There is no motive to a control system
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`based on manipulating two different power sources to do this because a balanced
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`power source inherently effectuates these relationships.
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`28. A PHOSITA would have considered Dible to be inoperative at least
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`because the invention is based on two power supplies and two matching networks
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`feeding power into one another through the coil. A further deficiency is that
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`Dible’s control system only maintains the relative phase of the currents; it does not
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`match the amplitude of the voltages and currents respectively coming from the
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`different power supplies and has no means to control or synchronize matching by
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`the two different matching circuits respectively attached to each power supply (a
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`matching circuit will introduce setting-dependent phase and amplitude shifts).
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`Finally, Dible has no means to prevent power from one of the RF generators being
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`deposited into the other, thereby heating and/or causing it to fail, and no means to
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`insure stability of the control system as a whole.
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`29.
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`Based on the current
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`record,
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`I declare neither Lieberman nor
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`Lieberman in view of Dibble teach or suggest all of the limitations required by
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`independent claim 1 or dependent claims 4 or 5-7.
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`I declare under penalty of perjury under the laws of the United States of
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`America that the foregoing is true and correct.
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`Executed May 16, 2016
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`Walnut Creek, California
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`Daniel L. Flamm
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`11
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`Exhibit 2001
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`|PR2015-01767
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`Exhibit 2001
`IPR2015-01767
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`Exhibit 2001
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`IPR2015-01767
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`Appendix A
`Appendix A
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`Exhibit 2001
`IPR2015-01767
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`

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`Daniel L. Flamm
`476 Green View Drive, Walnut Creek, CA 94596
`(925) 826‑ 3113 dlf@alum.mit.edu
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`
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`
`
`Profile
`Internationally recognized scientist/chemical engineer with experience in nanotechnology, process
`control, applied chemistry, instrumentation, and computer software and hardware. Former
`chemical/electrical engineering professor, researcher, inventor, corporate founder/board member.
`Experienced programmer and network administrator. Patent attorney and technical expert in domestic
`and international patent disputes and litigation.
`Education and Professional Certifications
`Massachusetts Institute of Technology, Bachelor of Science (Mathematics, minor Physics), 1964
`Massachusetts Institute of Technology, Master of Science (Chemical Engineering), 1966
`Massachusetts Institute of Technology, Doctor of Science (Chemical Engineering), 1970
`Golden Gate University School of Law, Juris Doctor (Intellectual Prop. Certif. with Distinction), 2004
`California Bar No. 239,825
`
`U.S. Patent Bar No. 54,100
`
`Texas Prof. Engineer No. 34,308
`Employment
` 2008–present
`Microtechnology Law and Analysis, Walnut Creek, Cal.
`Patent and Trademark Attorney, Semiconductor Processing & Intellectual Property Consultant.
`Patent drafting/prosecution/strategy in areas such as photovoltaics, digital image technology,
`data networking, internet servers, business methods, plasma sources, thin film technologies, and
`material delivery systems. Work included PCT and international practice, infringement
`analysis, scientific technical analysis, and art searches, trademark prosecution, and general
`counsel services.
`2007–2008
`Buchanan Ingersoll and Rooney, LLP, Redwood Shores, Cal.
`Associate.
`Patent drafting and prosecution in areas such as multimedia, digital voice and video
`recognition, optical network switching, food supplement production, integrated circuit
`processing, gene databases, focused ion beam systems, high frequency device modeling, and
`endpointing.
`2006–2006
`Sughrue Mion, PLLC, Mountain View, Cal.
`Contract Associate.
`Patent drafting and prosecution in areas such as multimedia, digital voice and video
`recognition, optical network switching, food supplement production, integrated circuit
`processing, gene databases, focused ion beam systems, high frequency device modeling, and
`endpointing.
`1989–2005
`Microtechnology Analysis Grp, Walnut Creek, Cal.
` CEO & Technical Consultant
`Technical, scientific, engineering consulting, co-development and market research for domestic
`semiconductor device & equipment manufacturers such as National Semiconductor, Applied
`Materials, ASM America, Lam Research Corporation and others. Experts and expert services
`provided to law firms and corporate counsel. Joint semiconductor equipment product and
`intellectual property development, and technical support for multinational Japanese
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`Exhibit 2001
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`1972–1976
`
`1977–1989
`
`corporation.
`
`University of California, Berkeley, Cal. 1988–1998
`McKay Lecturer, Department of Electrical Engineering and Computer Science
`Taught graduate seminars in plasma processing and display technology, conducted research in
`semiconductor processing such plasma sources for pattern definition and extreme UV
`lithography semiconductor technology at University of California and Lawrence Livermore
`Laboratories.
`AT&T Bell Laboratories, Murray Hill, New Jersey
`Distinguished Member of Technical Staff
`Pioneering research in plasma etching, plasma, chemical vapor deposition, optoelectronics
`materials processing. Discovered/patented novel plasma chemistries and plasma sources,
`directional plasma CVD, fluorinated silicon nitride, oxygen enhanced diamond film deposition,
`laser-induced fluorescence diagnostics, photochemical-distillation purification technology.
`Managed design, purchase, installation and operations of Materials Research Division computer
`network. Personally did systems software support. Developed prototype instrumentation,
`computer hardware and Unix software to automate laboratory experiments. Member of patent
`and licensing review committees.
`Texas A&M University, College Station, Texas
`Assistant Professor
`Taught core chemical engineering courses and performed research directed to air pollution
`chemistry and analyses. Developed exhaust and ambient air sampling and analysis techniques
`in collaboration with the EPA and Texas State Air Control Board. Research in corona discharge
`purification and ozone generation.
`
`Other Employment:
`Crystalline Materials, San Ramon, Cal., Founder and Vice President of Research and Development. Invented
`and developed diamond manufacturing technology
`Mattson Technology, Sunnyvale, Cal., Vice President of Technology. Managed process and product
`development
`Solid State Technology, West Coast Editor. Reported technology news, wrote articles, gathered and reviewed
`content.
`Foxboro Company, Foxboro, Mass., Senior Design Programmer. Designed and coded process control
`programs, direct digital control drivers and application software, supervised compiler and assembler
`subcontracts.
`Stanford University and NASA Ames Research Center, Stanford/Mountain View Cal. Summer Faculty
`Fellow. Developed air purification technology for space cabin atmospheres.
`Texas State Air Pollution Control Services, Austin, Texas. Consultant. Developed new techniques for source
`and ambient air pollution sampling and analysis.
`Shell Development Co., Shell Chemical Co., Emeryville, Cal. and New York City. Engineer. Simulated
`chemical refinery problems.
`Moleculon Corp., Cambridge, Mass. Consultant. Programmed computational chemistry codes.
`IBM Corp., Santurce, Puerto Rico. Systems Engineer. Designed and programmed business and accounting
`applications.
`
`
`Short Course Instructor/Director
`Organizer/Instructor of short courses on Plasma Etching Technology, Plasma Chemistry, Flat Panel Displays.
`Creating and Managing Intellectual Property in the Semiconductor Industry and Diamond Films for
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`Exhibit 2001
`IPR2015-01767
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`organizations such as SEMI (Semiconductor Equipment and Materials Institute), IUPAC (International Union
`of Pure and Applied Chemistry), SPIE (International Society for Optical Engineering) and University of
`California Berkeley Continuing Education.
`
`Selected Board and Committee Memberships
`MIT Educational Counselor (2004‑ present), No. Calif. Plasma Etch Users' Group (1991‑ present),
`SEMI Technology Symposium, (2000-2005); Board of Directors, Yield Up International Corporation,
`(1998‑ 2000), National Research Council, Panel for NIST CST Program Assessment, (1997-2000),
`National Science Foundation, Technology Center Review Board, 1988, IUPAC Subcommittee on
`Plasma Chemistry, (1980-1987), AWWA Joint Task Group, Std. Methods Dissolved Ozone (1978‑
`1985), National Science Foundation CPE Advisory Board, (1981‑ 1983), National and international
`technical meeting/conference organizer, chair, committee member for professional societies such as
`American Vacuum Society, SEMI, IUPAC, Gordon Conferences and SPIE.
`
`Misc. Honors, Awards
`Japan Society for the Promotion of Science Fellowship, Bell Laboratories Exceptional Contribution Award
`(for discovery and development of fluorinated PECVD nitride), Tegal Corporation Thinker Award, Bell
`Laboratories Exceptional Contribution Award (for development and support of a divisional computer system),
`Bell Laboratories Distinguished Member of Technical Staff Award, Bell Laboratories Lump Sum Award (for
`conception and development of low pressure gaseous etching), NASA Certificate of Recognition for "Corona
`Discharge Air Purification System," NASA Certificate of Recognition for "Electric Discharge for Treatment
`of Trace Contaminants," National Science Foundation Graduate Fellowship.
`
`Technical Publications/Patents
`Author of more than 150 articles and books in areas such as materials processing, plasma chemistry and
`physics, air pollution and general chemical engineering. Inventor/Co-Inventor of more than 20 U.S. patents.
`
`Samples, in the Area of Semiconductor Processing
`Multi-Temperature Processing, U.S. Pat. RE40,264, Apr. 29, 2008.
`Process Depending on Plasma Discharges Sustained by Inductive Coupling, U.S. Pat. 6,017,221, Jan. 25, 2000
`Process Optimization in Gas Phase Dry Etching, U.S. Pat. 5,711,849, Jan. 29, 1998
`Device Fabrication by Plasma Etching, U.S. Pat. 4,314,875, Feb. 9, 1982
`Plasma Etching of Silicon, U.S. Pat. 4,310,380, Jan. 12, 1982.
`Devices and Process for Producing Devices Containing Silicon Nitride Films, U. S. Pat. 4,960,656, Oct. 2,
`1990.
`Plasma Etching, An Introduction, Academic Press, 1989.
`Plasma Etching (with J.A. Mucha), Ch. 15 in The Chemistry of the Semiconductor Industry, S.J. Moss and A.
`Ledwith eds., Chapman and Hall, 1987.
`Profiles and Chemistry Effects in Polysilicon and Tungsten Silicode EPROM “Stack” Etching, with R.
`Sadjadi and J. R. Perry,p.; p24 in SPIE Proc. Vol. 1803, 1993.
`Aniosotropic Etching of SiO2 in Low-Frequency CF4/O2 and NF3/Ar Plasmas
`Hydrogen Passivation of Point Defects In Silicon, with J.L. Benton, C. J. Doherty, S.D. Ferris, L. C.
`Kimerling, and H. J. Leamy, Appl. Phys. Lett., p. 670, 1980.
`Plasma Etching for III-V Compound Devices, Part I, Part II, with D. Ibbotson, in Solid State Technology, p.
`77, Oct. 1988, p. 105, Nov. 1988.
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`Exhibit 2001
`IPR2015-01767