UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`'
`
`Washington, DC.
`
`In the Matter of
`
`THEREOF (I)
`
`CERTAIN LITHOGRAPHY MACHINES
`AND SYSTEMS AND COMPONENTS
`
`Inv. N0. 337-TA-1128
`
`NOTICE OF INSTITUTION OF INVESTIGATION
`
`Institution of Investigation Pursuant to 19 U.S.C.1337
`
`AGENCY: US. International Trade Commission
`
`ACTION: Notice
`
`SUMMARY: Notice is hereby given that a complaint was filed with the US. International
`Trade Commission on July 20, 2018, under section 337 of the Tariff Act of 1930, as amended,
`on behalf of Carl Zeiss SMT GmbH of Germany. Supplements to the complaint were filed on
`~ July 20 and 26, 2018. An amended complaint was filed on August 9, 2018.’ The amended
`complaint alleges violations of section 337 based upon the importation into the United States, the :
`sale for importation, and the sale within the United States after importation of certain lithography
`: machines and systems and components thereof by reason of infringement of certain claims of
`' US. Patent NO. 8,902,407 (“the ’407 patent”) and US. Patent NO. 9,280,058 (“the ’058 patent”).
`The amended complaint further alleges that an industry in the United States exists as required by
`the applicable Federal Statute.
`
`The complainant requests that the Commission institute an investigation and, after the
`investigation, issue a limited exclusion order and cease and desist orders.
`
`ADDRESSES: The amended complaint, except for any confidential information contained
`therein, is available for inspection during official business hours (8:45 am. to 5:15 pm.) in the
`Office of the Secretary, US. International Trade Commission, 500 E Street, S;W., Room 112,
`Washington, DC. 20436, telephone (202) 205-2000. Hearing impaired individuals are advised
`_ that information on this matter can be obtained by contacting the Commission’s TDD terminal
`on (202) 205—1810. Persons with mobility impairments who will need special assistance in
`gaining access to the Commission should contact the Office of the Secretary at (202) 205-2000.
`General information concerning the Commission may also be obtained by accessing its intemet
`server at https://www.usitc.gov. The public record for this investigation may be Viewed on the
`Commission's electronic docket (EDIS) at https://edis.usitc.gov.
`
`_
`
`

`

`FOR FURTHER INFORMATION CONTACT: Katherine Hiner, The Office of the
`Secretary, Docket Services, US. International Trade Commission, telephone (202) 205-1802.
`
`SUPPLEMENTARY INFORMATION:
`
`AUTHORITY: The authority for institution of this investigation is containedin section 337 of -
`the Tariff Act of 1930, as amended, 19 U.S.C. 1337, and in section 210.10 of the Commission’s
`Rules of Practice and Procedure, 19 C.F.R. 210.10 (2018).,
`'
`
`I SCOPE OF INVESTIGATION: Having considered the amended complaint, the US.
`International Trade Commission, on August 15, 2018, ORDERED THAT —
`
`(1) Pursuant to subsection (b) of section 337 of the Tariff Act of 1930, as amended, an '
`investigation be instituted to determine whether there is a violation of subsection (a)(1)(B) of
`section 337 in the importation into the United States, the sale for importation, or the sale within
`the United States after importation of products identified in paragraph (2) by reason of
`' infringement of one or more of claims 1-10, 12, 16, 17, 19-28, and 30—42 of the ’407 patent and
`claims 1-9, 11, 13, 14, 17-22 and 24-29 of the ’058 patent; and whether an industry in the United
`States exists as required by subsection (a)(2) of section 337;
`
`(2) Pursuant to section 210.10(b)(1) of the Commission's Rules of Practice and
`Procedure, 19 C.F.R. 210.10(b)(1), the plain language description of the accused products or
`_ category of accused products, which defines the scope of the investigation, is “lithography
`machines that use projection objectives to project circuit patterns drawn on a ‘mask’ or ‘reticle’
`onto a photoresist on a silicon wafer, components of the lithography machines, and systems
`related to the operation of the lithography machines”;
`
`‘
`
`(3) For the purpose of the investigation so instituted, the following are hereby named as
`parties upon which this notice of investigation shall be served:
`
`(a) The complainants are:
`
`Carl Zeiss SMT GmbH
`
`Carl—Zeiss-StraBe 22
`
`Oberkochen, Germany 73447
`
`(b) The respondents are the following entities alleged to be in violation of section
`337, and are the parties upon which the amended complaint is to be served:
`
`Nikon Corporation
`~ Shingawa Intercity Tower C
`2-1 5-3
`
`Konan
`
`Minato-ku
`
`Tokyo 108-6290
`Japan
`
`

`

`Nikon Research Corporation of America
`1399 Shoreway Road
`j
`Belmont, CA 94002-4107
`
`Nikon Precision Inc.
`
`1399 Shoreway Road
`Belmont, CA 94002
`
`(4) For the investigation so instituted, the Chief Administrative Law Judge, US
`International Trade Commission, shall designate the presiding Administrative Law Judge.
`
`The Office of Unfair ImportInvestigations will not participate as a party in this
`investigation.
`
`The Chief Administrative Law Judge is authorized to consolidate Inv. No. 337-TA-1128
`with Inv. No. 337-TA-1129 if he deems it appropriate.
`
`Responses to the amended complaint and the notice of investigation must be submitted
`by the named respondents in accordance with section 210.13 of the Commission’s Rules of
`Practice and Procedure, 19 C.F.R. 210.13. Pursuant to 19 CPR. 201 .16(e) and 210.13(a), such
`responses will be considered by the Commission if received not later than 20 days after the date
`of service by the Commission of the amended complaint and the notice of investigation.
`Extensions of time for submitting responses to the amended complaint and the notice of
`investigation will not be granted unless good cause therefor is shown.
`
`Failure of a respondent to file a timely response to each allegation in the amended
`complaint and in this notice may be deemed to constitute a waiver of the right to appear and
`contest the allegations of the amended complaint and this notice, and to authorize the
`administrative law judge and the Commission, without further notice to the respondent, to find
`the facts to be as alleged in the amended complaint and this notice and to enter an initial
`determination and a final determination containing such findings, and may result in the issuance
`of an exclusion order or a cease and desist order or both directed against the respondent.
`
`By order of the COmmission.
`
`Issued: August 15, 2018
`
`_
`Lisa R. Barton
`Secretary to the Commission
`
`

`

`CERTAIN LITHOGRAPHY MACHINES AND SYSTEMS
`
`Inv. N0. 337-TA-1128
`
`AND COMPONENTS THEREOF (I)
`
`PUBLIC CERTIFICATE OF SERVICE
`
`1, Lisa R. Barton, hereby certify that the attached NOTICE OF INSTITUTION has
`been served on the following parties as indicated, on 8/15/2018
`
`% L
`
`isa R. Barton, Secretary
`US. International Trade Commission
`
`500 E Street, SW, Room 112
`Washington, DC 20436
`
`D Via Hand Delivery
`Via Express Delivery
`|:| Via First Class Mail
`
`D Via Hand Delivery
`
`Via Express Delivery
`Cl Via First Class Mail
`
`Com - lainants:
`
`Carl Zeiss SMT GmBH
`Carle-Zeiss StraBe 22
`Oberkochen, Germany 73447
`
`V
`
`
`I
`ikon Corporation
`Cl Via Hand Delivery
`Shingawa Intercity Tower C, 2-15-3
`[X] Via Express Delivery
`011311» Mmato—ku
`[1 Via First Class Mail
`[:1 Other'
`Tokyo 108-6290
`
`
`
`
`
`
`
`ikon Research Corporation of America
`1399 Shoreway Road
`lBelmont, CA 94002'4107
`
`Nikon Precision Inc.
`1399 Shoreway Road
`Belmont, CA 94002-4107
`
`.
`
`,
`
`CI Via Hand Delivery
`Via Express Delivery
`Cl Via First Class Mail
`|:| Other:
`'
`
`El Via Hand Delivery
`Via Express Delivery
`
`d
`
`

`

`CERTAIN LITHOGRAPHY MACHINES AND SYSTEMS
`AND COMPONENTS THEREOF (I)
`’
`
`.
`
`Inv. No.337-TA-1128
`>
`
`Certificate of Service — Page 2
`
`
`
`mbassy of Japan
`520 Massachusetts Avenue
`W Washlngton, DC 20008
`
`Government A_encies:
`
`.|:| Via First Class Mail _
`D Other:
`
`E] Via Hand Delivery
`Via Express Delivery
`El Via First Class Mail
`
`C! Other:
`
`,
`
`,
`
`
`C] Other:
`
`
`
`I dward T. Hand, Chief
`Cl Via Hand Delivery
`
`I oreign Commerce Section
`[:1 Via Express Delivery
`
`
`
`‘
`titrust Division
`El Via First Class Mail
`
`
`
`.8. Department of Justice
`Cl Other:
`
`
`
`:50 5th Street NW, Room 11000
`
`
`
`
`ashin_ on, DC 20530
`
`.
`th
`floor
`799 9 Street, NW, 7
`ashin on, DC 20229-1177
`
`m
`
`‘
`
`I: Via Hand Delivery
`[:1 Via Express Delivery
`Via First Class Mail
`C] Other:
`
`|:| Via Hand Delivery
`
`El Via Express Delivery
`IX] Via First Class Mail
`
`|:| Other:
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`El Via Hand Delivery
`
`El Via Express Delivery
`Via First Class Mail
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Carl Zeiss SMT GmBH
`
`Carl- Zeis-Strafe 22 Oberkochen, 73447
`
`Germany
`
`Re:
`
`Certain Lithography Machines and Systems, and Components Thereof (I)
`Inv. No. 337-TA-1128
`
`Dear Carl Zeiss SMT GmBH:
`
`This letter is to advise you that the US. International Trade Commission has instituted an
`investigation pursuant to section 337 of the Tariff Act of 1930 (19 U.S.C. 1337). A copy
`of the Commission's notice of investigation is enclosed. Also enclosed is the Section
`337 Mediation Program brochure. After reviewing the brochure, please sign and return
`the enclosed certification of receipt.
`
`Sincerely,
`
`
`
`Lisa R. Barton
`
`Secretary
`
`Enclosures:
`
`1. Notice of Investigation
`2. Publication Regarding the Section 337 Mediation Program
`3. Certification of Receipt of Mediation Materials
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMIVIISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Thomas S. Fusco, Esq
`Fish & Richardson RC.
`
`1000 Maine Avenue SW
`
`Washington, DC 20024
`
`Re:
`
`Certain Lithography Machines and Systems, and Components Thereof (I)
`luv. No. 337-TA-1128
`
`Dear Thomas S. Fusco, Esq:
`
`This letter is to advise you that the US. International Trade Commission has instituted an
`investigation pursuant to section 337 of the Tariff Act of 1930 (19 U.S.C. 1337). A copy
`of the Commission's notice of investigation is enclosed. Also enclosed is the Section
`337 Mediation Program brochure. After reviewing the brochure, please sign and return
`the enclosed certification of receipt.
`
`Sincerely,
`
`
`Lisa R. Barton
`
`Secretary
`
`Enclosures:
`
`1. Notice of Investigation
`2. Publication Regarding the Section 337 Mediation Program
`3. Certification of Receipt of Mediation Materials
`
`

`

`
`
`'UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Embassy of Japan
`2520 Massachusetts Avenue, NW
`
`Washington, DC 20008
`
`Re:
`
`Certain Lithography Machines and Systems and Components Thereof (I)
`Inv. No. 337-TA-1128
`'
`
`Dear Sir/Madam:
`
`This letter is to advise you that the United States International Trade Commission has
`instituted an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C.
`1337). One or more of the parties named in the investigation is located in Japan.
`
`Pursuant to Commission Rule 210.11(a) (3), we are hereby serving you with a copy of
`the Complaint filed in this investigation together with a copy of the Commission’sNotice
`of Investigation.
`
`Sincerely,
`
`Lisa R. Barton
`
`Secretary
`
`
`
`Enclosures:
`
`1. Complaint
`2. Notice of Investigation
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Edward T. Hand, Chief
`Foreign Commerce Section
`Antitrust Division
`
`US. Dept of Justice
`450 5th Street NW, Room 11000
`
`Washington, DC 20530
`
`'
`
`Re:
`
`Certain Lithography Machines and Systems, and Components Thereof (I)
`luv. No. 337-TA-1128
`
`Dear Mr. Hand:
`
`This letter is to advise you that the United States International Trade Commission has
`instituted an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C.
`1337). A copy of the Notice of Investigation is enclosed. Non-confidential copies of the
`Complaint and any supplements filed in the investigation will be provided upon request.
`Requests should be directed to Docket Services at (202) 205-1802.
`
`If you have any questions concerning this investigation, please contact the Commission
`Investigative Attorney whose name and telephone number appear in the enclosed Notice.
`
`Sincerely,
`
`
`Lisa R. Barton
`
`Secretary
`
`Enclosure:
`
`1. Notice of Investigation
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Intellectual Property Rights Branch
`Regulations and Rulings
`Office of International Trade
`
`US. Customs and Border Protection
`
`90 K Street, NE, 10th floor
`Washington, DC 20229—1 177
`
`Re:
`
`Certain Lithography Machines and Systems, and Components Thereof (I)
`Inv. No. 337-TA-1128
`
`‘
`
`V
`
`Dear Sir/Madam:
`
`This letter is to advise you that the United States International Trade Commission has
`instituted an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C.
`1337). A copy of the Notice of Investigation is enclosed. Non-confidential copies of the '
`Complaint and any supplements filed in the investigation will be provided upon request.
`Requests should be directed to Docket Services at (202) 205-1802.
`
`If you have any questions concerning this investigation, please contact the Commission
`Investigative Attorney whose name and telephone number appear in the enclosed Notice.
`
`Sincerely,
`
`
`
`
`
`
`
`
`Lisa R. Barton
`
`Secretary
`
`Enclosure:
`
`1. Notice of Investigation
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Elizabeth Kraus, Deputy Director
`International Antitrust, Office of
`International Affairs
`
`Federal Trade Commission
`
`600 Pennsylvania Avenue, Room 498
`Washington, DC 20580
`
`Re:
`
`Certain Lithography Machines and Systems, and Components Thereof (I)
`Inv. N0. 337-TA-1128
`
`Dear Ms; Kraus:
`
`This letter is to advise you that the United States lntemational Trade Commission has
`instituted an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C.
`1337). A copy of the Notice of Investigation is enclosed. Non-confidential copies of the
`Complaint and any supplements filed in the investigation will be provided upon request.
`Requests should be directed to Docket Services at (202) 205-1802.
`
`If you have any questions concerning this investigation, please contact the Commission
`Investigative Attorney whose name and telephone number appear in the enclosed Notice.
`
`Sincerely,
`
`Lisa R. Barton
`
`Secretary
`
`
`
`Enclosure:
`I. Notice of Investigation
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Dale D. Berkley, Ph.D., J.D.
`Office of the General Counsel, PHD, NIH Branch
`National Institutes of Health
`
`31 Center Drive
`
`Bldg. 31, Rm. 47
`Bethesda, MD 20892
`
`Re:
`
`Certain Lithography Machines and Systems, and Components Thereof (I)
`Inv. No. 337-TA-1128
`
`Dear Mr. Berkley:
`
`This letter is to advise you that the United States International Trade Commission has
`instituted an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C.
`1337). A copy of the Notice of Investigation is enclosed. Non-confidential copies of the
`Complaint and any supplements filed in the investigation will be provided upon request.
`Requests should be directed to Docket Services at (202) 205-1802.
`
`If you have any questions concerning this investigation, please contact the Commission
`Investigative Attorney whose name and telephone number appear in the enclosed Notice.
`
`Sincerely,
`
`
`
`
`Lisa R. Barton
`
`Secretary
`
`Enclosure:
`
`l. Notice of Investigation
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Nikon Corporation
`Shingawa Intercity Tower C 2-15-3 Konan Minato-ku
`Tokyo 108-6290
`Japan
`
`Re:
`
`Certain Lithography Machines and Systems and Components Thereof (I)
`luv. No. 337-TA-1128
`
`Dear Sir/Madam:
`
`This letter is to advise you that the United States International Trade Commission has instituted
`an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C. 1337). Nikon
`Corporation is a named respondent in this investigation.
`
`We are hereby serving you with a copy of the Complaint and the Notice of Investigation issued
`in this matter. Enclosed is a copy of the Code of Federal Regulations. Also enclosed is a the
`Section 337 Mediation Program brochure. After reviewing this brochure, please sign and return
`the enclosed certification of receipt.
`
`Please note that the Notice requires a response to the allegations in the Complaint and the
`response must be received not later than twenty (20) days after the date of service of the
`Complaint. Failure to file a response may result in inferences being drawn against your interests.
`
`Sincerely,
`
`W L
`
`isa R. Barton
`Secretary
`
`Enclosures:
`
`1. Complaint
`. Notice of Investigation
`Code of Federal Regulation
`Publication Regarding the Section 337 Mediation Program
`Certification of Receipt of Mediation Materials
`
`wéww
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Nikon Precision Inc.
`
`1399 Shoreway Road
`Belmont, CA 94002
`
`Re:
`
`Certain Lithography Machines and Systems and Components Thereof (I)
`Inv. No. 337-TA-1128
`
`Dear Sir/Madam:
`This letter is to advise you that the United States International Trade Commission has instituted
`an investigation pursuant to Section 337 of the Tariff Act of 1930 (19 U.S.C. 1337). Nikon
`Precision Inc. is a named respondent in this investigation.
`We are hereby serving you with a copy of the Complaint and the Notice of Investigation issued
`in this matter. Enclosed is a copy of the Code of Federal Regulations. Also enclosed is a the
`Section 337 Mediation Program brochure. After reviewing this brochure, please sign and return
`the enclosed certification of receipt.
`Please note that the Notice requires a response to the allegations in the Complaint and the
`response must be received not later than twenty (20) days after the date of service of the
`Complaint. Failure to file a response may result in inferences being drawn against your interests.
`
`Sincerely,
`
`Lisa R. Barton
`
`Secretary
`
`Enclosures:
`
`l. Complaint
`2. Notice of Investigation
`3. Code of Federal Regulation
`4. Publication Regarding the Section 337 Mediation Program
`L11 . Certification of Receipt of Mediation Materials
`
`

`

`
`
`UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`WASHINGTON, DC 20436
`
`August 15, 2018
`
`Nkon Research Corporation of America
`1399 Shoreway Road
`Belmont, CA 94002
`
`Re:
`
`Certain Lithography Machines and Systems and Components Thereof (I)
`Inv. N0. 337-TA-1128
`
`Dear Sir/Madam:
`
`This letter is to advise you that the United States International Trade Commission has instituted
`an investigation pursuant to Section 337 of the Tariff Act of 1930. (19 U.S.C. 1337). Nkon
`Research Corporation of America is a named respondent in this investigation.
`
`We are hereby serving you with a copy of the Complaint and the Notice of Investigation issued
`in this matter. Enclosed is a copy of the Code of Federal Regulations. Also enclosed is a the
`Section 337 Mediation Program brochure. After reviewing this brochure, please sign and return
`the enclosed certification of receipt.
`
`Please note that the Notice requires a response to the allegations in the Complaint and the
`response must be received not later than twenty (20) days after the date of service of the
`Complaint. Failure to file a response may result in inferences being drawn against your interests.
`
`.
`Enclosures:
`
`Sincerely,
`
`Lisa R. Barton
`
`Secretary
`
`LII-RWN—
`
`. Complaint
`. Notice of Investigation
`. Code of Federal Regulation
`. Publication Regarding the Section 337 Mediation Program
`. Certification of Receipt of Mediation Materials
`
`