`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`_________________________________________
`
`
`
`
`
`
`
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________________________________
`
`MICRON TECHNOLOGY, INC.,
`INTEL CORPORATION, AND
`GLOBALFOUNDRIES U.S., INC.,
`
`Petitioners
`
`v.
`
`DANIEL L. FLAMM,
`
`Patent Owner
`
`________________________________________
`
`Case IPR No. Unassigned
`U.S. Patent No. 6,017,221
`Issued: January 25, 2000
`Named Inventor:
`
`
`
`
`
`SAMSUNG ELECTRONICS COMPANY, LTD.
`Petitioner
`
`v.
`
`Page 1 of 106
`
`Samsung Exhibit 1034
`
`

`

`DANIEL L. FLAMM
`Patent Owner
`
`
`
`
`
`
`
`
`
`
`
`Patent No. 6,017,221
`
`
`
`
`
`
`
`
`
`Daniel L. Flamm
`
`Title: PROCESS DEPENDING ON PLASMA DISCHARGES SUSTAINED BY
`INDUCTIVE COUPLING
`
`________________________________________
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 6,017,221
`UNDER 35 U.S.C. §§ 311-319 AND 37 C.F.R. §§ 42.1-.80, 42.100-.123
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`United States Patent and Trademark Office
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`
`
`
`Page 2 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`TABLE OF CONTENTS
`
`III.
`
`I.
`II.
`
`Page
`INTRODUCTION .......................................................................................... 1
`REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW ....... 1
`A. Grounds for Standing (37 C.F.R. § 42.104(a)) .................................... 1
`B. Notice of Real Party-In-Interest (37 C.F.R. § 42.8(b)(1)) ................... 2
`C. Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ............................. 2
`D. Designation of Lead and Back-up Counsel (37 C.F.R. §
`42.8(b)(3)) and Service Information (37 C.F.R. § 42.8(b)(4))............. 3
`Payment of Fees (37 C.F.R. § 42.103) ................................................. 4
`E.
`Proof of Service .................................................................................... 4
`F.
`IDENTIFICATION OF CLAIMS BEING CHALLENGED ......................... 5
`A.
`Specific Art and Statutory Grounds on Which the Challenges to
`the Claims are Based ............................................................................ 5
`IV. OVERVIEW OF THE 221 PATENT ............................................................. 6
`A.
`The 221 Patent Disclosure .................................................................... 7
`1.
`Inductively-Coupled Plasma Source .......................................... 7
`2.
`Capactively Coupled Currents ................................................... 7
`3.
`Phase and Anti-Phase Portions of the Capacitively
`Coupled Currents ....................................................................... 7
`4. Wave Adjustment Circuit ........................................................ 10
`PERSON HAVING ORDINARY SKILL IN THE ART ............................ 12
`V.
`VI. CLAIM CONSTRUCTION ......................................................................... 12
`A.
`“selectively balanced” ........................................................................ 12
`1.
`Correct Construction: “selectively balanced” means
`“chosen to be made substantially equally distributed” ............ 13
`Flamm’s Construction: “selectively balanced covers a
`range, per one’s selection, between 100% balanced to
`various lesser percentages” ...................................................... 15
`VII. SUMMARY OF PRIOR ART REFERENCES ........................................... 16
`
`2.
`
`i
`
`Page 3 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`Lieberman ........................................................................................... 16
`A.
`B. Dible ................................................................................................... 17
`C. Qian .................................................................................................... 18
`D. Hanawa ............................................................................................... 19
`E.
`Collins................................................................................................. 20
`VIII. THERE IS A REASONABLE LIKELIHOOD THAT AT LEAST
`ONE CLAIM OF THE 221 PATENT IS UNPATENTABLE .................... 20
`A. Ground 1: Claims 1 and 5-7 Are Rendered Obvious by
`Lieberman Under 35 U.S.C. § 103(a) ................................................ 21
`1.
`Lieberman: Claim 1 ................................................................ 21
`a)
`[1.P] A process for fabricating a product using a
`plasma source ................................................................. 21
`[1.1] subjecting a substrate to entities, at least one
`of said entities emanating from a gaseous
`discharge excited by a high frequency field from
`an inductive coupling structure...................................... 21
`[1.2] in which a phase portion and an anti-phase
`portion of capacitive currents coupled from the
`inductive coupling structure are selectively
`balanced ......................................................................... 22
`[1.3] wherein said inductive coupling structure is
`adjusted using a wave adjustment circuit, said
`wave adjustment circuit adjusting the phase
`portion and the anti-phase portion of the
`capacitively coupled currents ........................................ 27
`Lieberman discloses all limitations of dependent
`claims 5-7 ................................................................................. 28
`a)
`Claim 5: The process of claim 1 wherein said
`process is provided in a chamber ................................... 28
`Claim 6: The process of claim 5 wherein the
`chamber is provided for a process selected from
`etching, deposition, sputtering, or implantation ............ 29
`
`d)
`
`b)
`
`c)
`
`2.
`
`b)
`
`ii
`
`Page 4 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`c)
`
`b)
`
`c)
`
`Claim 7: The process of claim 1 wherein said
`inductive coupling structure provides a wave
`multiple selected from a one-sixteenth wave, a
`one-eighth- wave, a quarter-wave, a half-wave, a
`three-quarter wave, and a full-wave .............................. 30
`B. Ground 2: Claims 1 and 5-7 Are Rendered Obvious by
`Lieberman In View of Dible Under 35 U.S.C. § 103(a) .................... 30
`1.
`Lieberman in view of Dible: Claim 1 ..................................... 31
`a)
`[1.P] A process for fabricating a product using a
`plasma source ................................................................. 31
`[1.1] subjecting a substrate to entities, at least one
`of said entities emanating from a gaseous
`discharge excited by a high frequency field from
`an inductive coupling structure...................................... 31
`[1.2] in which a phase portion and an anti-phase
`portion of capacitive currents coupled from the
`inductive coupling structure are selectively
`balanced ......................................................................... 31
`[1.3] wherein said inductive coupling structure is
`adjusted using a wave adjustment circuit, said
`wave adjustment circuit adjusting the phase
`portion and the anti-phase portion of the
`capacitively coupled currents ........................................ 33
`Lieberman in view of Dible discloses all limitations of
`dependent claims 5-7 ............................................................... 33
`a)
`Claim 5: The process of claim 1 wherein said
`process is provided in a chamber ................................... 33
`Claim 6: wherein the chamber is provided for a
`process selected from etching, deposition,
`sputtering, or implantation ............................................. 34
`Claim 7: wherein said inductive coupling structure
`provides a wave multiple selected from a one-
`sixteenth wave, a one-eighth-wave, a quarter-
`
`d)
`
`2.
`
`b)
`
`c)
`
`iii
`
`Page 5 of 106
`
`

`

`wave, a half-wave, a three-quarter wave, and a
`full-wave ........................................................................ 34
`Reasons to Combine Lieberman and Dible ............................. 35
`3.
`C. Ground 3: Claims 2-3 Are Rendered Obvious by Lieberman
`(Ground 1), or Lieberman in view of Dible (Ground 2
`Combination), in View of Hanawa Under 35 U.S.C. § 103(a) .......... 36
`1.
`Lieberman (Ground 1), or Lieberman in view of Dible
`(Ground 2 Combination), in view of Hanawa teaches all
`limitations of claims 2 and 3 .................................................... 36
`a)
`Claim 2: The process of claim 1 wherein the wave
`adjustment circuit selectively adjusts a frequency
`of an rf power supply ..................................................... 36
`Claim 3: The process of claim 1 wherein the high
`frequency field is adjusted using a variable
`frequency power supply ................................................. 38
`Reasons to Combine Lieberman and Hanawa ......................... 38
`2.
`D. Ground 4: Claim 4 is Rendered Obvious by Lieberman in View
`of Collins, or Alternatively in view of Dible and Collins,
`Under 35 U.S.C. § 103(a) ................................................................... 42
`1.
`Lieberman in View of Collins teaches all limitations of
`Claim 4 ..................................................................................... 42
`a)
`Claim 4: The process of claim 1 wherein the wave
`adjustment circuit comprises a transmission line .......... 42
`Reasons to Combine Lieberman and Collins ........................... 43
`2.
`Ground 5: Claims 1, 5-7 Are Rendered Obvious By Qian
`Under 35 U.S.C. § 103(a) ................................................................... 44
`1.
`Qian: Claim 1 .......................................................................... 44
`a)
`[1.P] A process for fabricating a product using a
`plasma source ................................................................. 44
`[1.1] Subjecting a substrate to entities, at least one
`of said entities emanating from a gaseous
`discharge excited by a high frequency field from
`an inductive coupling structure...................................... 44
`
`E.
`
`b)
`
`b)
`
`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`iv
`
`Page 6 of 106
`
`

`

`2.
`
`F.
`
`d)
`
`[1.2] in which a phase portion and an anti-phase
`portion of capacitive currents coupled from the
`inductive coupling structure are selectively
`balanced ......................................................................... 45
`[1.3] wherein said inductive coupling structure is
`adjusted using a wave adjustment circuit, said
`wave adjustment circuit adjusting the phase
`portion and the anti-phase portion of the
`capacitively coupled currents ........................................ 49
`Qian discloses all limitations of dependent claims 5-7 ........... 50
`a)
`Claim 5: The process of claim 1 wherein said
`process is provided in a chamber ................................... 50
`Claim 6: The process of claim 5 wherein the
`chamber is provided for a process selected from
`etching, deposition, sputtering, or implantation ............ 51
`Claim 7: The process of claim 1 wherein said
`inductive coupling structure provides a wave
`multiple selected from a one-sixteenth wave, a
`one-eighth- wave, a quarter-wave, a half-wave, a
`three-quarter wave, and a full-wave .............................. 51
`Ground 6: Claims 2-3 Are Rendered Obvious by Qian in View
`of Hanawa Under 35 U.S.C. § 103(a) ................................................ 51
`1.
`Qian in view of Hanawa teaches all limitations of
`claims 2 and 3 .......................................................................... 51
`a)
`Claim 2: The process of claim 1 wherein the wave
`adjustment circuit selectively adjusts a frequency
`of an rf power supply ..................................................... 52
`Claim 3: The process of claim 1 wherein the high
`frequency field is adjusted using a variable
`frequency power supply ................................................. 53
`Reasons to Combine Qian and Hanawa ................................... 53
`2.
`G. Ground 7: Claim 4 is Rendered Obvious by Qian in View of
`Collins Under 35 U.S.C. § 103(a) ...................................................... 57
`
`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`c)
`
`b)
`
`c)
`
`b)
`
`v
`
`Page 7 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`1.
`
`Qian in view of Collins discloses all limitations of
`claim 4 ...................................................................................... 57
`a)
`Claim 4: The process of claim 1 wherein the wave
`adjustment circuit comprises a transmission line .......... 57
`Reasons to combine Qian and Collins ..................................... 58
`2.
`IX. CONCLUSION ............................................................................................. 58
`
`vi
`
`Page 8 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`
`
`
`
`
`
`
`
`
`
`7
`
`Page 9 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`TABLE OF CONTENTS
`
`TABLE OF CONTENTS
`
`Page
`
`Page
`
`
`I.
`II.
`
`III.
`
`IV.
`
`V.
`VI.
`
`INTRODUCTION .......................................................................................... 1
`REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW ........................... 2
`A. Grounds for Standing (37 C.F.R. § 42.104(a)) .................................... 3
`B. Notice of Real Party-In-Interest (37 C.F.R. § 42.8(b)(1)) ................... 3
`C. Notice of Related Matters (37 C.F.R. § 42.8(b)(2)) ............................. 4
`D. Designation of Lead and Back-up Counsel (37 C.F.R. §
`42.8(b)(3)) and Service Information (37 C.F.R. § 42.8(b)(4))............. 6
`Payment of Fees (37 C.F.R. § 42.103) ................................................. 8
`E.
`Proof of Service .................................................................................... 8
`F.
`IDENTIFICATION OF CLAIMS BEING CHALLENGED ............................................ 9
`A.
`Specific Art and Statutory Grounds on Which the Challenges to
`the Claims are Based ............................................................................ 9
`OVERVIEW OF THE ’221 PATENT ............................................................................. 12
`A.
`The ’221 Patent Disclosure ................................................................ 12
`1.
`Inductively-Coupled Plasma Source ........................................ 12
`2.
`Capactively Coupled Currents ................................................. 12
`3.
`Phase and Anti-Phase Portions of the Capacitively
`Coupled Currents ..................................................................... 14
`4. Wave Adjustment Circuit ........................................................ 17
`PERSON HAVING ORDINARY SKILL IN THE ART ................................................ 20
`CLAIM CONSTRUCTION ............................................................................................. 20
`A.
`“selectively balanced” ........................................................................ 20
`1.
`Correct Construction: “selectively balanced” means
`“chosen to be made substantially equally distributed” ............ 21
`Flamm’s Construction: “selectively balanced covers a
`range, per one’s selection, between 100% balanced to
`various lesser percentages” ...................................................... 24
`VII. SUMMARY OF PRIOR ART REFERENCES ............................................................... 24
`
`2.
`
`i
`
`Page 10 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`Lieberman ........................................................................................... 24
`A.
`B. Dible ................................................................................................... 26
`C. Qian .................................................................................................... 28
`D. Hanawa ............................................................................................... 29
`E.
`Collins................................................................................................. 30
`VIII. THERE IS A REASONABLE LIKELIHOOD THAT AT LEAST ONE CLAIM
`OF THE ’221 PATENT IS UNPATENTABLE .............................................................. 30
`A. Ground 1: Claims 1 and 5-7 Are Rendered Obvious by
`Lieberman Under 35 U.S.C. § 103(a) ................................................ 31
`1.
`Lieberman: Claim 1 ................................................................ 31
`a)
`[1.P] A process for fabricating a product using a
`plasma source ................................................................. 31
`[1.1] subjecting a substrate to entities, at least one
`of said entities emanating from a gaseous
`discharge excited by a high frequency field from
`an inductive coupling structure...................................... 31
`[1.2] in which a phase portion and an anti-phase
`portion of capacitive currents coupled from the
`inductive coupling structure are selectively
`balanced ......................................................................... 33
`[1.3] wherein said inductive coupling structure is
`adjusted using a wave adjustment circuit, said
`wave adjustment circuit adjusting the phase
`portion and the anti-phase portion of the
`capacitively coupled currents. ....................................... 39
`Lieberman discloses all limitations of dependent
`claims 5-7 ................................................................................. 41
`a)
`Claim 5: The process of claim 1 wherein said
`process is provided in a chamber ................................... 41
`Claim 6: The process of claim 5 wherein the
`chamber is provided for a process selected from
`etching, deposition, sputtering, or implantation. ........... 42
`
`d)
`
`b)
`
`c)
`
`2.
`
`b)
`
`ii
`
`Page 11 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`c)
`
`b)
`
`c)
`
`Claim 7: The process of claim 1 wherein said
`inductive coupling structure provides a wave
`multiple selected from a one-sixteenth wave, a
`one-eighth- wave, a quarter-wave, a half-wave, a
`three-quarter wave, and a full-wave. ............................. 42
`B. Ground 2: Claims 1 and 5-7 Are Rendered Obvious by
`Lieberman In View of Dible Under 35 U.S.C. § 103(a) .................... 43
`1.
`Lieberman in view of Dible: Claim 1 ..................................... 43
`a)
`[1.P] A process for fabricating a product using a
`plasma source ................................................................. 44
`[1.1] subjecting a substrate to entities, at least one
`of said entities emanating from a gaseous
`discharge excited by a high frequency field from
`an inductive coupling structure...................................... 44
`[1.2] in which a phase portion and an anti-phase
`portion of capacitive currents coupled from the
`inductive coupling structure are selectively
`balanced ......................................................................... 44
`[1.3] wherein said inductive coupling structure is
`adjusted using a wave adjustment circuit, said
`wave adjustment circuit adjusting the phase
`portion and the anti-phase portion of the
`capacitively coupled currents. ....................................... 46
`Lieberman in view of Dible discloses all limitations of
`dependent claims 5-7 ............................................................... 47
`a)
`Claim 5: The process of claim 1 wherein said
`process is provided in a chamber ................................... 47
`Claim 6: wherein the chamber is provided for a
`process selected from etching, deposition,
`sputtering, or implantation. ............................................ 48
`Claim 7: wherein said inductive coupling structure
`provides a wave multiple selected from a one-
`sixteenth wave, a one-eighth-wave, a quarter-
`
`d)
`
`2.
`
`b)
`
`c)
`
`iii
`
`Page 12 of 106
`
`

`

`wave, a half-wave, a three-quarter wave, and a
`full-wave. ....................................................................... 48
`Reasons to Combine Lieberman and Dible ............................. 49
`3.
`C. Ground 3: Claims 2-3 Are Rendered Obvious by Lieberman
`(Ground 1), or Lieberman in view of Dible (Ground 2
`Combination), in View of Hanawa Under 35 U.S.C. § 103(a) .......... 51
`1.
`Lieberman (Ground 1), or Lieberman in view of Dible
`(Ground 2 Combination), in view of Hanawa teaches all
`limitations of claims 2 and 3 .................................................... 51
`a)
`Claim 2: The process of claim 1 wherein the wave
`adjustment circuit selectively adjusts a frequency
`of an rf power supply ..................................................... 51
`Claim 3: The process of claim 1 wherein the high
`frequency field is adjusted using a variable
`frequency power supply ................................................. 53
`Reasons to Combine Lieberman and Hanawa ......................... 54
`2.
`D. Ground 4: Claim 4 is Rendered Obvious by Lieberman in View
`of Collins, or Alternatively in view of Dible and Collins,
`Under 35 U.S.C. § 103(a) ................................................................... 58
`1.
`Lieberman in View of Collins teaches all limitations of
`Claim 4 ..................................................................................... 58
`a)
`Claim 4: The process of claim 1 wherein the wave
`adjustment circuit comprises a transmission line .......... 58
`Reasons to Combine Lieberman and Collins ........................... 60
`2.
`Ground 5: Claims 1, 5-7 Are Rendered Obvious By Qian
`Under 35 U.S.C. § 103(a) ................................................................... 61
`1.
`Qian: Claim 1 .......................................................................... 61
`a)
`[1.P] A process for fabricating a product using a
`plasma source ................................................................. 61
`[1.1] Subjecting a substrate to entities, at least one
`of said entities emanating from a gaseous
`discharge excited by a high frequency field from
`an inductive coupling structure...................................... 61
`
`E.
`
`b)
`
`b)
`
`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`iv
`
`Page 13 of 106
`
`

`

`2.
`
`F.
`
`d)
`
`[1.2] in which a phase portion and an anti-phase
`portion of capacitive currents coupled from the
`inductive coupling structure are selectively
`balanced ......................................................................... 63
`[1.3] wherein said inductive coupling structure is
`adjusted using a wave adjustment circuit, said
`wave adjustment circuit adjusting the phase
`portion and the anti-phase portion of the
`capacitively coupled currents. ....................................... 68
`Qian discloses all limitations of dependent claims 5-7 ........... 69
`a)
`Claim 5: The process of claim 1 wherein said
`process is provided in a chamber ................................... 70
`Claim 6: The process of claim 5 wherein the
`chamber is provided for a process selected from
`etching, deposition, sputtering, or implantation. ........... 70
`Claim 7: The process of claim 1 wherein said
`inductive coupling structure provides a wave
`multiple selected from a one-sixteenth wave, a
`one-eighth-wave, a quarter-wave, a half-wave, a
`three-quarter wave, and a full-wave. ............................. 70
`Ground 6: Claims 2-3 Are Rendered Obvious by Qian in View
`of Hanawa Under 35 U.S.C. § 103(a) ................................................ 71
`1.
`Qian in view of Hanawa teaches all limitations of
`claims 2 and 3 .......................................................................... 71
`a)
`Claim 2: The process of claim 1 wherein the wave
`adjustment circuit selectively adjusts a frequency
`of an rf power supply ..................................................... 71
`Claim 3: The process of claim 1 wherein the high
`frequency field is adjusted using a variable
`frequency power supply ................................................. 73
`Reasons to Combine Qian and Hanawa ................................... 73
`2.
`G. Ground 7: Claim 4 is Rendered Obvious by Qian in View of
`Collins Under 35 U.S.C. § 103(a) ...................................................... 77
`
`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`c)
`
`b)
`
`c)
`
`b)
`
`v
`
`Page 14 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`1.
`
`Qian in view of Collins discloses all limitations of
`claim 4 ...................................................................................... 77
`a)
`Claim 4: The process of claim 1 wherein the wave
`adjustment circuit comprises a transmission line .......... 77
`Reasons to combine Qian and Collins ..................................... 79
`2.
`CONCLUSION ................................................................................................................ 80
`
`IX.
`
`vi
`
`Page 15 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`Exhibit #
`
`Exhibit List
`
`Description
`
`1001
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
`
`1016
`
`U.S. Patent No. 6,017,221 (“221the ’221 Patent”)
`
`File History for U.S. Patent No. 6,017,221
`
`Declaration of David Graves, Ph.D. (“Graves Decl.”)
`
`Curriculum Vitae of Dr. David Graves
`
`Decision on Institution of Inter Partes Review, Lam Research Corp.
`v. Daniel L. Flamm, IPR2015-01767 (P.T.A.B. Feb. 24, 2016)
`
`M. A. Lieberman and R. A. Gottscho, Design of High-Density
`Plasma Sources for Materials Processing (1994) (“Lieberman”)
`
`U.S. Patent No. 5,573,595 (“Dible”)
`
`U.S. Patent No. 5,065,118 (“Collins”)
`
`U.S. Patent No. 5,683,539 (“Qian”)
`
`U.S. Patent No. 5,688,357 (“Hanawa”)
`
`Merriam-Webster’s Collegiate Dictionary, Tenth Edition (1996)
`(Excerpt)
`
`EP Patent Application No. 0421430 A2 (“Mintz”)
`
`Not Used
`
`U.S. Patent No. 5,401,350 (“Patrick”)
`
`V. A. Godyak, et al., Electrical Characteristics and Electron Heating
`Mechanism of an Inductively Coupled Argon Discharge, Plasma
`Sources Sci. Technol. Vol 3, pp. 169-176 (1994) (“Godyak”)
`
`Rudolf F. Graf, Dictionary of Modern Electronics, 6th ed. (1984)
`(Excerpt)
`
`1017
`
`R. B. Piejak et al., A simple analysis of an inductive RF discharge,
`
`
`
`vii
`
`Page 16 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`Exhibit #
`
`Description
`Plasma Sources Sci. Technol. Vol. 1, pp. 179 – 186 (1992) (“Piejak”).
`
`1018
`
`1019
`
`1020
`
`1021
`
`1022
`
`1023
`
`1024
`
`1025
`
`1026
`
`1027
`
`1028
`
`1029
`
`1030
`
`Petition for Inter Partes Review, Lam Research Corp. v. Daniel L.
`Flamm, IPR2015-01767
`
`Not Used
`
`Deposition Transcript of Dr. Flamm, Lam Research Corp. v. Daniel
`L. Flamm, IPR2015-01767
`
`Patent Owner’s Response, Lam Research Corp. v. Daniel L. Flamm,
`IPR2015-01767
`
`D. Jorgesen and C. Marki, Balun Basics Primer, A Tutorial on
`Baluns, Balun Transformers, Magic-Ts, and 180 Hybrids, Marki
`Microwave, Inc. (2014)
`
`Balun Transformers, available at
`https://www.minicircuits.com/pages/BalunApplicationNote.htm
`
`U.S. Patent No. 5,312,778 (“Collins 778”)
`
`U.S. Patent No. 4,741,799 (“Chen”)
`
`U.S. Patent No. 4,534,816 (“Chen 816”)
`
`Publisher’s Webpage for Plasma Sources for Thin Film Deposition
`and Etching (1994) (1st Edition), available at
`http://store.elsevier.com/product.jsp?isbn=9780125330183&_request
`id=1611063 (last visited Oct. 3, 2016)
`
`Straw, The ARRL Antenna Book, The American Radio Relay
`League, (1994)
`
`Sevick, Transmission Line Transformers, The American Radio Relay
`League, 2nd Edition, (1990)
`
`Declaration of Miloche Kottman (regarding Lieberman), head of
`Cataloging and Archival Processing, University of Kansas
`
`1031
`
`JP17568591A (“Matsuki”)
`
`viii
`
`Page 17 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`
`ix
`
`Page 18 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`1032
`
`1033
`
`1034
`
`RESERVED
`
`RESERVED
`
`Comparison between the Current Petition and Petition in IPR2017-
`00391
`
`
`
`x
`
`Page 19 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`
`I.
`
`INTRODUCTION
`
`Pursuant to 35 U.S.C. §§ 311-319 and 37 C.F.R. §§ 42.1-.80, 42.100-.123,
`
`Petitioners Micron
`
`Technology,
`
`Inc.,
`
`Intel
`
`Corporation,
`
`and
`
`GLOBALFOUNDRIES U.S., Inc. (collectively “Petitioners Samsung Electronics
`
`Co., Ltd. (“Petitioner”) hereby requestrequests inter partes review of claims 1-7 of
`
`U.S. Patent No. 6,017,221 (Ex.1001, “the “221’221 Patent”) and cancellation of
`
`those claims as unpatentable. According to USPTO records, the 221’221 Patent is
`
`assigned to Daniel L. Flamm.
`
`This Petition is being submitted concurrently with a Motion for Joinder.
`
`Specifically, Petitioner requests institution and joinder with Micron Technology,
`
`Inc. et al v. Daniel L. There is a pending inter partes review trial on claims 1
`
`and 4-7 of the 221 Patent. Lam Research Corp. v. Flamm, IPR2017-00391 (“the
`
`Micron IPR” or “the Micron proceeding”), which the Board instituted on June 9,
`
`2017. This Petition is substantially identical to the Petition in the Micron IPR; it
`
`contains the same grounds (based on the same prior art combinations and
`
`supporting evidence) against the same claims. (See Ex. 1034, illustrating changes
`
`between the instant Petition and the Petition in IPR2017-00391.)
`
`
`
`Page 20 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`Daniel L. Flamm, IPR2015-01767 (Ex.1005) (“IPR2015-01767”). For
`
`claims 1 and 4-7, this Petition relies on the same prior art1 in Grounds 1, 2, and 4
`
`as in IPR2015-01767. Petition, 01767 IPR, (Ex.1018). Notably, this Petition also
`
`illustrates that this prior art discloses the claim limitations even assuming Flamm’s
`
`interpretations in IPR2015-01767.
`
`Also for claims 1-7, this Petition relies on a reference that the petition in
`
`IPR2015-01767 does not present. U.S. Patent No. 5,683,539 to Qian et. al.
`
`(Ex.1009, “Qian”). Qian sets forth in detail experimental results and specific
`
`measuring equipment, and therefore is not cumulative to the references in
`
`IPR2015-01767.
`
`For claims 2-3, this Petition relies on a secondary reference that IPR2015-
`
`01767 does not raise: U.S. Patent No. 5,688,357 to Hanawa (Ex.1010, “Hanawa”).
`
`Notably, Hanawa explicitly teaches that frequency tuning—using a variable RF
`
`power source—may be used as an alternative to conventional electromechanical
`
`
`1 This Petition, however, does not present Lieberman 93 and Lieberman 94 as
`
`alternative primary references as in IPR2015-01767. Instead, it relies on
`
`Lieberman 94 because the Lieberman references both include the same substantive
`
`disclosures.
`
`2
`
`Page 21 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`tuning using electric servos and variable capacitors, and further details the
`
`advantages thereof.
`
` REQUIREMENTS FOR PETITION FOR INTER PARTES REVIEW II.
`
`
`A. Grounds for Standing (37 C.F.R. § 42.104(a))
`The 221 Patent qualifies for IPR, and Petitioners are not barred.2
`
`The ’221 Patent is available for inter partes review and Petitioner is not
`
`barred or estopped from requesting an inter partes review challenging the Patent
`
`claims on the grounds identified in this Petition. Petitioner is not estopped because
`
`this Petition is accompanied by a Motion for Joinder, and is being submitted no
`
`later than one month after the institution date of the Micron IPR. Under the
`
`Board’s current interpretation of the statute and rules, including 37 C.F.R. §
`
`42.122(b), the time period set forth in § 42.101(b) does not apply to a Petition
`
`accompanied by a request for joinder.
`
`B. Notice of Real Party-In-Interest (37 C.F.R. § 42.8(b)(1))
`
`
`2 Patent Owner did not name Petitioners in an infringement complaint until January
`
`15, 2016, and the court did not issue summonses for purposes of service until
`
`January 21, 2016. N.D. Cal. Case No. 5:15-cv-01277-BLF, Dkts. 50, 58, 60 & 61.
`
`Patent Owner did not serve any Petitioner with the complaint before January 21,
`
`2016.
`
`3
`
`Page 22 of 106
`
`

`

`Petition for Inter Partes Review of U.S. Pat. No. 6,017,221
`
`The
`
`real-parties
`
`in
`
`interest
`
`for
`
`this petitionPetition are Micron
`
`TechnologySamsung Electronics Co., Ltd., Samsung Electronics America, Inc.,
`
`Intel Corporation, GLOBALFOUNDRIESSamsung Semiconductor, Inc., and
`
`GLOBALFOUNDRIES U.S., IncSamsung Austin Semiconductor, LLC. No other
`
`parties exercised or could ha