- Platinum Optics Technology, Inc. v. Viavi Solutions Inc.All claims unpatentablePTAB · Apr 11, 2024 · IPR2022-01489 · APJ Sharon Fenick · IPR · Final written decision
Claims 1–19 are unpatentable: Hendrix anticipates them, and the listed combinations also render their respective claims obvious.
RulingsFinal written decision- Skill levelSkill level board ownDecided for petitioner
“In the Decision on Institution, we adopted a slightly modified version of this definition in which we removed the open-ended term “at least.” Inst. Dec. 10–11. Patent Owner does not address the definition of a POSA. See generally PO Resp. Patent Owner’s declarant Dr. Clemens applies Petitioner’s definition, but does not opine on whether it is correct. Ex. 2001 ¶¶ 22–23. As in the Decision on Institution (Inst. Dec. 10), we apply the same slightly modified version of Petitioner’s definition of the level of ordinary skill in the art that removes the open-ended term “at least.” We determine this level of skill comports with the qualifications a person would have needed to understand and implement the teachings of the ʼ794 patent and the” slip op. at 11
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“filter comprises “a third set of layers on the second side, whether the third set of layers includes oxygen.” Ex. 1001, 10:41–49. Petitioner argues that the proper construction of this limitation “means that there is a third set of layers on the opposite side of the substrate, whether or not [the layers] include oxygen” – i.e., that the third set of layers do not need to include oxygen. Pet. 7–8. Patent Owner agrees that this is the “literal” reading of the language, but contends that one of ordinary skill in the art “would have appreciated that this language was intended to read ‘wherein’ rather than ‘whether’” and that the claim requires that this set of layers must include oxygen. PO Resp. 24–26 (citing Ex. 2001 ¶¶ 53–55). We agree with Petitioner’s representation that each of the challenges presented either anticipates or renders obvious a third set of layers with oxygen on a second side of a substrate (Pet. 8) and therefore, no claim construction is necessary for this term. Realtime Data, LLC v. Iancu, 912 F.3d 1368, 1375 (Fed. Cir. 2019) (“The Board is required to construe ‘only those terms . . . that are in controversy, and only to the extent necessary to resolve the controversy.’” (quoting Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999))).” slip op. at 12
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed board ownDecided for petitioner
“415 F.3d at 1314): “a first set of layers on the first side, wherein the first set of layers includes silicon and hydrogen” (claim 1) and “a first set of layers including silicon and hydrogen” (claims 9 and 15). Ex. 1001, 10:41–49, 10:65–11:4, 11:17–12:5. As the parties agree, these recitations are broadly worded. See Pet. 14 (describing the recitations of the claims as “broad” and directed to “layers of any material that has both ‘silicon and hydrogen’”); PO Resp. 42 (describing the claims as “simply specifying physical layers including silicon and hydrogen in them”), 44 (describing the disputed terms as “open-ended claiming of layers including hydrogen and silicon”). Despite this broad language, Patent Owner contends that we must read “layers including silicon and hydrogen” in conjunction with other limitations in the claims reciting a “near infrared bandpass filter.” PO Resp. 35–37 (citing Ex. 2001 ¶¶ 65–66). For purposes of our analysis, we limit “layers including silicon and hydrogen” to only materials suitable for NIR bandpass filters, as suggested by Patent Owner. We next examine the rest of the intrinsic evidence. The specification of the ’794 patent does not contain language that generally describes “layers including silicon and hydrogen.” Instead, the specification describes only layers of hydrogenated silicon: its abstract is directed to an “optical filter” that “includes a filter stack formed of hydrogenated silicon layers” (Ex. 1001, code (57)); the technical field of the invention is described as “relat[ing] to optical filters including hydrogenated silicon layers and to sensor systems comprising such optical filters” (id. at 1:20–23); the summary of the invention describes “the present invention” as an optical filter or sensor system “comprising” “a plurality of hydrogenated silicon layers” (id. at 2:57–3:19); and the detailed description begins with a hydrogenated silicon (Si:H) layers” (id. at 4:19–20). The specification only mentions silicon and hydrogen separately with respect to the disclosed sputter-deposition system “used to produce the hydrogenated silicon material.” Id. at 4:35–5:61, 7:10–19. In particular, the specification describes how “cathode 430 includes a silicon target 431, which is sputtered in the presence of hydrogen (H2), as well as an inert gas such as argon, to deposit the hydrogenated silicon material as a layer on the substrate 420.” Id. at 4:44–47. The specification also describes how altering the hydrogen flow rate in the deposition process affects the optical properties of hydrogenated silicon produced by the deposition system. See id. at 5:1–61. But the only end product described from the sputter-deposition process using silicon and hydrogen is hydrogenated silicon. See id. at 4:35–5:61, 7:10–19. As such, the specification does not provide any indication of materials beyond hydrogenated silicon that are within the scope of “layers including silicon and hydrogen.”” slip op. at 15
- Disclosure Requirements (§112) › Written description (Ariad)Not entitled to earlier dateDecided for petitioner
“hydrogen” defines a genus. The test for providing a written description that supports a genus claim is whether the description provides “either a representative number of species falling within the scope of the genus or in the art can ‘visualize or recognize’ the members of the genus.” Ariad Pharms., Inc. v. Eli Lilly & Co., 598 F.3d 1336, 1350 (Fed. Cir. 2010) (en banc). “Regarding whether common structural features must exist between a claim and a putative priority disclosure, those features must constitute the near-entirety of the structures being compared.” Regents of the Univ. of Minnesota v. Gilead Scis., Inc., 61 F.4th 1350, 1358 (Fed. Cir. 2023). Yet the patentees only disclosed hydrogenated silicon as a possible species. Indeed, the specification focuses on a singular example of a sputterdeposition system that is used to produce an improved hydrogenated silicon material. See Ex. 1017 ¶¶ 36–38. Patent Owner cites this deposition process as written description support for “the claimed layers containing silicon and hydrogen.” See PO Resp. 44. But this example supports only how to make hydrogenated silicon and does not include any indication about what other materials would be within the scope of the claimed genus. Under these circumstances, the specification’s disclosure of a single species is not an adequate number to show possession of the entire genus of “layers including silicon and hydrogen.” Beyond the disclosure of the sputter-deposition process for producing hydrogenated silicon, Patent Owner does not identify—and we cannot discern—any other examples of a “structure, formula, chemical name, physical properties, or other properties, of species falling within the genus sufficient to distinguish the genus from other materials.” Ariad, 598 F.3d at 1350. This is particularly noteworthy given that undisputed record evidence shows numerous other potential filter materials “including silicon and hydrogen.” See supra § II.D.1.a. In the absence of structural description supporting “layers including silicon and hydrogen,” we determine that an” slip op. at 19
Patent outcomesUS 11,131,794 unpatentableClaim construction§ 102 anticipation§ 103 obviousness§ 112 disclosurecites GrahamPatents in suitUS 11,131,794 - PTAB · Apr 14, 2023 · IPR2022-01489 · APJ Sharon Fenick · IPR · Institution
The Board instituted IPR on claims 1–19 on all asserted grounds, finding a reasonable likelihood of success on at least one claim.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“(4) Claim 1 – Conclusion For these reasons, Petitioner has demonstrated a reasonable likelihood of proving that claim 1 would have been obvious over the proposed combination of Lairson and Erdogan, and over the proposed combination of Lairson and Tsai-133.” slip op. at 23
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededNot reached
“set of layers includes oxygen.” Ex. 1001, 10:41–49. Petitioner argues that the proper construction of this limitation “means that there is a third set of layers on the opposite side of the substrate, whether or not [the layers] include oxygen” – i.e., that the third set of layers do not need to include oxygen. Pet. 7–8. Patent Owner contends that this is a typographical error and “wherein” was intended. Prelim. Resp. 8 n.2. Petitioner asserts that “each of the challenges presented in this Petition” addresses “adding a third set of layers with oxygen on a second side of a substrate.” Pet. 8. Because we find Petitioner’s contentions to be sufficient for institution even under Patent Owner’s proposed construction, we need not address Patent Owner’s proposed construction. See Nidec Motor Corp. v. Zhongshan Broad Ocean Motor Co., 868 F.3d 1013, 1017 (Fed. Cir. 2017) (holding that only claim terms in controversy need to be construed, and only to the extent necessary to resolve the controversy (citing Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999))). We also conclude that no express claim construction is necessary for any other claim terms. See id.” slip op. at 12
- Skill levelSkill level board ownOther
“Patent Owner does not oppose or comment on Petitioner’s definition of a POSITA. See generally Prelim. Resp. Based on the present record including the disclosure in the ʼ794 patent, we apply a slightly modified 4 In the present record, neither party presents arguments or evidence relating to secondary considerations. version of Petitioner’s definition of the level of ordinary skill in the art that removes the open-ended term “at least.”. On this record and for the purposes of institution, we determine this level of skill comports with the qualifications a person would have needed to understand and implement the teachings of the ʼ794 patent and the prior art of record. Cf. Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001) (the prior art itself may reflect an appropriate level of skill in the art).” slip op. at 10
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundDecided for petitioner
“However, Patent Owner’s arguments regarding the combination are directed towards a bodily incorporation of structures described in the references, rather than the combination of their teachings proposed by Petitioner. In re Mouttet, 686 F.3d 1322, 1332 (Fed. Cir. 2012) (“The test for obviousness is not whether the features of a secondary reference may be bodily incorporated into the structure of the primary reference.”); In re Keller, 642 F.2d 413, 425 (CCPA 1981). Given the teachings in each reference and our direction that an ordinarily skilled artisan is a person of ordinary creativity, we find, on this preliminary record, that Petitioner has adequately shown that an ordinarily skilled artisan would have applied Lairson’s teachings regarding a short-pass filter with Erdogan or Tsai-133’s teachings concerning filter layers on both sides of a substrate used to form a bandpass filter. KSR, 550 U.S. at 421 (“A person of ordinary skill is also a person of ordinary creativity, not an automaton.”). Petitioner’s proposed combination does not involve adding the exact layers taught in Erdogan and Tsai-133 on the second side of the substrate to Lairson’s short-pass filter on the first side of the substrate. Pet. 33–34, 36– 39. Rather, Petitioner proposes, in one example, using the same materials for filter stacks on both sides of the substrate. Id. at 37–38. Thus, Patent Owner’s arguments that adding the second-side layers disclosed in Erdogan and Tsai-133 to the first-side layers of Lairson is not responsive to Petitioner’s proposed combination. Additionally, on the present record, we credit Petitioner’s declarant’s uncontroverted testimony that Lairson does not explicitly describe a bandpass filter with a long pass filter, and thus that one of ordinary skill would have looked to Erdogan and Tsai-133 for the technique of using a long-pass filter on the other side of the substrate. Id. at 34–37 (citing Ex. 1002 ¶¶ 152, 158). On the present record, and for the purposes of institution, Petitioner sufficiently shows that the combination of Lairson and either Erdogan and Tsai-133 teaches a near infrared band pass filter comprising a first set of layers on the first side, wherein the first set of layers includes silicon and hydrogen, and a second set of layers on the first side, wherein the second set of layers includes oxygen. Additionally, on the present record and for the purposes of institution, Petitioner sufficiently sets forth its showing with respect to the motivation to combine the teachings of Lairson with those of Erdogan or Tsai-133 as it proposes.” slip op. at 21
Claim construction§ 103 obviousness§ 112 disclosurecites Phillips · KSR · GrahamPatents in suitUS 11,131,794 - SZ Dji Technology Co., Ltd. v. Autel Robotics USA LLCAll claims unpatentablePTAB · May 14, 2020 · PGR2019-00016 · APJ Erica A Franklin · PGR · Final written decision
Claims 1–24 are unpatentable: claims 1–24 as obvious over Phantom 2 Manual and Kondo; claims 1–17 and 21–24 over Saika and Ichiba; claims 18–20 over Saika, Ichiba, and Phelps.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“Petitioner and Patent Owner agree that the differences in their proposed definitions do not impact Petitioner’s grounds for unpatentability or Patent Owner’s responsive arguments. Pet. Reply 3; PO Sur-Reply 1. turn on which proposed definition is applied. In any event, having considered the evidence and the arguments, we find Petitioner’s rationale for its broader description of the level of ordinary skill in the art to be persuasive and supported by record as a whole. Accordingly, for this Decision, we adopt Petitioner’s description of a person of ordinary skill in the art, while maintaining that the prior art reflects the appropriate level of skill at the time of the claimed invention. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001).” slip op. at 11
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededNot reached
“In the Patent Owner Response, Patent Owner asserts that “the term ‘fixed with’ needs no construction here because—whether the Board adopts Petitioner’s proposal or Patent Owner’s position—the . . . obviousness analysis will not ultimately be impacted.” PO Resp. 7. In the Reply, Petitioner agrees with Patent Owner that “the construction of ‘fixed with’ is not necessary to resolve the controversy in this proceeding.” Pet. Reply 2. Based upon our review of the record as a whole, we agree that no claim terms are in controversy with respect the asserted obviousness grounds. See Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999) (only terms that are in controversy need to be construed, and only to the extent necessary to resolve the controversy). This finding is consistent with our analysis of the indefiniteness challenge, as discussed below in Section II.F.” slip op. at 13
- Obviousness (§103) › Analogous artAnalogous artDecided for petitioner
“invention. Based upon our review of the arguments and evidence, we find that it is. “Two criteria have evolved for determining whether prior art is analogous: (1) whether the art is from the same field of endeavor, regardless of the problem addressed, and (2) if the reference is not within the field of the inventor's endeavor, whether the reference still is reasonably pertinent to at 658–59. Patent Owner argues that Kondo and the ’013 patent are not from the same field of endeavor because Kondo is concerned with batteries for hand-held power tools and the challenged patent is directed to batteries for UAVs. PO Sur-Reply 3–5. Petitioner asserts that the field of endeavor includes any area describing mechanisms for latching a battery in a portable consumer electronic device. Pet. Reply 5. We find that Petitioner’s description of the field of endeavor to be overly broad as the ’013 patent explicitly states that it “relates to [the] unmanned aerial vehicle field, more particularly, relates to a battery used for unmanned aerial vehicle and an unmanned aerial vehicle.” Ex. 1001, 1:18–20. Moreover, as Patent Owner correctly asserts, the only independent claim of ’013 patent recites “[a] multi-rotor unmanned aerial vehicle,” comprising components of such a UAV, including its battery compartment, battery, and battery latching mechanism. Id. at 5:42–64. In contrast, Kondo explicitly states that it “relates to a novel attachment structure which allows a battery pack including secondary cells to be detachably attached to a battery holder in a power-driven tool.” Ex. 1008, 1:6–9. Moreover, each of Kondo’s claims are directed toward such attachment structure for power-driven tools. Petitioner has not argued persuasively why we should consider either of the fields of endeavor for the challenged patent or Kondo to be more inclusive than what each patent explicitly describes its own field to be. Accordingly, we agree with Patent Owner that Petitioner has not shown that Kondo is in the same field of endeavor as the ’013 patent. However, our inquiry whether Kondo is analogous art does not end there. particular problem with which the inventors of the ’013 patent are involved, meaning it is “one which, because of the matter with which it deals, logically would have commended itself to an inventor's attention in considering his problem.” Clay, 966 F.2d at 659. According to Petitioner, Kondo’s disclosure is reasonably pertinent because the problem it addresses, i.e., how to securely latch a battery package into a housing of an electronic device in a secure, user-friendly manner, is similarly addressed in the ’013 patent. Pet. 22–24; Pet. Reply 6–8. Patent Owner argues that Kondo is not reasonably pertinent based upon alleged differences between design considerations for UAV batteries compared to hand-held power tool batteries. PO Resp. 21–26, PO Sur-Reply 4–9. Patent Owner, however, does not adequately support those alleged differences with evidence or explain sufficiently why such differences would have caused the ’013 inventors to not take account of the battery latching mechanism used to detachably connect a battery in a different device, such as that taught by Kondo.” slip op. at 31
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundDecided for petitioner
“mechanism for its battery, although the Phantom 2 Manual does not provide details regarding such mechanism. Yet Patent Owner asserts that a skilled artisan would have “been far more likely to obtain, inspect, and experiment with the battery latching mechanism on an actual Phantom 2 rather than engaging in research to find alternatives.” PO Resp. 20. We discount that argument as Patent Owner’s position is unsupported by any legal authority and disregards patent law principles recognizing obviousness over a combination of prior art teachings. Next, Patent Owner asserts that the lack of detail in the Phantom 2 Manual regarding the battery latching mechanism used would “discourage, rather than encourage a POSA to modify the Phantom 2 battery,” with the Phantom 2 that would encourage or motivate a POSA to create a more secure latching mechanism.” Id. at 21. That argument, however, fails to consider that the motivation to combine may be found in a number of sources, including “the background, knowledge, creativity, and common sense of the person of ordinary skill,” as Petitioner asserts. Pet. Reply 9 (quoting ZUP, LLC, 896 F.3d at 1371). Based upon our review, Petitioner has set forth persuasive reasons why a person of ordinary skill in the art would have been motivated to review and combine a reference describing battery latching mechanisms for portable electronic devices, such as Kondo, with the Phantom 2 Manual. In particular, Petitioner asserts that such motivation is supplied by the lack of detail in the Phantom 2 Manual regarding the specific battery latching mechanism used. Pet. 22. We agree with Petitioner that a person of ordinary skill in the art would have been motivated to search and review references describing battery latching mechanisms for portable electronic devices to address that deficiency in the Phantom 2 Manual. See id. Further, Petitioner has demonstrated that a skilled artisan would have looked to Kondo because it is directed to and describes such a battery latching mechanism in detail. Id. at 22–23.” slip op. at 30
Patent outcomesUS 10,044,013 unpatentableClaim construction§ 103 obviousness§ 112 disclosurecites KSR · Graham · NautilusPatents in suitUS 10,044,013 - SZ Dji Technology Co., Ltd. v. Autel Robotics USA LLCAll claims unpatentablePTAB · May 14, 2020 · PGR2019-00014 · APJ Erica A Franklin · PGR · Final written decision
Claims 1–12 are unpatentable as obvious over the stated combinations of prior art; Petitioner did not show claims 1–12 indefinite.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“Petitioner and Patent Owner agree that the differences in their proposed definitions do not impact Petitioner’s grounds for unpatentability or Patent Owner’s responsive arguments. Pet. Reply 3; PO Sur-Reply 1. We agree and note that our consideration of the issues presented does not turn on which proposed definition is applied. In any event, having considered the evidence and the arguments, we find Petitioner’s rationale for its broader description of the level of ordinary skill in the art to be persuasive and supported by record as a whole. Accordingly, for this Decision, we adopt Petitioner’s description of a person of ordinary skill in skill at the time of the claimed invention. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001).” slip op. at 11
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“the single term for which Petitioner proposed a claim construction, i.e., “fixed with.” Dec. 8–9. In particular, we determined that, in view of Specification, the broadest reasonable construction of the claim phrase “fixed with the clamp button” is “fastened to, attached or placed and not readily moveable with respect to the clamp button, such that it does not merely abut against the clamp button nor is it detachably connected to it.” Id. at 9. In the Patent Owner Response, Patent Owner asserts that “the term ‘fixed with’ needs no construction here because—whether the Board adopts Petitioner’s proposal or Patent Owner’s position—the . . . obviousness analysis will not ultimately be impacted.” PO Resp. 9. In the Reply, Petitioner agrees with Patent Owner that “the construction of ‘fixed with’ is not necessary to resolve the controversy in this proceeding.” Pet. Reply 2. Based upon our review of the record as a whole, we agree that no claim terms are in controversy with respect to the asserted obviousness grounds. See Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999) (only terms that are in controversy need to be construed, and only to the extent necessary to resolve the controversy). This finding is consistent with our analysis of the indefiniteness challenge, as discussed below in Section II.F.” slip op. at 13
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundReasonable expectation foundDecided for petitioner
“(1) Motivation to Combine The parties agree that the Phantom 2 includes some type of latching mechanism for its battery, although the Phantom 2 Manual does not provide details regarding such mechanism. Yet Patent Owner asserts that a skilled artisan would have “been far more likely to obtain, inspect, and experiment with the battery latching mechanism on an actual Phantom 2 rather than engaging in research to find alternatives.” PO Resp. 22. We discount that argument as Patent Owner’s position is unsupported by any legal authority and disregards patent law principles recognizing obviousness over a combination of prior art teachings. Next, Patent Owner asserts that the lack of detail in the Phantom 2 Manual regarding the battery latching mechanism used would “discourage, rather than encourage a POSA to modify the Phantom 2 battery,” particularly because Petitioner has not identified “any problem associated with the Phantom 2 that would encourage or motivate a POSA to create a more secure latching mechanism.” Id. at 23. That argument, however, fails to consider that the motivation to combine may be found in a number of sense of the person of ordinary skill,” as Petitioner asserts. Pet. Reply 9 (quoting ZUP, LLC, 896 F.3d at 1371). Based upon our review, Petitioner has set forth persuasive reasons why a person of ordinary skill in the art would have been motivated to review and combine a reference describing battery latching mechanisms for portable electronic devices, such as Kondo, with the Phantom 2 Manual. In particular, Petitioner asserts that such motivation is supplied by the lack of detail in the Phantom 2 Manual regarding the specific battery latching mechanism used. Pet. 23. We agree with Petitioner that a person of ordinary skill in the art would have been motivated to search and review references describing battery latching mechanisms for portable electronic devices to address that deficiency in the Phantom 2 Manual. See id. Further, Petitioner has demonstrated that a skilled artisan would have looked to Kondo because it is directed to and describes such a battery latching mechanism in detail. Id. at 23–24.” slip op. at 32
- Obviousness (§103) › Analogous artAnalogous artNon analogous artDecided for petitioner
“The parties dispute whether Kondo is analogous art to the claimed invention. Based upon our review of the arguments and evidence, we find that it is. “Two criteria have evolved for determining whether prior art is analogous: (1) whether the art is from the same field of endeavor, regardless of the problem addressed, and (2) if the reference is not within the field of the inventor's endeavor, whether the reference still is reasonably pertinent to the particular problem with which the inventor is involved.” Clay, 966 F.2d at 658–59. Patent Owner argues that Kondo and the ’000 patent are not from the same field of endeavor because Kondo is concerned with batteries for handheld power tools and the challenged patent is directed to batteries for UAVs. area describing mechanisms for latching a battery in a portable consumer electronic device. Pet. 24; Pet. Reply 6. We find Petitioner’s description of the field of endeavor to be overly broad as the ’000 patent explicitly states that it “relates to [the] unmanned aerial vehicle field, more particularly, relates to a battery used for unmanned aerial vehicle and an unmanned aerial vehicle.” Ex. 1001, 1:18–20. Moreover, as Patent Owner correctly asserts, the only independent claim of ’000 patent recites “[a] multi-rotor unmanned aerial vehicle,” comprising components of such a UAV, including its battery compartment, battery, and battery latching mechanism. Id. at 5:34–6:16. In contrast, Kondo explicitly states that it “relates to a novel attachment structure which allows a battery pack including secondary cells to be detachably attached to a battery holder in a power-driven tool.” Ex. 1008, 1:6–9. Moreover, each of Kondo’s claims are directed toward such attachment structure for power-driven tools. Petitioner has not argued persuasively why we should consider either of the fields of endeavor for the challenged patent or Kondo to be more inclusive than what each patent explicitly describes its own field to be. Accordingly, we agree with Patent Owner that Petitioner has not shown that Kondo is in the same field of endeavor as the ’000 patent. However, our inquiry whether Kondo is analogous art does not end there. Next, we consider whether Kondo is reasonably pertinent to the” slip op. at 33
Patent outcomesUS 9,979,000 unpatentableClaim construction§ 103 obviousness§ 112 disclosurecites KSR · Graham · NautilusPatents in suitUS 9,979,000 - Autoliv Asp, Inc. / Nihon Plast Co., Ltd. et al. v. American Vehicular Sciences, LLCAll claims unpatentablePTAB · Mar 22, 2018 · IPR2016-01794 · APJ Jennifer Meyer Chagnon · IPR · Final written decision
Claims 1–44 are unpatentable as obvious under §103 over the combinations and references listed in the decision.
RulingsFinal written decision- Skill levelSkill level board ownOther
“a degree in a related field of science including physics, mechanical or electrical engineering, or equivalent coursework, and at least two years of experience in the area of automotive safety systems with the equivalent of a post-graduate education, such as a master’s degree or equivalent knowledge obtained through work experience, and several years of experience in the design of vehicle occupant protection systems.” Pet. 21 (citing Ex. 1003 ¶ 37). Patent Owner does not address the level of ordinary skill in its Patent Owner Response, but Mr. Nranian testifies that such a person “would have at least a Bachelor’s degree in electrical, electronic, mechanical, or automotive engineering, and at least three years of experience in the integration of airbag, safety, and vehicle occupant protection devices in automotive vehicles, or equivalent knowledge obtained through work experience in the relevant field.” Ex. 2018 ¶ 36. We do not discern a difference between these formulations as applied to the issues in dispute in this proceeding, and the parties do not identify any issue in dispute that allegedly turns on such a difference. For purposes of this Final Written Decision, and based on the parties’ proposed definitions and the complete record now before us, we maintain our previously adopted definition of one of ordinary skill in the art: a person having at least a Bachelor’s degree in physics, or electrical, electronic, mechanical, or automotive engineering, or equivalent coursework, and having several years of experience in the design of vehicle occupant protection systems in automotive vehicles, or equivalent knowledge obtained through work experience in the relevant field. See Inst. Dec. 15–16. The level of ordinary skill in the art in this case further is reflected by the prior art of record. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978).” slip op. at 10
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“The parties’ dispute does not require express construction of any claim term. See, e.g., See Nidec Motor Corp. v. Zhongshan Broad Ocean Motor Co., 868 F.3d 1013, 1017 (Fed. Cir. 2017) (“[W]e need only construe terms ‘that are in controversy, and only to the extent necessary to resolve the controversy.’”) (quoting Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999)).” slip op. at 12
- Disclosure Requirements (§112) › Written description (Ariad)Not entitled to earlier dateOther
“specifically how the claimed airbag (with or without compartments) is inflated. The generic description in the Specification that the term “airbag” includes, among other distinct possibilities, “a single airbag having a plurality of compartments which deploy in concert to protect an occupant,” coupled with silence in the claims as to the specifics of how the claimed airbags are inflated is insufficient to support a conclusion that the original claims of the ’247 application actually disclose the claimed flow communication limitation. See Huston, 308 F.3d at 1277 (“Entitlement to a filing date does not extend to subject matter which is not disclosed, but would be obvious over what is expressly disclosed.”); see also Ex. 1027, 31:5–11 (Mr. Nranian admitting during cross-examination that an airbag with a plurality of compartments, “could have plurality of compartments in flow communication with each other or could have a plurality of compartments that are not in flow communication with each other.” (emphasis added)); Reply 8.” slip op. at 19
- Obviousness (§103) › Graham factors (scope of art, differences, level of skill)UnpatentableUnpatentable
“airbag extending across front and back seats limitation. See Pet. 32–34, 38; Ex. 1003 ¶¶ 103–104. Petitioner asserts that “HÅland teaches a single airbag extending across two seating positions that are longitudinally displaced along a lateral side of the vehicle.” Pet. 32 (citing Ex. 1008, 5:47– 51, Figs. 5, 6). Petitioner further asserts that “Stütz . . . also discloses the claimed single airbag extending across two seating positions that are longitudinally displaced along a lateral side of the vehicle.” Id. at 33–34 (citing Ex. 1009, 1:25–32, 1:50–55, 2:52–55, Figs. 1, 3). We agree with Petitioner, and find that HÅland and Stütz each teaches or suggests the single airbag extending across front and back seats limitation.” slip op. at 30
Patent outcomesUS 9,043,093 unpatentableClaim construction§ 103 obviousness§ 112 disclosurecites Phillips · KSR · GrahamPatents in suitUS 9,043,093 - Taiwan Semiconductor Manufacturing Company, Ltd. / Globalfoundries U.S. Inc. v. Godo Kaisha IP Bridge 1All claims unpatentablePTAB · Jan 17, 2018 · IPR2016-01379 · APJ Jennifer Meyer Chagnon · IPR · Final written decision
Claims 10 and 12 are unpatentable under § 103 as obvious over Grill, Aoyama, and Wetzel.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“We note the parties’ proposals differ in the specific degree required (i.e., Master of Science vs. Bachelor’s of Science); however, neither party argues this distinction makes a difference in analyzing the asserted ground or other issues in this proceeding. For clarity of the record, we adopt Petitioner’s proposal regarding the level of ordinary skill in the art, as it is more specifically directed to the technology described in the ’696 patent. In addition, given the disclosures in the ’696 patent and cited prior art, we agree with Petitioner that a Master of Science degree (or equivalent) in the relevant area better reflects the level of education and training that an ordinarily skilled artisan would have possessed at the time than a Bachelor’s degree, as Patent Owner contends. Our findings and conclusions, however, would be the same under either party’s proposed level of ordinary skill in the art. The level of ordinary skill in the art in this case further is reflected by the prior art of record. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978).” slip op. at 15
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)Term construed board ownDecided for patent owner
“example, the first resist pattern [step g]/second resist pattern and the mask pattern [step i]/patterned fourth insulating film [step j]—“as a mask.” As shorthand, we refer to the various layers as “the designated layer.” define areas for etching.”8 Inst. Dec. 11–15. We further determined that “to meet the limitation ‘using the [designated layer] for etching,’ the designated layer ‘must actually be used to define areas for etching.’” Id. at 15 (quoting Prelim. Resp. 6 (emphasis Patent Owner’s)). Patent Owner agrees with this construction—namely, that “‘using’ something ‘as a mask’ during etching means using it to define areas for etching.” PO Resp. 8–9. Petitioner also applied this construction in this proceeding. See Tr. 6:7–18; see also id. at 19:10–16 (Petitioner’s counsel: “No, no, we did not present a construction and we did not contest the Board’s construction.”). The parties do not dispute that “using the [designated layer] as a mask” means “using the [designated layer] to define areas for etching,” and we discern no reason from the evidence presented to change this construction. We, therefore, maintain our preliminary construction for purposes of this Final Written Decision.” slip op. at 16
- Disclosure Requirements (§112) › Written description (Ariad)Not entitled to earlier dateNot shown unpatentable
“layer 358 as shown in Patent Owner’s modified Figure 16(a) from ever being a mask when etching layer 355, if it were in fact described as such. However, there is no such description in the Japanese priority application; instead, the corresponding discussion identifies only second resist pattern 359 as a mask for this etching step. See Ex. 1014 ¶ 96 (“If there is a concern that the second resist pattern 359 has been misaligned with the first resist pattern 357, then the mask pattern 358 should be dry-etched using the second resist pattern 359 as a mask before the second silicon dioxide film 355 is dry-etched using the second resist pattern 359 as a mask.” (emphasis added)). Further, as noted by Petitioner (Reply 10–11), the corresponding discussion is, at best, ambiguous as to whether mask pattern 358 is “used as a mask” for etching layer 355. Ex. 1014 ¶ 96 (“That is to say, if the mask pattern 358 is exposed to the openings of the second resist pattern 359 for the formation of contact holes because of the misalignment of the second resist pattern 359 with the first resist pattern 357, then the mask pattern 358 is dry-etched using the second resist pattern 359 as a mask. In this manner, the openings of the mask pattern 358 are expanded to include the openings for the formation of wiring grooves and contact holes.” (emphasis added)). This disclosure is not sufficient to provide support under 35 U.S.C. § 112, first paragraph, for step (i) of claim 10. See Tronzo v. Biomet, Inc., 156 F.3d 1154, 1158 (Fed. Cir. 1998) (“For a claim in a later-filed application to be entitled to the filing date of an earlier application under 35 U.S.C. § 120 (1994), the earlier application must comply with the written description requirement of 35 U.S.C. § 112, ¶ 1 (1994). . . . A disclosure in a parent application that merely renders the later-claimed invention obvious is not sufficient to meet the written description requirement; the disclosure must describe the claimed invention with all its limitations.” (citing Lockwood v. American Airlines, Inc., 107 F.3d 1565, 1571–72 (Fed. Cir. 1997))); see also K & K Jump Start, 13 F. App’x at 984 (“In order for claim 1 of the [U.S.] patent to be entitled to the priority date of the [foreign] application, the test set forth in [Tronzo, 156 F.3d at 1158] must be satisfied.”). 2. Conclusion as to Whether Grill Qualifies as Prior Art Having considered the evidence in this record, we determine that, at least, step (i) of claim 10 is not supported by the Japanese priority application.17 Accordingly, the effective filing date of the challenged claims is March 23, 1999, and Grill is available as prior art as to claims 10 and 12 of the ’696 patent under 35 U.S.C. § 102(e).” slip op. at 39
- Novelty / Anticipation (§102) › Prior-art status of a reference › Patents / published applications (effective date, provisional support)Reference is prior artDecided for petitioner
“2. Conclusion as to Whether Grill Qualifies as Prior Art Having considered the evidence in this record, we determine that, at least, step (i) of claim 10 is not supported by the Japanese priority application.17 Accordingly, the effective filing date of the challenged claims is March 23, 1999, and Grill is available as prior art as to claims 10 and 12 of the ’696 patent under 35 U.S.C. § 102(e). 17 Because we find that claim 10 is not supported by the Japanese priority application, we need not discuss the parties’ arguments and evidence regarding whether or not Grill is entitled to the priority date of the Grill provisional application. Nor must we decide whether Petitioner’s corresponding arguments and evidence submitted in the Reply are proper.” slip op. at 40
Patent outcomesUS 6,197,696 unpatentableClaim construction§ 102 anticipation§ 103 obviousness§ 112 disclosurecites Phillips · KSR · GrahamPatents in suitUS 6,197,696 - Taiwan Semiconductor Manufacturing Company, Ltd. / Globalfoundries U.S. Inc. v. Godo Kaisha IP Bridge 1All claims unpatentablePTAB · Jan 17, 2018 · IPR2016-01377 · APJ Jennifer Meyer Chagnon · IPR · Final written decision
Claims 10–12 are unpatentable as obvious over Grill and Aoyama because the combination teaches the claimed steps and a skilled artisan had reason and a reasonable expectation of success to combine them.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“We note the parties’ proposals differ in the specific degree required (i.e., Master of Science vs. Bachelor’s of Science); however, neither party argues this distinction makes a difference in analyzing the asserted ground or other issues in this proceeding. For clarity of the record, we adopt Petitioner’s proposal regarding the level of ordinary skill in the art, as it is more specifically directed to the technology described in the ’696 patent. In addition, given the disclosures in the ’696 patent and cited prior art, we agree with Petitioner that a Master of Science degree (or equivalent) in the relevant area better reflects the level of education and training that an ordinarily skilled artisan would have possessed at the time than a Bachelor’s degree, as Patent Owner contends. Our findings and conclusions, however, would be the same under either party’s proposed level of ordinary skill in the art. The level of ordinary skill in the art in this case further is reflected by the prior art of record. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978).” slip op. at 15
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed petitioner constructionDecided for petitioner
“define areas for etching.”7 Inst. Dec. 11–15. We further determined that “to meet the limitation ‘using the [designated layer] for etching,’ the designated layer ‘must actually be used to define areas for etching.’” Id. at 15 (quoting Prelim. Resp. 6 (emphasis Patent Owner’s)). Patent Owner agrees with this construction—namely, that “‘using’ something ‘as a mask’ during etching means using it to define areas for etching.” PO Resp. 8–9. Petitioner also applied this construction in this proceeding. See Tr. 6:7–18; see also id. at 19:10–16 (Petitioner’s counsel: “No, no, we did not present a construction and we did not contest the Board’s construction.”). The parties do not dispute that “using the [designated layer] as a mask” means “using the [designated layer] to define areas for etching,” and we discern no reason from the evidence presented to change this construction. We, therefore, maintain our preliminary construction for purposes of this Final Written Decision.” slip op. at 17
- Disclosure Requirements (§112) › Written description (Ariad)Not entitled to earlier dateDecided for petitioner
“that “using the [designated layer] as a mask” encompasses a situation in which the modified mask pattern 358, having “edges that are in line and flush” with second resist pattern 359, is therefore used as a mask. For the reasons discussed above, we do not agree with Patent Owner that “us[ed] . . . as a mask” necessarily encompasses such a situation. See supra Section II.C.2. We note that the application of our construction would not preclude layer 358 as shown in Patent Owner’s modified Figure 16(a) from ever being a mask when etching layer 355, if it were in fact described as such. However, there is no such description in the Japanese priority application; instead, the corresponding discussion identifies only second resist pattern 359 as a mask for this etching step. See Ex. 1014 ¶ 96 (“If there is a concern that the second resist pattern 359 has been misaligned with the first resist pattern 357, then the mask pattern 358 should be dry-etched using the second resist pattern 359 as a mask before the second silicon dioxide film 355 is dry-etched using the second resist pattern 359 as a mask.” (emphasis added)). Further, as noted by Petitioner (Reply 10–11), the corresponding discussion is, at best, ambiguous as to whether mask pattern 358 is “used as a mask” for etching layer 355. Ex. 1014 ¶ 96 (“That is to say, if the mask pattern 358 is exposed to the openings of the second resist pattern 359 for the formation of contact holes because of the misalignment of the second resist pattern 359 with the first resist pattern 357, then the mask pattern 358 is dry-etched using the second resist pattern 359 as a mask. In this manner, the openings of the mask pattern 358 are expanded to include the openings for the formation of wiring grooves and contact holes.” (emphasis added)). This disclosure is not sufficient to provide support under 35 U.S.C. § 112, first paragraph, for step (i) of claim 10. See Tronzo v. Biomet, Inc., 156 F.3d 1154, 1158 (Fed. Cir. 1998) (“For a claim in a later-filed application to be entitled to the filing date of an earlier application under 35 U.S.C. § 120 (1994), the earlier application must comply with the written description requirement of 35 U.S.C. § 112, ¶ 1 (1994). . . . A disclosure in a parent application that merely renders the later-claimed invention obvious is not sufficient to meet the written description requirement; the disclosure must describe the claimed invention with all its limitations.” (citing Lockwood v. American Airlines, Inc., 107 F.3d 1565, 1571–72 (Fed. Cir. 1997))); see also K & K Jump Start, 13 F. App’x at 984 (“In order for claim 1 of the [U.S.] patent to be entitled to the priority date of the [foreign] application, the test set forth in [Tronzo, 156 F.3d at 1158] must be satisfied.”). 2. Conclusion as to Whether Grill Qualifies as Prior Art Having considered the evidence in this record, we determine that, at least, step (i) of claim 10 is not supported by the Japanese priority application.16 Accordingly, the effective filing date of the challenged claims is March 23, 1999, and Grill is available as prior art as to claims 10–12 of the ’696 patent under 35 U.S.C. § 102(e).” slip op. at 39
- Novelty / Anticipation (§102) › Prior-art status of a reference › Patents / published applications (effective date, provisional support)Reference is prior artDecided for petitioner
“2. Conclusion as to Whether Grill Qualifies as Prior Art Having considered the evidence in this record, we determine that, at least, step (i) of claim 10 is not supported by the Japanese priority application.16 Accordingly, the effective filing date of the challenged claims is March 23, 1999, and Grill is available as prior art as to claims 10–12 of the ’696 patent under 35 U.S.C. § 102(e). 16 Because we find that claim 10 is not supported by the Japanese priority application, we need not discuss the parties’ arguments and evidence regarding whether or not Grill is entitled to the priority date of the Grill provisional application. Nor must we decide whether Petitioner’s corresponding arguments and evidence submitted in the Reply are proper.” slip op. at 40
Patent outcomesUS 6,197,696 unpatentableClaim construction§ 102 anticipation§ 103 obviousness§ 112 disclosurecites Phillips · KSR · GrahamPatents in suitUS 6,197,696 - Taiwan Semiconductor Manufacturing Company, Ltd. / Globalfoundries U.S. Inc. v. Godo Kaisha IP Bridge 1All claims unpatentablePTAB · Jan 17, 2018 · IPR2016-01376 · APJ Jennifer Meyer Chagnon · IPR · Final written decision
Claims 13 and 15 are unpatentable under § 103 as obvious over Grill and Aoyama; the Board found a reason to combine and a reasonable expectation of success.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“We note the parties’ proposals differ in the specific degree required (i.e., Master of Science vs. Bachelor’s of Science); however, neither party argues this distinction makes a difference in analyzing the asserted ground or other issues in this proceeding. For clarity of the record, we adopt Petitioner’s proposal regarding the level of ordinary skill in the art, as it is more specifically directed to the technology described in the ’696 patent. In addition, given the disclosures in the ’696 patent and cited prior art, we agree with Petitioner that a Master of Science degree (or equivalent) in the relevant area better reflects the level of education and training that an ordinarily skilled artisan would have possessed at the time than a Bachelor’s degree, as Patent Owner contends. Our findings and conclusions, however, would be the same under either party’s proposed level of ordinary skill in the art. The level of ordinary skill in the art in this case further is reflected by the prior art of record. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001); In re GPAC Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995); In re Oelrich, 579 F.2d 86, 91 (CCPA 1978).” slip op. at 15
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)Term construed board ownDecided for patent owner
“1. Construction of “using the [designated layer] as a mask” In the Institution Decision, we preliminarily construed the phrase “using the [designated layer] as a mask”6 as “using the [designated layer] to 6 Claim 13 recites several steps of etching “using” various layers—for example, the first resist pattern [step f]/second resist pattern and the mask pattern [step h]/patterned third insulating film [step i]—“as a mask.” As shorthand, we refer to the various layers as “the designated layer.” define areas for etching.”7 Inst. Dec. 11–15. We further determined that “to meet the limitation ‘using the [designated layer] for etching,’ the designated layer ‘must actually be used to define areas for etching.’” Id. at 15 (quoting Prelim. Resp. 6 (emphasis Patent Owner’s)). Patent Owner agrees with this construction—namely, that “‘using’ something ‘as a mask’ during etching means using it to define areas for etching.” PO Resp. 8–9. Petitioner also applied this construction in this proceeding. See Tr. 6:7–18; see also id. at 19:10–16 (Petitioner’s counsel: “No, no, we did not present a construction and we did not contest the Board’s construction.”). The parties do not dispute that “using the [designated layer] as a mask” means “using the [designated layer] to define areas for etching,” and we discern no reason from the evidence presented to change this construction. We, therefore, maintain our preliminary construction for purposes of this Final Written Decision.” slip op. at 16
- Disclosure Requirements (§112) › Written description (Ariad)Not entitled to earlier dateDecided for petitioner
“that “using the [designated layer] as a mask” encompasses a situation in which the modified mask pattern 358, having “edges that are in line and flush with” second resist pattern 359, is therefore used as a mask. For the reasons discussed above, we do not agree with Patent Owner that “us[ed] . . . as a mask” necessarily encompasses such a situation. See supra Section II.C.2. We note that the application of our construction would not preclude layer 358 as shown in Patent Owner’s modified Figure 16(a) from ever being a mask when etching layer 355, if it were in fact described as such. However, there is no such description in the Japanese priority application; instead, the corresponding discussion identifies only second resist pattern 359 as a mask for this etching step. See Ex. 1014 ¶ 96 (“If there is a concern that the second resist pattern 359 has been misaligned with the first resist pattern 357, then the mask pattern 358 should be dry-etched using the second resist pattern 359 as a mask before the second silicon dioxide film 355 is dry-etched using the second resist pattern 359 as a mask.” (emphasis added)). Further, as noted by Petitioner (Reply 10–11), the corresponding discussion is, at best, ambiguous as to whether mask pattern 358 is “used as a mask” for etching layer 355. Ex. 1014 ¶ 96 (“That is to say, if the mask pattern 358 is exposed to the openings of the second resist pattern 359 for the formation of contact holes because of the misalignment of the second resist pattern 359 with the first resist pattern 357, then the mask pattern 358 is dry-etched using the second resist pattern 359 as a mask. In this manner, the openings of the mask pattern 358 are expanded to include the openings for the formation of wiring grooves and contact holes.” (emphasis added)). This disclosure is not sufficient to provide support under 35 U.S.C. § 112, first paragraph, for step (h) of claim 13. See Tronzo v. Biomet, Inc., 156 F.3d 1154, 1158 (Fed. Cir. 1998) (“For a claim in a later-filed application to be entitled to the filing date of an earlier application under 35 U.S.C. § 120 (1994), the earlier application must comply with the written description requirement of 35 U.S.C. § 112, ¶ 1 (1994). . . . A disclosure in a parent application that merely renders the later-claimed invention obvious is not sufficient to meet the written description requirement; the disclosure must describe the claimed invention with all its limitations.” (citing Lockwood v. American Airlines, Inc., 107 F.3d 1565, 1571–72 (Fed. Cir. 1997))); see also K & K Jump Start, 13 F. App’x at 984 (“In order for claim 1 of the [U.S.] patent to be entitled to the priority date of the [foreign] application, the test set forth in [Tronzo, 156 F.3d at 1158] must be satisfied.”). 2. Conclusion as to Whether Grill Qualifies as Prior Art Having considered the evidence in this record, we determine that at least step (h) of claim 13 is not supported by the Japanese priority application.16 Accordingly, the effective filing date of the challenged claims is March 23, 1999, and Grill is available as prior art as to claims 13 and 15 of the ’696 patent under 35 U.S.C. § 102(e).” slip op. at 39
- Novelty / Anticipation (§102) › Prior-art status of a reference › Patents / published applications (effective date, provisional support)Reference is prior artDecided for petitioner
“2. Conclusion as to Whether Grill Qualifies as Prior Art Having considered the evidence in this record, we determine that at least step (h) of claim 13 is not supported by the Japanese priority application.16 Accordingly, the effective filing date of the challenged claims is March 23, 1999, and Grill is available as prior art as to claims 13 and 15 of the ’696 patent under 35 U.S.C. § 102(e). 16 Because we find that claim 13 is not supported by the Japanese priority application, we need not discuss the parties’ arguments and evidence regarding whether or not Grill is entitled to the priority date of the Grill provisional application. Nor must we decide whether Petitioner’s corresponding arguments and evidence submitted in the Reply are proper.” slip op. at 40
Patent outcomesUS 6,197,696 unpatentableClaim construction§ 102 anticipation§ 103 obviousness§ 112 disclosurecites Phillips · KSR · GrahamPatents in suitUS 6,197,696 - Taiwan Semiconductor Manufacturing Company Limited / Globalfoundries U.S. Inc. v. Godo Kaisha IP Bridge 1All claims unpatentablePTAB · Dec 20, 2017 · IPR2016-01249 · APJ Michael J Fitzpatrick · IPR · Final written decision
Claims 1–3, 5–7, and 9 and proposed claims 11–12 are unpatentable as obvious over Ding and Zhang; proposed claim 13 is patentable and allowed by amendment.
RulingsFinal written decision- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)Term construed patent owner constructionDecided for patent owner
“essentially of” for “being composed of.” PO Resp. 11 (citing AFG Indus., Inc. v. Cardinal IG Co., 239 F.3d 1239, 1245 (Fed. Cir. 2001)). In AFG, the Court noted that, “[i]n 1942, the Court of Customs and Patent Appeals [had] stated that ‘“composed of” should be regarded as synonymous with “consisting of.”’” AFG, 239 F.3d at 1245 (quoting In re Bertsch, 132 F.2d 1014, 1019 (CCPA 1942)). However, as further explained in AFG, the Court of Customs and Patent Appeals had “qualified this statement . . . by remarking that ‘the words “composed of” may under certain circumstances be given, in patent law, a broader meaning than “consisting of.”’” Id. (quoting In re Bertsch, 132 F.2d at 1020). The Court in AFG ultimately construed “composed of” to mean “consisting essentially of.” Id. (“[W]e do agree based on the specification and other evidence before us that the term ‘composed of’ in this case is not completely closed. Rather, we think that ‘composed of’ in this case should be interpreted in the same manner as ‘consisting essentially of.’”). Thus, “composed of” means either “consisting of” or “consisting essentially of.” Id. The term “consisting of” prohibits any 4 <111> and <002> are indices that pertain to an orientation or direction of crystals. Ex. 1003 ¶51. unspecified components. Id. (citing PPG Indus. v. Guardian Indus. Corp., 156 F.3d 1351, 1354 (Fed. Cir. 1998)). The term “consisting essentially of” prohibits only unspecified components that materially affect the basic and novel characteristic(s) of a claimed invention. Id. (citing Atlas Powder Co. v. E.I. du Pont De Nemours & Co., 750 F.2d 1569, 1574 (Fed. Cir. 1984)). By arguing that “being composed of” means “consisting essentially of” as opposed to “consisting of,” Patent Owner argues for broader claim scope. For purposes of this Decision, we construe “being composed of” to mean “consisting essentially of,” as Patent Owner argues.5 In conclusion, we construe “first film being composed of crystalline metal containing nitrogen therein,” as recited in independent claims 1 and 5, to mean “first film consisting essentially of crystalline metal containing nitrogen therein.”6” slip op. at 11
- Skill levelSkill level petitioner adoptedDecided for petitioner
“1. Level of Ordinary Skill in the Art The parties propose similar definitions of the level of ordinary skill in the art. Petitioner argues that a person of ordinary skill in the art would have had “an equivalent of a Master of Science degree from an accredited institution in electrical engineering, materials science, or physics, or the equivalent, a working knowledge of semiconductor processing technologies for integrated circuits, and at least two years of experience in semiconductor processing analysis, design, and development.” Pet. 10–11 (citing Ex. 1003 ¶64). Patent Owner argues that such an individual would have had “at least a Bachelor’s degree in Electrical, Materials, Mechanical, or Chemical Engineering, or a related degree, and at least two years of experience working in semiconductor processing and fabrication, semiconductor equipment manufacturing, or semiconductor materials.” PO Resp. 18 (citing Ex. 2011 ¶24). Neither party explains in detail why its proposed level of ordinary skill in the art should be adopted nor how the different levels affect the parties’ analyses. Based on the evidence of record, including the testimony of the parties’ declarants, the subject matter at issue, and the prior art of record, we adopt Petitioner’s definition.” slip op. at 16
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundUnpatentableUnpatentable
“As to Petitioner’s predictable-results assertion, Petitioner persuasively argues that a person of ordinary skill in the art would have added nitrogen to the crystalline tantalum layer of Ding for three independent reasons. First, Petitioner argues that the presence of nitrogen in Ding’s crystalline tantalum layer would make it more easily removable by chemical mechanical polishing (“CMP”), which removal by polishing both Zhang and Ding teach to do. Pet. 24–26 (citing Ex. 1003 ¶¶140, 142, 143; Ex. 1004, 1:30–34, 4:34–37; Ex. 1005, 7:56–65; Ex. 1019, 12–13; Ex. 1021, 354–63). Second, Petitioner argues that the presence of nitrogen in Ding’s crystalline tantalum layer would inhibit, to some additional extent, copper diffusion. Id. at 26–29 (citing Ex. 1003 ¶¶144–146; Ex. 1023, 8). Third, Petitioner argues that adding a small amount of nitrogen to Ding’s crystalline tantalum layer would reduce its resistivity, which was known to help reduce a device’s power consumption and RC delays. Id. at 29–30 (citing Ex. 1003 ¶147; Ex. 1015, 81 (Table 1)). Patent Owner counters that none of these purportedly predictable results are realistic. PO Resp. 46–52. With respect to the first reason offered by Petitioner (to make the first film more susceptible to CMP), Patent Owner argues that: (A) adding only “[a] small amount of nitrogen” to Ding’s crystalline tantalum layer would not change its CMP characteristics; and (B) “[a]dding significant amounts of nitrogen” would result in Ding’s previously crystalline layer becoming amorphous. Id. at 48. Patent Owner does not disclose what it considers “small” and “significant” amounts of nitrogen. Id. As a result, we cannot apply Patent Owner’s argument (even if it were persuasive) to the facts before us. Also, Patent Owner’s argument is based exclusively on declaration testimony that does not cite to any underlying evidence, let alone documentary evidence. See id. at 47–49 (citing Ex. 2011 ¶¶190–98). In contrast, Petitioner’s argument is supported by declaration testimony, which, in turn, is based on underlying evidence, including documentary evidence. See Pet. 24–26 (citing Ex. 1003 ¶¶140, 142, 143; Ex. 1004, 1:30–34, 4:34– 37; Ex. 1005, 7:56–65; Ex. 1019, 12–13; Ex. 1021, 354–63); see also Ex. 1003 ¶139. With respect to the second reason offered by Petitioner (to inhibit, to some additional extent, copper diffusion), Patent Owner argues that, in Petitioner’s asserted combination, “there would be no nitrogen to provide any copper diffusion benefit.” PO Resp. 49. Patent Owner’s argument is premised on Zhang teaching exclusively an upper surface of pure tantalum. Id. But, Zhang explicitly teaches that the upper surface may have a nitrogen content of, for example, 1%, 2%, 3%, or 4%. See Ex. 1004, 3:59–62 (“At the upper surface, the atomic percent tantalum may be at least 95% and the atomic percent nitrogen may be less than 5% if copper adhesion is particularly problematic.”). With respect to the third reason offered by Petitioner (to reduce resistivity), Patent Owner argues that adding nitrogen would actually increase resistivity. As pointed out by Petitioner, however, Patent Owner’s declarant, Harlan R. Harris, Ph.D., conceded that adding nitrogen does lower resistivity. Reply 17–18 (quoting Ex. 1036, 125:3–20). Dr. Harris testified as follows: Q. When the nitrogen flow ratio is zero in the ’324 patent, and the power is kept constant, wouldn’t that result in a film that could be pure tantalum? A. All three of those data points are at the exact same position on the graph. The N2 concentration, which is the numerator of the ratio, is set at zero. And in this particular position, the nitrogen concentration would be assumed to be zero in the film. Q. So is it within the scope of what’s taught in the ’324 patent to have a film that would have no nitrogen at all? A. It’s also apparent to anyone who is examining this of skill in the art that you can decrease from that number, which is favorable in terms of the value of resistivity by adding flow rate in the data points for all of the positions greater than zero. So you decrease resistivity by the addition of any amount of nitrogen, therefore, a person skilled in the art would not be motivated to not have nitrogen, based on this data. Q. You’re referring to the decrease in resistivity as nitrogen is added? A. Yes. Q. Which is desirable? A. You want the resistivity to go down. Ex. 1036, 124:15–125:20. We are satisfied by each of Petitioner’s proffered reasons for why a person of ordinary skill in the art would have added nitrogen to Ding’s crystalline tantalum layer, as taught by Zhang. Petitioner has shown, by a preponderance of the evidence, that claims 1 and 5 would have been obvious over Ding and Zhang.” slip op. at 24
- PTAB / AIA Trials › Motions to amend / substitute claimsMotion to amend granted in partGranted in part
“obvious over Ding in view of Zhang. Patent Owner’s proposed claims 11 and 12 are unpatentable because they introduce limitations—nitrogen throughout the first film (claim 11) and nitrogen at the upper surface of the first film (claim 12)—that are met by the very references asserted in the ground of unpatentability involved in this inter partes review. Patent Owner’s Motion to substitute claims 11 and 12 is premised, incorrectly, on Zhang requiring pure tantalum (and, thus, no nitrogen) at the upper surface of its tantalum-rich tantalum nitride film. In fact, Zhang does not require any portion of the tantalum-rich tantalum nitride film to be pure tantalum. Ex. 1004, 3:53–54 (“The tantalum-rich tantalum nitride film has a range of approximately 0-30 atomic percent nitrogen.”). And, Zhang explicitly teaches that the upper surface may include nitrogen. Id. at 3:57– 62 (“A lower atomic percent nitrogen at the upper surface typically gives better adhesion to copper films. At the upper surface, the atomic percent tantalum may be at least 95% and the atomic percent nitrogen may be less than 5% if copper adhesion is particularly problematic.”); Ex. 1036, 40:1–6, 42:2–9, 42:15–21, 54:14–20 (Dr. Harris acknowledging that the upper surface of the film would contain some nitrogen). Accordingly, a preponderance of the evidence establishes that Patent Owner’s proposed claims 11 and 12 are not patentable over the art of record in this inter partes review. Put another way, and as Petitioner argues, claims 11 and 12 (like challenged claim 5) are unpatentable as they claim subject matter that would have been obvious over Ding in view of Zhang. See 35 U.S.C. § 103(a); Amend Opp. 6–7 (“The instituted obviousness ground[] based on Zhang and Ding already include[s] the newly-added limitations Patent Owner seeks to add in its Substitute Claims 11–13. Thus, the Substitute Claims 11–13 remain unpatentable over each of the instituted grounds.”).14 Patent Owner’s Motion to Amend is denied with respect to claims 11 and 12.” slip op. at 33
Patent outcomesUS 6,538,324 unpatentableClaim construction§ 103 obviousness§ 112 disclosurecites Phillips · GrahamPatents in suitUS 6,538,324 - Nokia Solutions And Networks US LLC / Nokia Solutions And Networks OY v. Huawei Technologies Co. Ltd.Institution deniedPTAB · Jul 26, 2017 · IPR2017-00592 · APJ Michelle N Wormmeester · IPR · Institution
The Board denied institution because Petitioner did not show a reasonable likelihood that claims 1–3, 5, 8, 9, 11, 16, 17, and 19 were obvious over either asserted combination.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsInstitution denied
“’575 patent would have been obvious over TS 23.125 and Tdoc ’930. Pet. 66–70. For the reasons explained below, we are not persuaded that Petitioner has demonstrated a reasonable likelihood of prevailing on this asserted ground.” slip op. at 11
- Disclosure Requirements (§112) › Written description (Ariad)Written description adequateEntitled to earlier dateDecided for patent owner
“Based on the record before us, we are unpersuaded by Petitioner’s argument that the challenged claims of the ’575 patent are not entitled to the benefit of the filing date of the Chinese application. As Patent Owner points out, independent claims 1 and 16 do not require determining a charging method to be offline. Prelim. Resp. 14. Rather, the claims recite “determining a charging method” or “determine a charging method,” without specifying offline as a required charging method. Patent Owner points us to where the Chinese application discloses a CRF determining a charging method to be online, as discussed above. See, e.g., Ex. 1031, 19 (cited at Prelim. Resp. 14). We find that such disclosure sufficiently describes the disputed limitations “determining a charging method” and “determine a charging method.”” slip op. at 9
- Novelty / Anticipation (§102) › Prior-art status of a reference › Patents / published applications (effective date, provisional support)Reference not prior artDecided for patent owner
“Tdoc ’930 is a “temporary document” that contains 3GPP member “contributions for consideration by the Technical Specification Group or Working Group.” Ex. 1013; Ex. 1004 ¶ 17 (declaration testimony explaining that “Tdocs” refer to “temporary documents”). Petitioner asserts that Tdoc ’930 “was publicly available as early as May 23, 2004,” the date on which Petitioner relies as the prior art date. Pet. 33. Petitioner supports this assertion with the declaration testimony of both Dr. Min (Ex. 1003) and Balazs Bertenyi (Ex. 1004). See id. (citing Ex. 1003 ¶ 124; Ex. 1004 ¶ 37). According to Petitioner, Tdoc ’930 qualifies as prior art under 35 U.S.C. § 102(a)4 “because the ’575 Patent is not entitled to the priority date of the [] Chinese priority document.” Id. As discussed above, however, we find that the challenged claims are entitled to the benefit of the filing date of the Chinese application, namely, May 12, 2004. Accordingly, Tdoc ’930 does not qualify as prior art against the challenged claims of the ’575 patent under 35 U.S.C. § 102(a). 4 Because the application for the ’575 patent was filed before the enactment of the Leahy-Smith America Invents Act, Pub. L. No. 112-29, 125 Stat. 284 (2011) (“AIA”), the pre-AIA version of 35 U.S.C. § 102(a) applies in this proceeding. In view of the foregoing, we determine that Petitioner has not demonstrated a reasonable likelihood of prevailing in showing that claims 1– 3, 5, 8, 9, 11, 16, 17, and 19 would have been obvious over TS 23.125 and Tdoc ’930.” slip op. at 11
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation not foundNot shown unpatentable
“It is not sufficient, however, for Petitioner to demonstrate that each of the claim elements is known. See KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 418 (2007). Petitioner must also provide “some articulated reasoning with some rational underpinning to support the legal conclusion of obviousness.” In re Kahn, 441 F.3d 977, 988 (Fed. Cir. 2006). In that regard, Petitioner argues that one of ordinary skill in the art would have found it obvious to combine TS 23.125 and the Tdoc list because, according to Dr. Min, “a POSITA would have followed the instructions explicitly provided by [the Tdoc list], namely include an OCS address.” Pet. 36; Ex. 1003 ¶ 131. We are not persuaded by Petitioner’s argument. Petitioner does not explain sufficiently why one of ordinary skill in the art would have considered combining TS 23.125 and the Tdoc list to arrive at the claimed invention, namely a CRF providing a TPF with address information of a charging system. As to the case where the address information is provided to the TPF by another node (as opposed to being preconfigured in the TPF), we note Petitioner’s explanation that the CRF is the only node that would have provided the TPF with address information because the CRF and the charging system are the only nodes connected to the TPF, and the charging system would not have provided its own address to the TPF. See Pet. 54–55; Ex. 1003 ¶¶ 158–59. However, we find this explanation to be inconsistent with the teachings in TS 23.125 and the ’575 APA. For example, TS 23.125 teaches that “[a] TPF may be served by one or more CRF nodes,” and that “[t]he appropriate CRF is contacted based on UE identity information,” where “UE” refers to “User Equipment.” Ex. 1006, at 8, 16; see also id. at Fig. 7.1 (showing the UE communicating with the TPF). Similarly, the ’575 APA teaches that “the UE sends an Establish Bearer Service Request to the TPF.” Ex. 1001, 4:65–66. These teachings indicate that at least another node, namely the UE, is connected to the TPF. Accordingly, we find that these teachings also indicate that the address information of a charging system could have been provided by the CRF or the UE in the case where the address information is provided to the TPF by another node. As Patent Owner points out, neither Petitioner nor Dr. Min explains why a person of ordinary skill in the art would have combined TS 23.125 and the Tdoc list to arrive specifically at a CRF providing a TPF with address information of a charging system, rather than to arrive at a UE providing a TPF with the address information or at a TPF that is already preconfigured with the address information. See Prelim. Resp. 36 (“Neither Petitioner nor its declarant articulate a reasoning with rational underpinnings as to . . . why such modification would occur specifically to the CRF element of TS 23.125.”); id. at 37 (“the Petitioner had a burden to show why a POSITA in 2004 would have modified the ‘CRF’ element, in particular, of TS 23.125 to add the OCS address rather than modifying another element of TS 23.125”). Accordingly, on this record, we are not persuaded that Petitioner has provided adequately articulated reasoning with some rational underpinning to support the legal conclusion of obviousness. See Kahn, 441 F.3d at 988.” slip op. at 18
Claim construction§ 102 anticipation§ 103 obviousness§ 112 disclosurePatents in suitUS 8,798,575
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