Greenliant Systems, Inc. v. Xicor LLC

692 F.3d 1261, 103 U.S.P.Q. 2d (BNA) 1951, 2012 WL 3590829, 2012 U.S. App. LEXIS 17788
CourtCourt of Appeals for the Federal Circuit
DecidedAugust 22, 2012
Docket2011-1514
StatusPublished
Cited by19 cases

This text of 692 F.3d 1261 (Greenliant Systems, Inc. v. Xicor LLC) is published on Counsel Stack Legal Research, covering Court of Appeals for the Federal Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Greenliant Systems, Inc. v. Xicor LLC, 692 F.3d 1261, 103 U.S.P.Q. 2d (BNA) 1951, 2012 WL 3590829, 2012 U.S. App. LEXIS 17788 (Fed. Cir. 2012).

Opinion

DYK, Circuit Judge.

Xicor LLC appeals a final judgment of the United States District Court for the Northern District of California granting a declaratory judgment in favor of Greenliant Systems, Inc. The district court entered the final judgment pursuant to the parties’ agreement that the summary judgment order in Silicon Storage Technology, Inc. v. Xicor LLC (“SST ”), 776 F.Supp.2d 1072 (N.D.Cal.2011), which held that claims 12 and 13 of reissued U.S. Patent No. RE38,370 (“the RE'370 patent”) were invalid under the rule against recapture, “applies equally in this case and should be entered herein.” See Greenliant Systems, Inc. v. Xicor LLC, No. 11-CV-0631, slip op. at 3 (N.D.Cal. Jun. 22, 2011). The remaining claims were dismissed by agreement of the parties. We affirm.

Background

Under 35 U.S.C. § 251, a patentee may, within two years of the issuance of a patent, seek a broadening reissue of that patent if, among other things, the patentee originally claimed “less than he had a right to claim.” See MBO Labs., Inc. v. Becton, Dickinson & Co., 602 F.3d 1306, 1313 (Fed.Cir.2010). However, under the rule against recapture, “a patentee is precluded from regaining the subject matter that he surrendered in an effort to obtain allowance of the original claims.” N. Am. Container, Inc. v. Plastipak Packaging, Inc., 415 F.3d 1335, 1349 (Fed.Cir.2005) (internal quotation marks omitted). This case presents the question of whether broadening claims 12 and 13 of the reissued RE'370 patent (the claims at issue in this case) improperly recaptured claim scope *1264 that Xicor 1 had previously surrendered during the prosecution of its predecessor, U.S. Patent No. 5,977,585 (“the '585 patent”).

I

The specifications of the '585 patent and the RE'370 patent are substantially identical and disclose improvements to electronic memory devices, specifically EEPROM circuits, in which “the presence or absence of charge on a floating gate electrode indicates a binary one or zero.” RE'370 patent col. 1 11. 20-22; '585 patent col. 111.16-18. In an EEPROM, charge is transferred to and from the floating gate electrode through a tunneling oxide layer that acts as an insulator when not actively tunneling. However, traditional tunneling oxide layers formed by thermal oxide growth are susceptible to pin-hole defects as well as compressive stress. The improved tunneling oxide layer disclosed in the patents reduces defects and stress, and thereby improves, among other things, processing yields, reliability, and the useful life of EEPROM memory.

Claim 1 of the '585 patent recited:

1. An improved tunneling region for use with an integrated circuit comprising:
a first layer of polysilicon;
a first electron tunneling layer of thermal oxide formed over said first layer of polysilicon;
a second electron tunneling layer of annealed deposited silicon dioxide formed over said first tunneling layer having a thickness less than 2000 Angstroms thick, said silicon dioxide layer being formed by low pressure chemical vapor deposition comprising the use of tetraethylorthosilicate; and
a second layer of polysilicon formed over said layer of deposited silicon dioxide, such that when a bias voltage is applied between said first layer of polysilicon and said second layer of polysilicon, electron tunneling will occur from said first layer of polysilicon to said second layer of polysilicon through said first and second electron tunneling layers.

'585 patent col. 4 1. 66-col. 5 1. 17 (emphasis added). Claim 4, the only other independent claim of the '585 patent, recited:

4. A semiconductor device including means for electron tunneling, comprising:
a first conductive layer;
an annealed silicon dioxide tunneling layer having a thickness less than 2000 Angstroms formed on top of said conductive layer, said silicon dioxide layer being formed by low pressure chemical vapor deposition comprising the use of tetraethylorthosilicate;
a second conductive layer formed on top of said silicon dioxide layer, said first conductive layer acting as a source of tunneling electrons under an appropriate voltage bias condition, said second conductive layer serving as the receptor of said tunneling electrons.

'585 patent col. 5 1. 25-col. 6 1. 8 (emphasis added). For the purposes of this case, the two key limits of the disputed “tunneling layer” in both claim 1 and claim 4 of the '585 patent are that (1) the layer is “formed by low pressure chemical vapor deposition,” and (2) the deposition “compris[es] the use of tetraethylorthosilicate,” which is also referred to as “TEOS.” Both of these claims are product-by-process *1265 claims, i.e., the product is defined in part by the process by which it is made.

II

The '585 patent and the RE'370 patent relate back to U.S. Patent Application No. 07/195,766 (“the '766 application”), filed on May 17, 1988. Claims 1-12 of the originally filed '766 application covered methods for depositing an electron tunneling layer, while claim 13 covered a device containing such a deposited tunneling layer. On January 19, 1989, the examiner issued a restriction requirement under 35 U.S.C. § 121 that required Xicor to separately prosecute the method claims and the device claim. Xicor elected to first prosecute the method claims after the restriction requirement became final on August 3, 1989.

During prosecution of the method claims, the examiner rejected, among others, claim 7 as being obvious in view of prior art “disclosing] that the tunneling oxide layer can be ... deposited by [low pressure chemical vapor deposition].” J.A. 453. However, the examiner stated that “[i]f claim 7 was amended to recite that the tunneling oxide layer was deposited by [low pressure chemical vapor deposition] using TEOS, the claim would be allowable.” J.A. 454 (emphasis added). Xicor added the TEOS limit, and claim 7 was subsequently allowed as part of U.S. Patent No. 5,219,774 (“the '774 patent”), which issued on June 15,1993.

On May 18, 1993, while the application for the '774 patent was still pending, Xicor filed a divisional application, which copied independent claim 13, the lone device claim from the original '766 application, and added, among others, independent device claim 14. Claims 13 and 14 of the divisional application eventually issued as claims 1 and 4 of the '585 patent, and are thus critical to the recapture rule issue presented in this case.

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692 F.3d 1261, 103 U.S.P.Q. 2d (BNA) 1951, 2012 WL 3590829, 2012 U.S. App. LEXIS 17788, Counsel Stack Legal Research, https://law.counselstack.com/opinion/greenliant-systems-inc-v-xicor-llc-cafc-2012.