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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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`CARL ZEISS SMT GMBH, )
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` ) Case IPR2013-00362
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` Petitioner, )
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` ) Patent 7,348,575
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` v. )
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` )
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`NIKON CORPORATION, )
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` )
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` Patent Owner. )
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`-------------------------)
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` WEDNESDAY, MAY 7, 2014
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` Deposition of JOSE SASIAN, PH.D., taken at the
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`offices of Oblon, Spivak, McClelland, Maier &
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`Neustadt, LLP, 1940 Duke Street, Alexandria, Virginia,
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`beginning at 9:11 a.m., before Nancy J. Martin, a
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`Registered Merit Reporter, Certified Shorthand
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`Reporter.
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` VERITEXT NATIONAL COURT REPORTING
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` MIDATLANTIC REGION
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` 1250 Eye Street NW, Washington, D.C. 20005
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` (202) 803-8830
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`877-479-2484
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`U.S. LEGAL SUPPORT, INC. www.uslegalsupport.com
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`ZEISS 1033
`Zeiss v. Nikon
`IPR2013-00362
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`[Page 2]
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`A P P E A R A N C E S :
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` FISH & RICHARDSON
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` BY: KURT L. GLITZENSTEIN, ESQUIRE
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` MARC M. WEFERS, ESQUIRE
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` 60 South Sixth Street
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` Suite 3200
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` Minneapolis, MN 55402
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` (202) 626-6420
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` Representing Petitioner Carl Zeiss SMT GmbH
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` OBLON, SPIVAK, MCCLELLAND, MAIER & NEUSTADT,
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` LLP
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` BY: JOHN S. KERN, ESQUIRE
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` ROBERT C. MATTSON, ESQUIRE
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` 1940 Duke Street
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`11
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` Alexandria, Virginia 22314
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` (703) 413-3000
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` Representing Patent Owner Nikon Corporation
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` I N D E X
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`TESTIMONY OF: JOSE SASIAN, PH.D.
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`BY MR. GLITZENSTEIN...............................XX
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`BY MR. MATTSON....................................XX
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`BY MR. GLITZENSTEIN...............................XX
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` E X H I B I T S
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`NUMBER DESCRIPTION MARKED
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`Exhibit 1030 United States Patent Application 94
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` Publication, Nakano, et al.
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` Pub. No.: US 2013/0329283 Al
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`Exhibit 1031 United States Patent, 95
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` 5,650,877
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` WEDNESDAY, MAY 7, 2014, ALEXANDRIA, VIRGINIA;
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`[Page 5]
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` 9:11 A.M.
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` JOSE SASIAN, PH.D., after having been
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`first duly sworn, was examined and testified as
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`follows:
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` EXAMINATION
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`BY MR. GLITZENSTEIN:
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` Q. Good morning, Dr. Sasian.
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` A. Good morning.
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` Q. For the record, sir, could you please state
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`your full name.
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` A. Jose Manuel Sasian Alvarado.
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` Q. And, Dr. Sasian, do you understand that you
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`are here today to provide cross-examination testimony
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`in an inter partes review with the Caption
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`No. IPR2013-00362?
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` A. Yes.
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` Q. All right. And, sir, I'm going to hand you a
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`document entitled "DECLARATION OF DR. JOSE SASIAN"
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`that was filed in connection with that matter. If you
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`can confirm for me, sir, that this is, in fact, your
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`declaration.
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` A. Yes, it appears so.
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` MR. GLITZENSTEIN: And I'm going to hand you one
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`other document, sir, that's been significant in this
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`matter as Zeiss Exhibit 1001.
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` (Previously marked Exhibit 1001.)
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` Q. Do you recognize this, sir, as the patent
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`that's at issue in this matter?
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` A. Yes. The '575.
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` Q. Right. It's U.S. Patent 7,348,575?
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` A. Yes, sir.
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` Q. Thank you. And if I refer to this throughout
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`the proceedings today as "the '575 patent," will you
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`understand that?
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` A. Yes.
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` Q. Thank you. Have you reviewed the '575 patent
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`in connection with this matter?
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` A. Yes.
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` Q. Did you review the entirety of the '575
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`patent prior to preparing your declaration,
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`Exhibit 2024?
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` A. Yes.
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` Q. And in rendering your opinions in this
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`matter, sir, what did understand to be the relevant
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`priority date of the '575 patent?
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` MR. MATTSON: Objection. Form. Foundation.
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` THE WITNESS: There are a number of dates on
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`the '575 patent, and one of them is May 6, 2013.
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`BY MR. GLITZENSTEIN:
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` Q. And what's the significance in -- to your
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`understanding of that date?
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` A. Significance for what?
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` Q. For any of the opinions that you've rendered
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`in this matter.
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` A. It sets a date to set what's prior art and
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`what is not prior art.
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` Q. If you could turn in your declaration, sir,
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`to Paragraph 66, please. And in Paragraph 66 you
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`begin a section which is entitled "Boundary lens." Do
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`you see that?
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` A. Yes.
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` Q. And before that, there's sort of a major
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`heading that says, "Claim Constructions." Do you see
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`that?
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` A. Yes.
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` Q. Right. What construction have you applied in
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`this matter for the term "boundary lens" in the '575
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`patent?
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` A. I discuss a number of properties in the
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`boundary lens.
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` Q. What construction did you apply for the claim
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`term "boundary lens" for purposes of rendering your
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`opinions in this matter?
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` A. As I said in the declaration, "a boundary
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`lens is a lens of the projection optical system that
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`has a convex object-side surface and a flat image-side
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`surface to increase effective numerical aperture in
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`the presence of the immersion liquid by reducing
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`reflection loss."
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` Q. And the entirety of what you've just stated,
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`is that the construction that you've applied for
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`purposes of rendering your opinions in this matter?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: There may be another statement
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`associated with the boundary lens definition. I don't
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`recall at this moment, but when I see it, I can bring
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`it to your attention.
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`BY MR. GLITZENSTEIN:
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` Q. Do you recall, in substance, what additional
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`statement you applied for purposes of the construction
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`of the term "boundary lens" in rendering your opinions
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`in this matter?
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` A. On Paragraph 67 I mentioned that "From the
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`575 Patent disclosure it becomes readily apparent that
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`the boundary lens serves at least two purposes: To
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`isolate an atmosphere in an optical path of a
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`projection optical system from an optical path between
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`the boundary lens and a second surface; and 2) to
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`enable higher resolution by" reduction -- "reducing
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`reflection losses, and thus preventing total internal
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`reflection."
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` Q. I see that statement in Paragraph 67 of your
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`declaration, sir. Are you saying that you also have
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`incorporated those principles into your construction
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`of boundary lens that you applied for purposes of
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`rendering your opinions in this matter?
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` A. Yes.
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` Q. Other than what you've already testified to
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`from Paragraphs 66 and 67 of your declaration, is
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`there anything else that you have incorporated into
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`your construction of "boundary lens" for purposes of
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`rendering your opinions in this matter?
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` A. Not that I recall at this moment.
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` Q. Now, it's true, sir, that that is the --
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`you've only applied one construction of the term
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`"boundary lens" for purposes of rendering your
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`opinions in this matter; correct?
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` A. Yes.
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` Q. The term "boundary lens" is found in Claim 1
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`of the '575 patent. True?
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` A. That's correct.
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` Q. And for purposes of this matter, you have not
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`rendered opinions on any of the other claims of the
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`'575 patent, again, other than Claim 1 of the '575
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`patent?
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` A. I believe that's correct.
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` Q. If I could just ask you to turn in your
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`declaration to Paragraph 129. So this paragraph
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`summarizes the opinions that you formed in connection
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`with this matter. True?
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` A. Yes.
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` Q. And part of your opinion in this matter is
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`that the "Terasawa and the Immersion References fail
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`to enable one of ordinary skill in the art to make and
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`use the subject matter of independent claim 1 of the
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`575 Patent." True?
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` A. Yes.
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` Q. Your conclusion in this matter in that regard
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`is based on the construction that you have applied for
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`purposes of boundary lens. True?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: No.
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`BY MR. GLITZENSTEIN:
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` Q. What's untrue about what I said?
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` A. That it's not my construction. That it's not
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`my construction.
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` Q. What's not your construction?
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` A. Well, if I can recall it correctly, the
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`question was that in applying my construction, I have
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`used any construction to determine whether Terasawa
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`and the mentioned references enable or not the Claim 1
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`of the '575. And the point is that those references
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`do not render -- do not lead to the boundary lens --
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`the presence of the boundary lens. So, therefore,
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`they do not enable Claim 1 of the '575.
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` Q. In the answer that you just gave you used the
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`term "boundary lens," and in that answer did you mean
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`the term "boundary lens" as you've construed it for
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`purposes of this matter?
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` A. Well, the boundary lens, it's an actual item,
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`and my construction is based on the actual boundary
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`lens.
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` Q. And I'm going to get to what the basis is for
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`your construction in just a moment, but I just want to
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`set a baseline here for purposes of understanding your
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`opinions, sir. So let me break this down. You've
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`offered opinions in this case that Terasawa and the
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`immersion references fail to enable one of ordinary
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`skill in the art to make and use the subject matter of
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`independent Claim 1 of the '575 patent; correct?
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` A. That's correct.
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` Q. And in rendering that -- withdrawn.
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` And Claim 1 of the '575 patent includes the
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`term "boundary lens"; right?
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` A. That's correct.
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` Q. And you have, in this matter, come up with a
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`construction for the term "boundary lens"; correct?
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` A. We may call it that I have come with a
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`construction. I have written the properties of the
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`boundary lens. I can recognize where a boundary lens
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`is present or not. And with that understanding, I
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`provided my opinion.
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` Q. Okay. So just so I'm clear on this, sir, you
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`have come up with your own construction for "boundary
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`lens." True?
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` A. You will see the difficulty I have. We talk
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`about constructions, we usually see a table of claim
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`construction terms; right? And people say this term
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`and the construction comes to the right. But in this
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`case, I don't have that. I have just the attributes
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`of the boundary lens. So when you ask me did I
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`construct it in that way, no, I didn't that way. I
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`just said the boundary lens has these properties, and
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`I can see whether the prior art had -- say, the
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`combination of prior art will have that boundary lens,
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`and my answer is no.
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` Q. Let me see if I can understand that answer.
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`So for purposes of your work in this matter, have you
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`identified what you consider to be the appropriate
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`construction for the term "boundary layer" as that
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`term is used in Claim 1 of the '575 patent?
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` MR. MATTSON: Objection. Form.
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` MR. GLITZENSTEIN: Let me withdraw that
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`question, sir.
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` Q. I think I might have missed one word, and I
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`don't want to confuse the issue. I think I said,
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`"boundary layer" and not "boundary lens," which may be
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`the cause of my brother's well-placed objection. So
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`let me try this again.
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` A. Okay.
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` Q. For purposes of your work in this matter,
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`have you identified what you consider to be the
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`appropriate construction for the term "boundary lens"
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`as that term is used in Claim 1 of the '575 patent?
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` A. Yeah, I am satisfied with the terms I used to
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`refer to that lens, and you can call it a
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`construction.
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` Q. Okay. And that's the material that you
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`identified for me earlier from Paragraph 66 and 67 of
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`your declaration?
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` A. That's correct.
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` Q. Okay. And so now, if I could return to my
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`questions about -- from Paragraph 129, in rendering
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`your opinion in this matter, that "Terasawa and the
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`Immersion References fail to enable one of ordinary
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`skill in the art to make and use the subject matter of
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`independent claim 1 of the 575 Patent," am I correct,
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`sir, that in forming that -- that you have based that
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`opinion on the construction that you have applied in
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`this case for the term "boundary lens"?
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` A. That is one aspect of -- on which I base my
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`opinion.
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` Q. If the board in this matter disagrees with
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`your construction for the term "boundary lens," it's
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`true, is it not, that you have not offered any opinion
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`that the "Terasawa and Immersion References fail to
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`enable one of ordinary skill in the art to make and
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`use the subject matter of independent claim 1 of the
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`'575 Patent"?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: This is a little bit of a long
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`question. If you can please -- if you can please
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`rephrase it.
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` MR. GLITZENSTEIN: Let me break it down.
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` Q. You have not offered any opinions in this
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`case that Terasawa and the immersion references fail
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`to enable one of ordinary skill in the art to make and
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`use the subject matter of independent Claim 1 of the
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`'575 patent on any claim construction other than the
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`one that you have already identified for us for the
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`term "boundary layer"?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: Let me answer that question as
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`follows.
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` If you look at my declaration on the section
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`of "Opinions," I provide a number of an analyses on
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`enablement and on obviousness that support my overall
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`summary of conclusions.
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`BY MR. GLITZENSTEIN:
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` Q. I understand that your report says more than
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`just what's in Paragraph 129. What I want to explore
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`with you, as a preliminary matter, is whether, in your
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`view, you believe that you have offered any opinion at
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`all on the issue of enablement in this matter on a
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`claim construction other than boundary lens?
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` MR. MATTSON: Objection to form.
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` THE WITNESS: Let me review the section on
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`claim construction, please, which is --
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` MR. GLITZENSTEIN: I can help you on that.
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`It begins at Paragraph 66 of your declaration.
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` (The witness reviewed the document.)
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` THE WITNESS: And, once more, can you repeat
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`the question, please.
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`BY MR. GLITZENSTEIN:
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` Q. I'm not going to precisely repeat it, but
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`I'll ask you one that's in the ballpark. Okay?
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` A. Yes.
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` Q. All right. Have you offered any opinion in
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`this matter on the issue of whether "Terasawa and the
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`Immersion References enable one of ordinary skill in
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`the art to make and use the subject matter of claim 1
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`of the '575 Patent" on any construction of boundary
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`lens other than the one that you previously explained?
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` MR. MATTSON: Objection to form.
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` (The witness further reviewed the document.)
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` THE WITNESS: Well, I want to mention again
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`that my opinions in my summary of opinions are
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`supported by the analysis I presented. There I
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`outline the different reasons, the different arguments
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`to support my opinion. So when you ask me if I use
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`other claim construction, again, I don't see that
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`table with claim construction terms to apply.
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`However, I have defined what I understand for a
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`boundary lens, and I have used that to support my
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`opinion.
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`BY MR. GLITZENSTEIN:
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` Q. And you have not offered any opinions in this
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`matter on the issue of enablement applying any
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`construction of boundary lens other than the one that
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`you explained before; correct?
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` MR. MATTSON: Objection to form.
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` THE WITNESS: I don't recall if I have not,
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`but right now I have expressed what the meaning of a
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`boundary lens is.
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`BY MR. GLITZENSTEIN:
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` Q. And that's the meaning that you have used in
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`forming your opinions on the enablement issue in this
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`case; right?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: One aspect. There are a
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`number -- there is an analysis on enablement that I
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`presented and my opinions are expressed there and,
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`yes, they use the definition of the language I
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`associate with the boundary lens.
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`BY MR. GLITZENSTEIN:
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` Q. Can you identify for me, sir, any opinions
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`that you have offered in this matter on the issue of
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`enablement that do not depend upon the definition that
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`you have applied for the term "boundary lens"?
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` MR. MATTSON: Objection to form.
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` THE WITNESS: For example, the previous art
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`does not provide a table of constructional parameters
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`for an optical system as is specified in the '575 that
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`projection lens.
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`BY MR. GLITZENSTEIN:
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` Q. When you say, "such a projection lens," you
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`mean a projection lens as described in Claim 1 of the
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`'575 patent as you have construed the term "boundary
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`lens"; right?
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` A. Yes.
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` Q. Okay. So you see my point on this, sir, is
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`I'm trying to understand whether, in your view, you
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`have offered any opinions on the issue of enablement
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`in this matter that do not depend on the construction
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`that you have applied in this matter for the term
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`"boundary lens." Have you done that at all?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: I hesitate because I haven't
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`had a time to reflect whether or not I have used an
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`item. I cannot recall right now, and for that reason,
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`I hesitate. I would have to review it just to make
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`sure whether I did or I did not.
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`BY MR. GLITZENSTEIN:
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` Q. You'd have to review what, sir?
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` A. My declaration in view of your question.
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` Q. All right. Maybe if you'd just take a few
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`minutes to do that. I mean it's just a few
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`paragraphs. It starts at Paragraph 113.
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` (The witness further reviewed the document.)
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` THE WITNESS: Why do you refer to
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`Paragraph 113?
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`BY MR. GLITZENSTEIN:
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` Q. I'm sorry. That's the end of it, isn't it.
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`Let me ask you to start at Paragraph 94. That might
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`be a better place to start.
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` A. Thank you.
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` Q. You're welcome.
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` A. Just to make sure I understand your question,
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`if I can understand your question I can answer that.
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` Q. That's fine.
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` A. You're asking me if I offer an opinion on
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`enablement that does not depend on the use of a
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`boundary lens?
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` Q. Let me -- I'm glad you asked the question.
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`So I'm going to be real precise on this. My question
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`for you, sir, is whether you've offered any opinions
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`in this matter on the issue of enablement that does
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`not depend on the construction of boundary lens that
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`you have applied in this matter?
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` MR. MATTSON: Objection. Form.
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`BY MR. GLITZENSTEIN:
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` Q. Is that clear?
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` A. It does not depend on the construction of
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`boundary lens that I have used. Well, my answer is I
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`cannot think of any right now.
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` Q. Okay. Thank you. And if you could turn
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`back, sir, to Paragraph 129. Again, this is the
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`summary paragraph of your declaration.
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` A. Yes.
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` Q. You have also offered opinions in this matter
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`that Claim 1 would not have been obvious to a person
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`of ordinary skill in the art at the time of the
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`invention in Claim 1 of the '575 patent. Is that
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`true? That's your opinion?
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` A. That's correct.
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` Q. My question for you is very similar to the
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`last one that I asked you, sir. Have you offered any
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`opinions in this matter on the issue of obviousness
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`that do not depend on the construction of "boundary
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`lens" that you have applied in this matter?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: Yeah. I believe that in some
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`aspect of my opinions, I believe to have the
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`construction of the boundary lens.
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`BY MR. GLITZENSTEIN:
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` Q. The construction that you have used in this
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`matter?
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` A. If we call it that way, yes.
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` Q. If I could ask you to turn back, sir, to
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`Paragraph 66 of your declaration. In this paragraph
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`and then the paragraphs continuing through
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`Paragraph 75, am I correct in understanding that this
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`is where you set out not only the construction that
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`you've applied for "boundary lens" but also the --
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`sort of the bases that led you to that construction?
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` A. Can you clarify what you mean by "bases."
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` Q. You have based your analyses in this matter
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`on a certain construction or meaning of the term
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`"boundary lens"; correct?
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` A. Okay. Yes.
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` Q. And you have applied -- as I understand it,
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`you have applied some methodology to ascertain what,
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`in your view, is the proper construction for "boundary
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`lens." Am I correct in that understanding?
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` A. Yes.
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` Q. So is the methodology that you followed in
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`reaching your opinion on what the appropriate
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`construction is for "boundary lens" set out in the
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`paragraphs spanning from 66 to 75?
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` A. Some of that methodology is expressed on
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`those paragraphs.
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` Q. Do you know if you set out any of the
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`methodology elsewhere in your declaration?
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` A. I don't recall if I have more language to
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`define the -- to set the methodology.
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` Q. Now, are you aware, sir, that the board in
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`this matter has evaluated the '575 patent and arrived
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`at a construction for the term "boundary lens"?
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` A. I don't know that for a fact, but I suspect.
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` Q. So I asked because I saw in Paragraph 15 of
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`your declaration a list of the materials that you
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`reviewed in formulating your opinions. Do you see
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`that?
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` A. Yes.
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` Q. And this is -- withdrawn.
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` Am I correct in understanding that this is a
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`complete list of the materials that you considered?
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` A. Yes, sir.
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` Q. And I note that the decision of the board in
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`this matter that instituted the trial in this case is
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`not listed in the materials that you've considered; is
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`that correct?
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` A. Can I have a list of my exhibits to verify
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`that it's it or it's not?
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` Q. You want a list of the Zeiss exhibits, 1001
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`through -29?
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` A. No. No. The list of the materials I
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`considered, which is Exhibit --
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` Q. Sorry. I didn't mean to throw you off your
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`answer, sir, with the fumbling on my side of the
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`table.
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` A. No problem.
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` Q. So just -- if you can just let me know.
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`There are lots of exhibits here. What is it that you
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`would like to see?
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` A. I think you mentioned that there is one
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`document that is not listed on my exhibit of documents
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`considered, and while I -- shall I take your word that
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`this document is not there?
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` Q. I'm actually -- I want to make sure that
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`we're communicating on this. I see in your
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`declaration, in Paragraph 15, a list of the things
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`that you have considered in forming your opinions.
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` A. Yes.
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` Q. Okay. Is there another list of things that
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`you considered in this matter?
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` A. No. No.
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` Q. Okay. All right. So the things that you --
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`let me just ask it this way. So this is, in fact, a
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`complete list of everything you looked at?
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` A. Yes.
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` Q. Okay. All right. And do you have any
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`recollection of reviewing, for purposes of your work
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`in this matter or otherwise, the decision of the board
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`instituting the trial in this matter?
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` A. I would have to look at the document to see
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`if I remember seeing it or not.
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` MR. GLITZENSTEIN: All right. Let me get a
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`copy of that.
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` Counsel, I don't think I need to mark this as
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`an exhibit. I'm happy to if you would like me to, but
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`it's part of the record.
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` MR. MATTSON: Yeah, I wouldn't bother.
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` MR. GLITZENSTEIN: All right. Sir, I'm going
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`to hand you what's been filed in this matter as Paper
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`No. 10, and it bears a date of December 16, 1993 and
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`it's entitled "Decision Institution of Inter Partes
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`Review." I'm sorry. 2013.
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` (The witness reviewed the document.)
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` THE WITNESS: I cannot remember if I saw this
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`document or not.
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`BY MR. GLITZENSTEIN:
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` Q. Okay. If I could ask you to turn in this
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`document, sir -- why don't you hang onto that. I've
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`got maybe a couple more questions for you on it. If
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`you could turn, please, to Page 8 of this document.
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`And do you see there there's a subheading that's
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`entitled "Boundary Lens"?
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` A. Yes.
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` Q. And there's a discussion below it that refers
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`to portions of the '575 patent. Do you see that?
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` A. Yes.
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` Q. Okay. And one of the portions that's cited
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`here in the board's decision is Column 20, Lines 45
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`through 49. Do you see that?
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` A. Column 20, Lines 45 through 49?
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` Q. Yes. Do you see where that is?
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` A. Yes, I see that.
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` Q. Okay. So -- and then below that, there's
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`also a discussion of Figures 3, 4, 5, and 7. Do you
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`see that?
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` A. Yes.
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` Q. All right. Now, it's true, is it not, that
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`for purposes of rendering your opinions in this matter
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`about the meaning of the term "boundary lens," you
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`didn't take into account the disclosure of the patent
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`identified by the board in this paragraph; right?
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` A. Yeah. Now I recall that I didn't see this
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`document.
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` Q. You did not?
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` A. I did not see this document.
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`terms of coming up with your construction for the term
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`"boundary lens," I'm correct, am I not, that you
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`didn't take account of the portions of the '575 patent
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`cited by the board in this paragraph; right?
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` MR. MATTSON: Objection. Form.
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` THE WITNESS: Well, what I didn't take into
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`consideration was this paragraph.
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`BY MR. GLITZENSTEIN:
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` Q. And my question for you is the portions of
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`the patent that the board identified in its analysis
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`of this claim construction issue are not discussed in
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`the section of your declaration where you analyze the
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`question of what the appropriate construction is for
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`boundary lens. True?
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` A. Well, I do present on my declaration Figure 3
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`of the '575, and I notice that Figure 3 is here.
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` Q. That's a fair point. You do discuss
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`Figure 3. The board also makes reference to Figures
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`4, 5, and 7 and what's depicted there; right?
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` A. Yeah. They mention Figures 4, 5, and 7 too.
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` Q. And those are not figures that you discuss in
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`connection with your opinion on what the term
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`"boundary lens" means; right?
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` A. Just let me clarify that I do refer to the
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`'575. I say in the context of the '575 that item
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`brings specifically, say, Figures 4, 5, 7, doesn't
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`mean that I did not consider or I did not mean that
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`they may have a bearing on the construction.
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` Q. The board also cites to a specific passage of
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`the '575 patent, namely Column 20, Lines 45 through
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`49. And we can agree that your analysis of the
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`meaning of the term "boundary lens" does not expressly
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`address that passage of the patent; right?
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` A. I don't specifically site that paragraph on
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`my declaration.