Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 1 of 13 PageID #: 222
`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 1 of 13 PageID #: 222
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`EXHIBIT I
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`EXHIBIT I
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 2 of 13 PageID #: 223
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`Analysis of Infringement of U.S. Patent No. 6,725,402 by Huawei Device USA Inc., Huawei Device Co., Ltd., and HiSilicon Technologies Co., Ltd.
`(Based on Public Information Only)
`
`Plaintiff Ocean Semiconductor LLC (“Ocean Semiconductor”), provides this preliminary and exemplary infringement analysis with respect to
`
`infringement of U.S. Patent No. 6,725,402, entitled “METHOD AND APPARATUS FOR FAULT DETECTION OF A PROCESSING TOOL AND
`CONTROL THEREOF USING AN ADVANCED PROCESS CONTROL (APC) FRAMEWORK” (the “’402 patent”) by Huawei Device USA Inc., Huawei
`Device Co., Ltd., and HiSilicon Technologies Co., Ltd. (“Huawei”). The following chart illustrates an exemplary analysis regarding infringement by Defendant
`Huawei’s semiconductor products, systems, devices, components and integrated circuits, and products containing such circuits, fabricated or manufactured
`using Applied Materials, Inc.’s (“Applied Materials”) platforms, and/or framework, including Applied Materials’ software and APC system, including the E3
`platform hardware and/or software (collectively, “Applied Materials E3” or “Applied E3”) and/or other APC system and platform hardware and/or software.
`Such products include, without limitation, SoC chipsets and solutions (e.g., Hi3559A V100, Hi3519A V100, Hi3516D V300, Hi3556A V100, Hi3559 V200,
`Hi3559A V100, Hi3559C V100, Hi3559 V100, Hi3716M V430, Hi3716M V430, Hi3798C V200, Hi3798M V200H, Hi3798M V300, Hi3798M V310,
`Hi3796M V200, Hi3798M V200, Hi3796M V100, Hi3798M V100, Hi3716M V420, Hi3716M V410, and Hi3751 V553), processors (e.g., Hi3536, Hi3536C,
`Hi3536D V100, Hi3531D V100, Hi3521D V100, Hi3520D V400, Hi3520D V300, and Hi3520D V200), TV solutions (e.g., Hi3731 V201, Hi3731 V101,
`Hi3751 V811, HI3751 V810, Hi3751 V551, Hi3751 V730, Hi3751 V620, Hi3751 V510, Hi3751 V310, Hi3751 V320, and Hi3751 V600), Kirin solutions (e.g.,
`Kirin 9000/E, Kirin 1020, Kirin 990, Kirin 980, Kirin 970, Kirin 960, Kirin 950, Kirin 930, Kirin 920, Kirin 910, and Kirin 710); Ascend solutions (e.g.,
`Ascend 310 and Ascend 910); Kunpeng solutions (e.g., Kunpeng 920); and Balong solutions (e.g., Balong 5000, Balong 5G01, Balong 765, Balong 750,
`Balong 720, Balong 710, and Balong 700), systems, products, or devices containing these solutions, and similar systems, products, devices, and integrated
`circuits (“’402 Infringing Instrumentalities”).
`
`The analysis set forth below is based only upon information from publicly available resources regarding the ’402 Infringing Instrumentalities, as
`
`Huawei has not yet provided any non-public information.
`
`Unless otherwise noted, Ocean Semiconductor contends that Huawei directly infringes the ’402 patent in violation of 35 U.S.C. § 271(g) by using,
`
`selling, and/or offering to sell in the United States, and/or importing into the United States, the ’402 Infringing Instrumentalities. The following exemplary
`analysis demonstrates that infringement. Unless otherwise noted, Ocean Semiconductor further contends that the evidence below supports a finding of indirect
`infringement under 35 U.S.C. § 271(b) in conjunction with other evidence of liability.
`
`Unless otherwise noted, Ocean Semiconductor believes and contends that each element of each claim asserted herein is literally met through Huawei’s
`
`provision or importation of the ’402 Infringing Instrumentalities. However, to the extent that Huawei attempts to allege that any asserted claim element is not
`literally met, Ocean Semiconductor believes and contends that such elements are met under the doctrine of equivalents. More specifically, in its investigation
`and analysis of the ’402 Infringing Instrumentalities, Ocean Semiconductor did not identify any substantial differences between the elements of the patent
`claims and the corresponding features of the ’402 Infringing Instrumentalities, as set forth herein. In each instance, the identified feature of the ’402 Infringing
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 3 of 13 PageID #: 224
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`Instrumentalities performs at least substantially the same function in substantially the same way to achieve substantially the same result as the corresponding
`claim element.
`
`Ocean Semiconductor notes that the present claim chart and analysis are necessarily preliminary in that Ocean Semiconductor has not obtained
`substantial discovery from Huawei nor has Huawei disclosed any detailed analysis for its non-infringement position, if any. Further, Ocean Semiconductor
`does not have the benefit of claim construction or expert discovery. Ocean Semiconductor reserves the right to supplement and/or amend the positions taken in
`this preliminary and exemplary infringement analysis, including with respect to literal infringement and infringement under the doctrine of equivalents, if and
`when warranted by further information obtained by Ocean Semiconductor, including but not limited to information adduced through information exchanges
`between the parties, fact discovery, claim construction, expert discovery, and/or further analysis.
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 4 of 13 PageID #: 225
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`Infringement by the ’402 Accused Instrumentalities
`
`To the extent that the preamble of Claim 1 is a limitation, the Applied Materials E3 system, which is used to fabricate or
`manufacture the ’402 Infringing Instrumentalities, receives at a first interface operational state data of a processing tool related
`to the manufacture of a processing piece.
`
`For example, the Applied Materials E3 system has a data interface that is connected to an equipment adapter that
`communicates with a data sensor connected to a processing tool (e.g., equipment) as shown below:
`
`
`USP No. 6,725,402
`
`1. A method
`comprising: receiving
`at a first interface
`operational state data
`of a processing tool
`related to the
`manufacture of a
`processing piece;
`
`
`
`See Applied E3, Automation Products Group webpage, available at https://www.brookssoftware.jp/products/e3/catalog.html
`(last visited Oct. 12, 2020).
`
`Within an Advanced Processing Control (“APC”) system such as Applied E3, fault detection is understood as “[t]he technique
`of monitoring and analyzing variations in tool and/or process data to detect anomalies.”
`
`See James Moyne and Jimmy Iskandar, Big Data Analytics for Smart Manufacturing: Case Studies in Semiconductor
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 5 of 13 PageID #: 226
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`Manufacturing, 5 PROCESSES 20 (2015), available at https://www.mdpi.com/2227-9717/5/3/39 (last visited Oct. 12, 2020).
`
`Also, the Applied Materials E3 system has an interface for receiving operational data from a processing tool for semiconductor
`manufacture, e.g. a lift-pin exchange, as shown below:
`
`
`
`
`
`
`See James Moyne, “Challenges, Opportunities in Advanced Process Control To Be Addressed at 27th Annual U.S. APC
`Conference” available at http://www.appliedmaterials.com/nanochip/nanochip-fab-solutions/september-2015/challenges-
`opportunities-in-apc (last visited Oct. 12, 2020).
`
`Also, the Applied Materials E3 system utilizes data from a sensor on a processing tool to provide data to its fault detection
`system. For example: “Features > Fault detection analysis environment for creating statistics and limits from tool sensor data.”
`See “Applied E3 Fault Detection and Classification Module,” at 1, available at
`http://www.appliedmaterials.com/files/E3FDCDatasheet.pdf (last visited Oct. 12, 2020) (“Applied E3 FDC Datasheet”).
`
`
`sending the state data
`from the first
`
`The Applied Materials E3 system, which is used to fabricate or manufacture the ’402 Infringing Instrumentalities, sends the
`state data from the first interface to a fault detection unit, wherein the act of sending comprises: sending the state data from the
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 6 of 13 PageID #: 227
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`interface to a fault
`first interface to a data collection unit, and accumulates the state data at the data collection unit.
`detection unit,
`
`wherein the act of
`For example, the Applied Materials E3 system’s Fault Detection and Classification (“FDC”) module receives and accumulates
`sending comprises:
`data from a processing tool, as shown below:
`sending the state data
`
`from the first
`“Solution Description The Applied E3 FDC module is the only fault detection and analysis solution in the market today built
`interface to a data
`on a common platform with integration to statistical process control (SPC), equipment performance tracking (EPT), run to run
`collection unit;
`(R2R) control and advanced data mining (ADM). The FDC module continuously monitors equipment sensors and events
`accumulating the state
`against performance metrics using statistical analysis techniques, and provides proactive and rapid feedback on equipment
`data at the data
`health. Using the E3 FDC module, engineers can analyze sensor data from manufacturing equipment, detect out-of-norm
`collection unit;
`conditions and relate them to problems with tools.”
`
`See Applied E3 FDC Datasheet, available at
`http://www.appliedmaterials.com/files/E3FDCDatasheet.pdf (last visited Oct. 12, 2020).
`
`The Applied Materials E3 system, which is used to fabricate or manufacture the ’402 Infringing Instrumentalities, translates
`the state data from a first communications protocol to a second communications protocol compatible with the fault detection
`unit.
`
`For example, the Applied Materials E3 system permits the use of different protocols in its FDC, as the following table
`illustrates:
`
`
`translating the state
`data from a first
`communications
`protocol to a second
`communications
`protocol compatible
`with the fault
`detection unit;
`
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 7 of 13 PageID #: 228
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`
`See Ben Williams et al., “Advancing Advanced Process Control in Backend Factories,” at 4, available at
`http://www.appliedmaterials.com/files/Advancing_Advanced_Process_Control_in_Backend_Factories.pdf (last visited Oct.
`12, 2020) (“Advancing Advanced Process Control in Backend Factories”).
`
`Also, the Applied Materials E3 system’s FDC relies on an FDC Equipment Adapter to translate between the SECS protocol
`used by a piece of equipment and the TCP/IP protocol used to send information from the FDC to another system, as shown
`below:
`
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 8 of 13 PageID #: 229
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`
`See id.
`
`The Applied Materials E3 system can also be configured to receive different protocols from a sensor attached to a tool and
`from the tool itself. The FDC is able to translate between these protocols.
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 9 of 13 PageID #: 230
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`and sending the
`translated state data
`from the data
`collection unit to the
`fault detection unit;
`
`
`See id.
`
`The Applied Materials E3 system, which is used to fabricate or manufacture the ’402 Infringing Instrumentalities, sends the
`translated state data from the data collection unit to the fault detection unit.
`
`For example, in the Applied Materials E3 system, translated state data is sent from the FDC Equipment Adapter or from the
`FDC Primary and Secondary Equipment Adapters to the FDC Digital Signal Processor (“DSP”), as shown below:
`
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 10 of 13 PageID #: 231
`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 10 of 13 PageID #: 231
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`FDC Equipment
`Adapter
`
`HM If P W UH
`
`
`
`FDC DS P
`
`[9|Ia
`
`Figure 6. TCP/IP Connection Using Raspberry Pi
`
`
`
`
`See Advancing Advanced Process Control in Backend Factories, at 4.
`See Advancing Advanced Process Control in Backend Factories, at 4.
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 11 of 13 PageID #: 232
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`
`See id.
`
`
`
`
`determining if a fault
`condition exists
`with the processing
`tool based upon the
`state data received by
`the fault detection
`unit;
`
`The Applied Materials E3 system, which is used to fabricate or manufacture the ’402 Infringing Instrumentalities, determines
`if a fault condition exists with the processing tool based upon the state data received by the fault detection unit.
`
`For example, the Applied Materials E3 system’s FDC identifies faults based on information received from the processing tool.
`The E3 FDC strategy engine provides tools for analyzing received data, as shown below:
`
`“Detect and Diagnose. Engineers can construct classification models to define root cause based on fault detection alarms with
`the E3 FDC strategy engine. This strategy engine provides a dashboard with extensive tools for analyzing various data sources.
`With the dashboard, engineers can drag and drop data collections into data views, reuse previous analysis templates, access all
`types of data in the repository and add comments to run data. The FDC solution also provides a vast library of univariate and
`multivariate analysis tools for developing detailed diagnostic models. These models can detect problems with equipment and
`provide predictive maintenance capabilities that reduce unscheduled downtime and product scrap. The strategy engine also
`includes support for limits management and offers extensive data filtering capabilities to eliminate false positives.”
`
`
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`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 12 of 13 PageID #: 233
`
`See Applied E3 FDC Datasheet, available at
`http://www.appliedmaterials.com/files/E3FDCDatasheet.pdf (last visited Oct. 12, 2020).
`
`The Applied Materials E3 system, which is used to fabricate or manufacture the ’402 Infringing Instrumentalities, performs a
`performing a
`predetermined action
`predetermined action on the processing tool in response to the presence of a fault condition.
`
`on the processing tool
`in response to the
`For example, the Applied Materials E3 system’s FDC will take action to resolve a fault revealed by the system. As shown
`presence of a fault
`below, E3 FDC may immediately resolve a fault once detected:
`condition;
`
`
`
`See “Applied SmartFactory Fault Detection and Classification,” available at http://www.appliedmaterials.com/global-
`services/automation-software/e3-fault-detection-and-classification-fdc (last visited Oct. 12, 2020) (“Applied SmartFactory
`Fault Detection and Classification”).
`
`The Applied Materials E3 system, which is used to fabricate or manufacture the ’402 Infringing Instrumentalities, sends an
`alarm signal indicative of the fault condition to an advanced process control framework from the fault detection unit providing
`
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`and sending an alarm
`signal indicative of
`
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`

`

`the fault condition to
`an advanced process
`control framework
`from the fault
`detection unit
`providing that a fault
`condition of the
`processing tool was
`determined by the
`fault detection unit,
`wherein performing a
`predetermined action
`further comprises
`sending a signal by
`the framework to the
`first interface
`reflective of the
`predetermined action.
`
`Case 4:20-cv-00991-ALM Document 1-9 Filed 12/31/20 Page 13 of 13 PageID #: 234
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`that a fault condition of the processing tool was determined by the fault detection unit, wherein performing a predetermined
`action further comprises sending a signal by the framework to the first interface reflective of the predetermined action.
`
`For example, the Applied Materials E3 system’s FDC uses fault detection alarms to identify faults:
`
`“Detect and Diagnose. Engineers can construct classification models to define root cause based on fault detection alarms with
`the E3 FDC strategy engine. This strategy engine provides a dashboard with extensive tools for analyzing various data sources.
`With the dashboard, engineers can drag and drop data collections into data views, reuse previous analysis templates, access all
`types of data in the repository and add comments to run data. The FDC solution also provides a vast library of univariate and
`multivariate analysis tools for developing detailed diagnostic models. These models can detect problems with equipment and
`provide predictive maintenance capabilities that reduce unscheduled downtime and product scrap. The strategy engine also
`includes support for limits management and offers extensive data filtering capabilities to eliminate false positives.”
`
`See Applied E3 FDC Datasheet, available at
`http://www.appliedmaterials.com/files/E3FDCDatasheet.pdf (last visited Oct. 12, 2020).
`
`Also, the Applied Materials E3 system’s FDC is proactive fault detection system that is designed to be used with other
`components of an advanced process control system.
`
`“Solution Description The Applied E3 FDC module is the only fault detection and analysis solution in the market today built
`on a common platform with integration to statistical process control (SPC), equipment performance tracking (EPT), run to run
`(R2R) control and advanced data mining (ADM). The FDC module continuously monitors equipment sensors and events
`against performance metrics using statistical analysis techniques, and provides proactive and rapid feedback on equipment
`health. Using the E3 FDC module, engineers can analyze sensor data from manufacturing equipment, detect out-of-norm
`conditions and relate them to problems with tools.”
`
`See id.
`
`See Seong-Hoon Lee and Scott Bushman, PECVD Vacuum Integrity Application Enhances Display Manufacturers’
`Throughput and Yield, NANOCHIP FAB SOLUTIONS, vol. 5, n. 2 at 19 (2010), available at
`http://www.appliedmaterials.com/files/nanochip-journals/nanochip-fab-solutions-december-2010.pdf (last visited Oct. 12,
`2020):
`
`“The E3 fault detection and classification (FDC) module is the software backbone for collecting and integrating tool data, such
`as sensor readings and events, into a common Oracle database. This enables other E3 modules to access this data.”
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