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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`INTELLECTUAL VENTURES MANAGEMENT, LLC
`Petitioner
`
`V.
`
`Patent of XILINX, INC.
`
`Patent Owner
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`Case IPR2012-00023
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`Patent 7,994,609
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`Issue Date: August 9, 2011
`Title: SHIELDING FOR INTEGRATED CAPACITORS
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`Before Sally C. Medley, Karl D. Easthom, and Justin T. Arbes
`Administrative Patent Judges
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`PATENT OWNER’S RESPONSE
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`
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`Patent Owner’s Response
`IPR2012-00023
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`TABLE OF CONTENTS
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`Table of Authorities ........................................................... : ...................................... 3
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`I.
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`Original Claims 2, 8-9, and 18-19 Are Valid .................................................... 5
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`A. Original claim 2 is valid ............................................................................... 5
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`1.
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`Paul does not teach the claimed shield plate in poly ................................. 6
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`2. Anthony does not teach the claimed shield plate in poly .......................... 7
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`B. Original claim 8 is valid ............................................................................. 10
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`1.
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`Paul only has layers of alternating conducting elements ........................ 12
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`2. Brennan only has plate layers .................................................................. 13
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`There is no reason to replace one of Paul’s alternating layers with one
`3.
`of Brennan’s plate layers, except for hindsight .............................................. 14
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`C. Original claim 9 is valid ............................................................................. 15
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`D. Original claim 18 is valid ........................................................................... 16
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`E.
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`Original claim 19 is valid ........................................................................... 17
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`II. Amended Claims ............................................................................................. 18
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`A.
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`B.
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`C.
`
`D.
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`Proposed claim 20 is valid .......................................................................... 18
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`Proposed claim 21 is valid .......................................................................... 18
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`Proposed claim 27 is valid .......................................................................... 19
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`Proposed claim 30 is valid .......................................................................... 19
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`111. Conclusion ..................................................................................................... 20
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`Certificate of Service ............................................................................................... 21
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`Patent Owner’s Response
`IPR2012—00023
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`TABLE OF AUTHORITIES
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`Cases
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`In re Fine, 837 F.2d 1071 (Fed. Cir. 1988) ............................................................. 15
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`In re Gordon, 733 F.2d 900 (Fed. Cir. 1984) ......................................................... 15
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`Statutes
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`35 U.S.C. § 103 ....................................................................................... 5,10,16,17
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`35 U.S.C. § 311 ....................................................................................... 5,10,16,17
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`35 U.S.C.§316 ......................................................................................................... 4
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`Rules
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`37 C.F.R. § 42.220 .................................................................................................... 4
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`
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`Patent Owner’s Response
`1PR201 2-00023
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`Patent Owner Xilinx, Inc. (“Xilinx”) provides this response under 35 U.S.C.
`
`§ 316(a)(8) and 37 C.F.R. § 42.220. The Petition filed by Intellectual Ventures
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`Management (“IVM”) on September 17, 2012 requesting inter partes review of
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`claims 1-19 of US. Patent No. 7,994,609 (the “’609 Patent,” Ex. IVMlOOl)
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`proposed six different Grounds of rejections, which were granted by the Board on
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`February 12, 2013.
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`Concurrently with this filing, Xilinx files a separate Motion to Amend that
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`presents reasons why the proposed substitute claims are still further distinguished
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`from the prior art of record. Since the proposed substitute claims recite all of the
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`limitations of the original independent claims, the arguments presented in this
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`Response apply equally to the proposed substitute claims. Nevertheless, Xilinx
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`requests that the Board consider the substitute claims only if it determines that the
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`original claims are invalid.
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`The next section below is directed to original claims, and explains why the
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`identified claims are valid over the prior art. The following section is directed to
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`the claims for which an amendment has been proposed, and explains why the
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`amended claims are valid over the prior art.
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`
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`1.
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`Original Claims 2, 8-9, and 18-19 Are Valid
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`The following discussion shows why original claims 2, 8-9, and 18—19 are
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`Patent Owner’s Response
`IPR2012-00023
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`valid.
`
`A.
`
`Original claim 2 is valid
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`IVM-asserts, as to Ground 2, that original claim 2 is obvious over Paul in
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`View of Anthony. Xilinx will show that this proposed rejection does not meet the
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`legal requirements for obviousness under 35 U.S.C. § 103, especially under the
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`requirements under 35 U.S.C. § 311(b) that a ground for inter partes review be
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`“only on the basis of prior art consisting of patents or printed publications.”
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`Original claim 2 recites:
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`wherein the fourth conductive layer is a poly layer of the IC, the
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`shield capacitor portion including
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`a second node shield plate
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`formed in the poly layer.
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`This claim draws support from, e.g., Figure 2B of the ’609 patent (reproduced
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`below). As shown below, the capacitor includes two nodes T and B. Node B
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`includes shield plate B’, which is made of polysilicon. A reference shield 224/225
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`is also provided in addition to (and separate from) the nodes of the capacitor and
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`the shield plate B’. The reference shield 224/225 is annotated in the figure, and in
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`this example is connected to the reference voltage VDD.
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`lVM-lOOl at 6:45-46 and
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`7:31-32.
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`Patent Owner’s Response
`IPR2012—00023
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`connected to VDD
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`“5
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`
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`
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`_______________________
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` reference shield—————>
`
`
`
`
`
`
`]
`
`ll| :
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`.
`,
`I
`;
`BS:T7
`T6
`:Tstas
`II L__-__ _ -c------1_.'---‘- - ---_-:
`’ ——————————————————
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`shield plate, formed in
`poly and connected to
`a capacitor node—
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`‘
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`Claim 1 (upon which claim 2 depends) clearly distinguishes the “shield
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`capacitor portion” (which includes the “shield plate”) from the “reference shield.”
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`Claim 1 recites that “the shield capacitor portion [is] electrically connected to and
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`form[s] a second part of the second node of the capacitor,” while “the reference
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`shield [is] electrically connected to a reference node of the IC.”I As will be
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`shown below, neither Paul nor Anthony teach or suggest a “shield plate” that is
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`“formed in the poly layer” and is “part of the second node of the capacitor.”
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`1.
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`Paul does not teach the claimed shield plate in poly
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`As agreed by IVM, “Paul does not disclose that the fourth layer [for the
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`shield capacitor portion] is a poly layer of the IC or that a second node shield is
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`formed in the poly layer.” Paper 3 (Petition) at 24.
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`1
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`Dependent claims 5 and 6 recite that the reference node is either VDD or
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`ground.
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`Patent Owner’s Response
`IPR2012—00023
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`2.
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`Anthony does not teach the claimed shield plate in poly
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`IVM-relies on Anthony for this claim element. Id. Specifically, the Petition
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`cites Anthony as stating: “[a]s an alternative to the use of a metal layer as shown
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`in FIG. 3B
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`the bottom shield plate 36 can be implemented with a polysilicon or
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`diffusion layer.” Paper 3 at 24, citing IVM—1007 at 4:49—52. FIGS. 38 and 4 of
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`Anthony is reproduced and annotated below.
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`38
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`M3
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`
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`37
`
`
`
`E :
`
`39I
`E
`
`\\;\V\\\\\\\\>>>>\\
`I
`
`~7/1'\1’////////
`‘
`g
`g ‘\~\\\\\\\\\>1
`
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`3. :l///
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`I
`”I//////////////~
`
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`{\\\\\\\\\\\\\\\\\\\
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`
`
`
`
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`
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`Anthony,FIG. 4
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`w
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`
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`mm \‘m -
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`Patent Owner’s Response
`IPR2012—00023
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`.. -— - reference
`shield
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`’
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`- ’ capacitor
`nodes
`
`
`
`
`szl/l/l/l/l/l/lllfi 32
`
`
`n¢&\\\\\\\\\\w»<
`v ‘1)
`E
`
`
`
`
`
`
`_ _
`, ’
`
`, reference
`shield
`
`A!
`_
`V
`WW
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` FIG. 4
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`Anthony, FIG. 4
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`Anthony states that the capacitor 30 is formed by “plates 33 and 34” and
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`“terminals 31 and 32.” IVM-1007, 4:35-38. These plates are formed in
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`“additional layers of metal.” IVM-1007, 413-4. The capacitor 30 of FIG. 4 is
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`shielded by features including the metal plate 35, and the diffused layer 46. IVM-
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`1007, 4:66—5:2. In other words, Anthony’s capacitor in FIG. 4 has a first plate 33
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`and a second plate 34 where both plates are formed of metal layers overlying the
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`substrate, not in poly or in the diffusion. Anthony’s reference shield plate 36/46
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`is formed in the metal layer (36) and in the diffusion layer (46), and is not
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`connected to either node of the capacitor. Even if reference shield plate 36/46 was
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`in poly, it is still not connected to a node of the capacitor.
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`—8——
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`Patent Owner’s Response
`IPR2012-00023
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`Thus, bottom shield plate 36/46 is a reference shield, 2 and is never shown or
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`suggested as being connected to or part of the capacitor node. This configuration
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`is different from claim 2 of the’609 patent, which recites a shield capacitor portion
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`that is both “electrically connected to and forming a
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`part of the second node of
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`the capacitor” and that is “formed in the poly layer.”
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`It is noted that a similar argument was made in Xilinx’s Preliminary
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`Response, with respect to claims 18 and 19. The Board responded that “dielectric
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`interposing the two plates” is a capacitor structure. Paper 1 l at 12. However, this
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`argument does not apply for claim 2 because the claim has additional limitations
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`for the capacitor. Specifically, claim 2 recites that the “node shield plate” be a part
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`of the claimed “second node of the capacitor,” which is also connected to a layer
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`with a “second plurality of conductive elements” that alternate with the first
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`plurality of conductive elements. The shield plate 36/46 of Anthony is not
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`connected to any alternating conductive elements.
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`Thus, the above-identified claim element is neither taught nor suggested by
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`the cited prior art publications. To the extent IVM-relies on its expert declaration
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`to teach this claim element, such would be outside the legal bounds of inter partes
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`[Q
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`lVM-1007 at 4:59.
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`IVM—later admits that the shield plate 36 is a reference
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`shield, in a different ground of rejection. Paper 3 at 28.
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`Patent Owner’s Response
`IPR2012—00023
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`review under 35 U.S.C. § 311(b). Accordingly, the proposed rejection for original
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`claim 2 should not be adopted.
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`It is further noted that the Motion to Amend filed herewith proposes to
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`replace original claim 2 with proposed claim 21. Proposed claim 21 is exactly the
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`same as original claim 2 and original claim 1 (upon which claim 2 depends),
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`except that it is a single independent claim. That is, the scope of original claim 2 is
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`exactly the same as the scope of proposed claim 21, and the analysis above applies
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`equally to both.
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`B.
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`Original claim 8 is valid
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`IVM—asserts, as to Ground 3, that claim 8 is obvious over Paul in view of
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`Brennan. Xilinx will show that this proposed rejection does not meet the legal
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`requirements for obviousness under 35 U.S.C. § 103, especially under the
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`requirements under 35 U.S.C. § 311(b) that a ground be “only on the basis ofprior
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`art consisting of patents or printed publications.”
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`Original claim 8 recites:
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`[a third plurality of conductive elements in a second conductive
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`layer adjacent to and orthogonal to the conductive elements in
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`the first conductive layer wherein] each of the conductive
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`elements in the third plurality of conductive elements is
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`adjacent to a conductive element electrically connected to the
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`first node.
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`-10_
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`Patent Owner’s Response
`IPR2012—00023
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`For the sake of example, FIG. 2A from the ‘609 patent is reproduced and annotated
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`below, the annotations corresponding to the terms in claim 8:
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`
`
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`\ third plurality of
`conductive elements
`
`in second
`
`conductive layer
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`FIG. 2A from ‘609 patent
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`As can be seen in the figure, the claimed “first conductive layer” (referred to
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`as metal 3, or M3 in the ‘609 patent) includes alternating conductive elements from
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`the top node (T) and the bottom node (B). The claimed “second conductive layer”
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`(referred to as metal 2, or M2 in the patent) only includes conductive elements
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`from the top node (T). The ‘609 patent refers to this latter type of layer, where
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`there are no alternating conductive elements, as a “plate” layer. IVM-lOOl at 5:57-
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`58. The ‘609 patent explains the benefit of having a plate layer adjacent to a layer
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`of alternating conductive elements as follows:
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`_11_
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`Patent Owner’s Response
`IPR2012-00023
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`the core capacitor portion 201 . .. has interleaved top and bottom
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`node conductive filaments that provide high specific lateral
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`capacitance in the M1 and M3 metal layers, and vertical
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`capacitance between the bottom node elements in M1 and M3
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`and the top node elements in M2, which is adjacent to both M1
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`and M3. IVM—lOOl at 6:33-38, emphasis added.
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`In addition, the conductive elements in the first conductive layer are “orthogonal”
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`to the conductive elements in the second conductive layer, as recited by claim 7
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`(upon which claim 8 depends). See also, the Declaration of Richard A. Blanchard,
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`PhD. (Ex. XLNX—2006) at 182-34.
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`Thus, the capacitor recited in claim 8 includes a specific lateral capacitance
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`and vertical capacitance. The ‘609 patent discusses lateral spacing requirements
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`(the spacing between two elements in the same layer) which define lateral
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`capacitance, and vertical spacing requirements (the spacing between two adjacent
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`layers) which define vertical capacitance, and how these are effected by the design
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`rules and process technology. IVM-lOOl at 6:64-7:17; see also, XLNX-2006 at
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`fll32—34.
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`].
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`Paul only has layers of alternating conducting elements
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`Paul does not teach a plate layer (the claimed second layer) having a
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`plurality of conducting elements connected to a common node. Specifically,
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`Paul’s FIG. 13 teaches two interior layers having a plurality of conducting
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`_12_
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`Patent Owner’s Response
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`IPR2012-00023
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`elements, the layers in Metal 3 and Metal 2. FIG. 13 of Paul is reproduced below.
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`In both these interior layers, the conducting elements alternate between node A and
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`node B. There is no interior layer of conducting elements that do not alternate (a
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`plate layer).3 See also, XLNX-2006 at 1126-27.
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`alternating
`conductive elements
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`METAL 1-—>
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`METAL 2~—*
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`Paul, FIG. 13
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`2.
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`Brennan only has plate layers
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`Brennan is directed to a capacitor with only plate layers, and no layers with
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`alternating conducting elements. Brennan extolls the benefits of using only plate
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`layers, stating that they “simplify planar capacitor fabrication at the metal
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`interconnect layer and via layers.” IVM-1009, 3:28-30. Brennan further describes
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`the benefits of using “slotted” capacitor plates, including improved quality of
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`planar capacitor plates and that the trace and slot widths in a plate layer provide
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`3
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`FIG. 13 of Paul was used by IVM—in the Petition. Paper 3 at 42.
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`_13_
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`Patent Owner’s Response
`IPR2012-00023
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`“filtering of relatively high frequency EMI noise.” IVM-1009, 6:58—7z9; see also,
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`XLNX-2006 at 1122-23.
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`There is no reason to replace one of Paul’s alternating
`3.
`layers with one of Brennan’s plate layers, except for hindsight
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`The capacitor of claim 8 has more conductive elements connected to one
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`node than to the other. Specifically for claim 8, the first node of the capacitor is
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`connected to all of the first and third pluralities of conducting elements, while the
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`second node of the capacitor is connected to only the second plurality of
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`conducting elements. Thus, the capacitor ofclaim 8 is unbalanced, as to the
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`coupling of each node, and therefore serves as a switching capacitor. See IVM-
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`1001 at l:63—2:8; see also, original claim 4; XLNX-2006 at 1130-34.
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`In contrast, both Paul and Brennan are directed to balanced capacitors. Paul
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`teaches a capacitor in which the layers of conducting elements are always
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`balanced. XLNX—2006 at $126. Likewise, Brennan teaches a capacitor with equal
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`numbers of plate layers (balanced). XLNX-2006 at 1123.
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`In the Declaration of Morgan Johnson, Mr. Johnson has constructed a
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`modified figure, labeled FIG. G, that is supposedly based, at least in part, on FIG.
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`13 of Paul and FIG. 4 of Brennan. IVM1002 at 44-46. The capacitor described in
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`FIG. G has converted the balanced capacitor of Paul (and the balanced capacitor of
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`Brennan) into an unbalanced transistor by inserting the middle (the so—called 2nd
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`layer) of the capacitor connected to node “B,” and relabeling the bottom plate (the
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`_14_
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`Patent Owner’s Response
`IPR2012-00023
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`so—called 4th layer) as being connected to node “A”. That is, the capacitor of FIG.
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`G now includes two plates connected to node A, one connected to node B, and two
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`layers with elements connecting to A and B in an alternating manner. This new
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`arrangement goes well beyond the scope of either Paul or Morgan. That is, this is
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`not merely adding another set of nodes to perform their known function, but this is
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`changing the functional operation of the resulting capacitor in a way not previously
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`described. See XLNX-2006 at 1135. “If a proposed modification would render the
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`prior art invention being modified unsatisfactory for its intended purpose, then
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`there is no suggestion or motivation to make the proposed modification.” In re
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`Gordon, 733 F.2d 900 (Fed. Cir. 1984).
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`It is noted that the Motion to Amend filed herewith proposes to replace
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`original claim 8 with proposed claim 20. Proposed claim 20 includes the above-
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`identified element from claim 8, as well as the entirety of original claim 1 (upon
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`which claim 8 depends). The analysis above for claim 8 applies equally to
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`proposed claim 20.
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`C.
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`Original claim 9 is valid
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`Claim 9 depends on claim 8, which as discussed above, is nonobvious over
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`the prior art. Accordingly, claim 9 is nonobvious over the prior art. In re Fine,
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`837 F.2d 1071 (Fed. Cir. 1988).
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`-15_
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`Patent Owner’s Response
`IPR2012—00023
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`It is noted that the Motion to Amend filed herewith proposes to replace
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`original claim 9 with proposed claim 27. Proposed claim 27 is exactly the same as
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`original claim 9, except that claim 9 depends on claim 8, and proposed claim 27
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`depends on proposed claim 20. As discussed above with reference to claim 8,
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`proposed claim 20 should be allowed, and therefore, so should proposed claim 27.
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`D.
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`Original claim 18 is valid
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`IVM-asserts, as to Ground 5, that claim 18 is obvious over Anthony in view
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`of Marotta. Xilinx will show that this proposed rejection does not meet the legal
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`requirements for obviousness under 35 U.S.C. § 103, especially under the
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`requirements under 35 U.S.C. § 31 l(b) that a ground be “only on the basis of prior
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`art consisting of patents or printed publications.”
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`Original claim 18 recites: “a second plate formed in a substrate of the IC.”
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`lVM-relies on Anthony to teach this claim element. Paper 3 at 46. But as
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`discussed above with reference to original claim 2, and admitted by IVM-
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`previously in the petition, the shield plate 36/46 of Anthony is not a plate of the
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`capacitor, but is reference shield. See above at p. 7; and see Paper 3 at 28.
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`Accordingly, for the same reasons discussed above with reference to claim 2, the
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`proposed rejection for claim 18 should not be adopted.
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`—16—
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`Patent Owner’s Response
`IPR2012-00023
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`E.
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`Original claim 19 is valid
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`lVM-asserts, as to Ground 5, that claim 19 is obvious over Anthony in View
`
`of Marotta. Xilinx will show that this proposed rejection does not meet the legal
`
`requirements for obviousness under 35 U.S.C. § 103, especially under the
`
`requirements under 35 U.S.C. § 31 1(b) that a ground be “only on the basis of prior
`
`art consisting of patents or printed publications.”
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`Claim 19 depends on claim 18, which as discussed above is nonobvious over
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`the prior art. For this reason alone, claim 19 is nonobvious.
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`In addition, original claim 19 recites:
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`The capacitor of claim 18 wherein the first conductive layer is a
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`first poly layer, the substrate comprises silicon and second plate
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`is formed in an N—well of the substrate and the shield plate is
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`formed in a second poly layer of the 1C. (Emphasis added.)
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`Neither of the references teaches an IC with two poly layers, one poly layer used
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`for a second plate of the capacitor and the other poly layer used for a shield plate.
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`See 6. g, XLNX—2006 at 1i20, 25. To the extent IVM-relies on its expert declaration
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`to teach this claim element, such would be outside the legal bounds of inter partes
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`review under 35 U.S.C. § 311(b). Since a double-poly layer IC is not disclosed in
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`the prior art, the rejection of claim 19 should be withdrawn.
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`_17_
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`Patent Owner’s Response
`IPR2012—00023
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`II.
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`Amended Claims
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`The following discussion addresses the proposed claims submitted in the
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`Motion to Amend, filed herewith.
`
`A.
`
`Proposed claim 20 is valid
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`In the Motion to Amend, Xilinx proposes to substitute original claim 1 with
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`claim 20. Proposed claim 20 includes all the words and imitations from original
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`claim 1, and adds the following claim limitation:
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`each of the conductive elements in the third plurality of
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`conductive elements is adjacent to a conductive element
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`electrically connected to the first node.
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`This claim element is taken directly from original claim 8, which depends on
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`original claim 1. This claim element is also discussed above, with reference to
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`original claim 8, and for these reasons, proposed claim 20 is valid over the prior
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`art.
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`B.
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`Proposed claim 21 is valid
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`Xilinx proposes to substitute original claim 2 with claim 21. Claim 21 is the
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`same as claim 2, except in independent format. That is, claim 21 includes each and
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`every limitation of original claim 2, as well as original claim 1, upon which claim 2
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`depends. For the exact same reasons discussed above with reference to claim 2,
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`proposed claim 21 is valid over the prior art.
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`—18—
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`Patent Owner’s Response
`IPR2012-00023
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`C.
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`Proposed claim 27 is valid
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`Xilinx proposes to substitute original claim 9 with claim 27. Claim 27 is the
`
`same as claim 9, except claim 9 depends on claims 1 and 8, and claim 27 depends
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`on claim 20. As discussed above, proposed claim 20 includes limitations
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`previously found in original claims 1 and 8. For the same reasons discussed above
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`with reference to claim 9, proposed claim 27 is valid over the prior art.
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`D.
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`Proposed claim 30 is valid
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`Xilinx proposes to substitute original independent claim 13 with independent
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`claim 30. Claim 30 is the same as claim 13, except that it further limits the “fourth
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`conductive layer” to be a “poly” layer. Consistent with the discussion above with
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`reference to claim 2, Anthony does not show a shield plate in poly that is part of a
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`capacitor node.
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`Further, claim 30 requires a reference shield including a “substrate portion.”
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`Anthony does not teach a capacitor including mil; a poly layer for a node and a
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`substrate portion for a reference shield.
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`Thus for these two reasons, proposed claim 30 is valid over the prior art.
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`49—
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`Patent Owner’s Response
`lPR2012—00023
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`111. Conclusion
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`For the reasons discussed above, Xilinx requests that the Motion to Amend
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`be granted, and that claims 18-34 should be found valid over the prior art. In the
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`event that the Motion to Amend is not granted, then Xilinx submits that claims 2,
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`8-9, and 18-19 should be allowed.
`
`Respectfully submitted,
`
`David M. O’Dell
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`Registration No. 42,044
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`HAYNES AND BOONE, LLP
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`Customer No. 27683
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`Telephone: 972/739-8635
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`Facsimile: 214/200-0808
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`Attorney Docket No.: 42299.45
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`_20_
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`Dated: May 7, 2013
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`Rl320631.3docx
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`Patent Owner’s Response
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`IPR2012—00023
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`INTELLECTUAL VENTURES MANAGEMENT, LLC
`Petitioner
`v
`
`XILINX, INC.
`Patent Owner
`
`Case IPR2012-00023
`
`Patent 7,994,609
`
`Title: SHIELDING FOR INTEGRATED CAPACITORS
`
`CERTIFICATE OF SERVICE
`
`The undersigned certifies, in accordance with 37 CPR. § 42.205, that
`
`service was made on IVM-as detailed below.
`
`Date ofservice May 7, 2013
`
`Manner ofservice Electronic Mail (lgordon@skgf.com; rsterne@skgf.com)
`
`Documents served Patent Owner Response;
`
`Patent Owner’s First Motion to Amend By Xilinx Under 37
`
`C.F.R § 42.121;
`
`Xilinx’ Exhibit List; and
`
`Exhibits: XLNX-2006 through XLNX—2007
`
`Persons served STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`1 100 NEW YORK AVENUE, N.W.
`
`WASHINGTON DC 20005
`
`g?M
`
`David M. O’Dell
`
`Registration No. 42,044
`
`_21_
`
`