`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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`1
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` UNITED STATES PATENT AND TRADEMARK OFFICE
` __________
` BEFORE THE PATENT TRIAL AND APPEAL BOARD
` __________
`TAIWAN SEMICONDUCTOR MANUFACTURING COMPANY, LIMITED
` Petitioner,
` v.
` GODO KAISHA IP BRIDGE 1
` Patent Owner
` __________
` Case IPR2016-01264/2016-01249
` U.S. Patent No. 6,538,324
` __________
` Reston, Virginia
` May 5, 2017
` CROSS-EXAMINATION
` HARLAN R. HARRIS, Ph.D.
`
`202-220-4158
`
`Henderson Legal Services, Inc.
`www.hendersonlegalservices.com
`
`Page 1 of 254
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`TSMC Exhibit 1036
`TSMC v. IP Bridge
`IPR2016-01249
`
`
`
`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
`
`2
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` Cross-Examination of HARLAN R. HARRIS,
`Ph.D., a witness herein, called for examination by
`counsel for Petitioner in the above-entitled matter,
`pursuant to notice, the witness being duly sworn by
`SUSAN L. CIMINELLI, CRR, RPR, a Notary Public in and
`for the Commonwealth of Virginia, taken at the
`offices of Greenblum & Bernstein, P.L.C., 1950
`Roland Clarke Place, Reston, Virginia, commencing at
`9:05 a.m.
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
`
`3
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`APPEARANCES:
` On behalf of the Patent Owner:
` MICHAEL J. FINK, ESQUIRE
` Greenblum & Bernstein, P.L.C.
` 1950 Roland Clarke Place
` Reston, Virginia 20191-1411
` (703) 616-1191
` mfink@gbpatent.com
` On behalf of the Petitioner:
` STEPHEN E. KABAKOFF, ESQUIRE
` Finnegan, Henderson, Farabow, Garrett &
` Dunner, LLP
` 271 117th Street, N.W.
` Suite 1400
` Atlanta, Georgia 30363-6209
` (404) 653-6400
` stephen.kabakoff@finnegan.com
` -and-
` HOWARD HERR, ESQUIRE
` Finnegan, Henderson, Farabow, Garrett &
` Dunner, LLP
` 901 New York Avenue, N.W.
` Washington, D.C.
` (202) 408-4000
` howard.herr@finnegan.com
` ALSO PRESENT:
` Willy Chang, Senior Counsel,
` Taiwan Semiconductor Manufacturing
` Company, Limited
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`4
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` C O N T E N T S
`HARLAN R. HARRIS, Ph.D. EXAMINATION
` By Mr. Kabakoff 6
` By Mr. Fink 248
`
` Afternoon Session - Page 144
`
` E X H I B I T S
`EXHIBIT NO. PAGE
`Exhibit 1025 (TSMC) UK Patent 2,298,657 B 17
`Exhibit 1026 (TSMC) U.S. Patent 5,780,908 17
`Exhibit 1027 (TSMC) U.S. Patent 5,869,902 18
`Exhibit 1028 (TSMC) U.S. Patent 5,882,399 19
`Exhibit 1029 (TSMC) U.S. Patent 6,057,237 19
`Exhibit 1030 (TSMC) U.S. Patent 6,136,682 20
`Exhibit 1031 (TSMC) U.S. Patent 6,242,804 B1 20
`Exhibit 1032 (TSMC) Fig. 4 53
`Exhibit 1033 (TSMC) U.S. Patent 6,458,255 B2 136
`Exhibit 1034 (TSMC) American Heritage College
` Dictionary Third Edition excerpt 152
`Exhibit 1035 (TSMC) U.S. Patent 5,281,485 228
`(Exhibits Continued)
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`5
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`PREVIOUSLY MARKED EXHIBITS PAGE
`Exhibit 2011 Declaration of Harlan Rusty
` Harris, Ph.D. 01249, 01264 7
`Exhibit 2037 Declaration of Harlan Rusty
` Harris, Ph.D. in Support of
` Patent Owner's Contingent
` Motion to Amend 01249, 01264 7
`Exhibit 1005 U.S. Patent 6,887,353 B1 7
`Exhibit 1007 Sun 7
`Exhibit 1004 U.S. Patent 5,893,752 25
`Exhibit 1001 U.S. Patent 6,538,324 29
`Exhibit 2010 Chemistry 181
`Exhibit 2036 Hackh's Chemical Dictionary 185
`Exhibit 1002 File History US 6,538,324 192
`Exhibit 1015 Sun 201
`Exhibit 2039 U.S. Patent 6,346,745 B1 212
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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` P R O C E E D I N G S
`Whereupon,
` HARLAN R. HARRIS, Ph.D.
`was called as a witness by counsel for Petitioner,
`and having been duly sworn, was examined and
`testified as follows:
` CROSS-EXAMINATION
`BY MR. KABAKOFF:
` Q. Good morning.
` A. Good morning.
` Q. Can you please state your full name and
`address for the record?
` A. Harlan Rusty Harris. I reside at 1315
`Harbour Town Court, College Station, Texas 77845.
` Q. Have you ever been deposed before?
` A. This is my first deposition.
` Q. Well, as you can see, we have a court
`reporter. And one thing that I just want to make
`you aware of early is she is writing down everything
`you say, so when I ask a question, please wait until
`I finish the question before you start to answer.
`If we talk at the same time, it makes her job very
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`difficult.
` A. Sure.
` Q. And also try to keep your voice up, so
`she can hear you, for writing down the transcript.
` A. Very well.
` MR. FINK: And no nodding or shaking
`heads. You have to answer verbally.
` THE WITNESS: Okay.
`BY MR. KABAKOFF:
` Q. Thank you. You understand that you're
`under oath, and you must testify truthfully as if
`you're in a courtroom in front of a judge?
` A. I do.
` Q. Is there any reason that would prevent
`you from testifying truthfully today?
` A. No.
` Q. It looks like you didn't bring anything,
`so I'm going to give you copies of your declarations
`in the two IPR proceedings that we are discussing
`today.
` A. Sure.
` (IP Bridge Exhibit Nos. 2011, 2037
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`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`BY MR. KABAKOFF:
` Q. I'll represent to you, I obtained these
`from the patent file website. Let me hand them to
`you first. So I've handed you four declarations.
`Two of them are labelled IP Bridge Exhibit 2011, and
`they were filed in IPR proceedings IPR2016-01264 and
`IPR2016-01249. Do you have those?
` A. Yes, I do.
` Q. And I handed you two declarations from
`those same proceedings that are labelled IP Bridge
`Exhibit 2037. Do you have those?
` A. I do.
` Q. And you did not submit any other
`declarations in these proceedings, correct?
` A. I did not.
` Q. When is the last time that you read each
`of your declarations that I just handed to you?
` A. In its entirety? Or --
` Q. In its entirety.
` A. It was yesterday afternoon.
` Q. Since you asked me, "in its entirety,"
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`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`did you read portions of it again this morning? Is
`that why you asked me that?
` A. I did not. I just wanted to clarify.
` Q. Can I refer to Exhibit 2011 from the
`IPR2016-01264 proceeding as your 1264 declaration?
` A. Yes.
` Q. You'll understand what I'm referring to?
` A. I will.
` Q. Can I refer to the other declaration
`that's labelled 2011 as your 1249 declaration?
` A. Yes.
` Q. And you'll understand that?
` A. I will understand it.
` Q. The two declarations that were labelled
`Exhibit 2037 that are exactly the same length, and
`to my knowledge, they are the same. Is that
`correct?
` A. I haven't examined these documents, but
`they look like copies of each other, so I would say
`on the face of it, yes.
` MR. FINK: Steve, I'll represent,
`according to what the Board told us, they had to be
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`the same document.
`BY MR. KABAKOFF:
` Q. Can I refer to Exhibit 2037 as your
`motion to amend declaration?
` A. I will understand that.
` Q. So we can have shorter versions.
` A. Yes.
` Q. Are there any errors that you'd like to
`correct in any of these declarations I handed you?
` A. I'm glad you brought that up. I
`appreciate that. There is a typo on the 1264.
` Q. Are you able to locate it relatively
`quickly, or do you want to take a break to find it?
` A. I think I can probably find it real fast.
`On page 61, in paragraph 233, the underlined portion
`in that paragraph, there was a double negative
`which, of course, came about during the review
`process. And it states that I do not disagree with
`the Petitioner as to what those results would have
`been. Of course, it should not have been a double
`negative. It should have said that I disagree with
`the Petitioner.
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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` Q. So you do not agree with the Petitioner?
` A. I do not, yes.
` Q. Any other errors that you're aware of?
` A. Not at this point.
` Q. Are there any opinions that you rendered
`in any of the four declarations I handed you that,
`upon further consideration, you just want to
`withdraw?
` A. There are none.
` Q. Are you offering any expert opinions in
`these IPR proceedings that are not expressed in your
`declarations?
` A. I am not.
` Q. Have you previously submitted any
`declarations or expert reports relating to the U.S.
`Patent 6,538,324?
` A. I have not.
` Q. And for simplicity, can I refer to this
`as the '324 patent?
` A. Yes.
` Q. Will you be offering any opinions about
`the validity of the '324 patent in the related
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`District Court litigation?
` A. No, I'm not involved in the litigation.
` MR. FINK: Objection, lack of foundation.
`BY MR. KABAKOFF:
` Q. Let's use your 1264 declaration as the
`primary declaration, so I'll refer to paragraphs in
`this. And if I want to direct you to the other
`ones, I'll let you know.
` A. Very well.
` Q. What I'd like you to do is turn to
`paragraphs 11 to 15 of your 1264 declaration. It's
`on page 3?
` A. Yes.
` Q. Again, for simplicity, there are two
`different page numbers. It says page 3, but then
`underneath, it says, 483?
` A. Yes.
` Q. Can I just refer to the page number
`that's marked above?
` A. That would be preferable for me, yes.
` Q. So you see the heading, Documents
`Reviewed?
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`Harris, Ph.D., Harlan R.
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`May 5, 2017
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` A. Yes.
` Q. And under that is paragraphs 11 to 15,
`correct?
` A. Yes.
` Q. Which spans to page 7 of the 1264
`declaration. Do paragraphs 11 to 15 of your 1264
`declaration accurately reflect all of the documents
`that you reviewed in forming your opinions in the
`1264 declaration?
` A. They do, yes.
` Q. In forming your opinions in your 1264
`declaration, did you rely on any materials that you
`failed to list in paragraphs 11 to 15?
` A. I did not.
` Q. I'm going to do the same thing with the
`1249, so if you could look at the same paragraphs 11
`to 15 in the 1249 declaration.
` A. I have that now.
` Q. Okay. Again, there is the Documents
`Reviewed heading. Do you see that?
` A. I do.
` Q. Are these the same paragraphs that you
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`just looked at in the 1264 declaration? I believe
`they are.
` A. They appear identical, yes.
` Q. Do paragraphs 11 to 15 of your 1249
`accurately reflect all of the documents that you
`considered in forming your opinions for the 1249
`declaration?
` A. They do.
` Q. In forming your opinions in your 1249
`declaration, did you rely on any materials other
`than what you listed in paragraphs 11 to 15?
` A. I did not.
` Q. And if you could pick one of the motion
`to amend declarations. And there is a similar
`heading at paragraphs 12 to 17.
` A. I see that.
` Q. I just want to make sure it had the same
`heading. Do paragraphs 12 to 17 in your motion to
`amend declaration, which is Exhibit 2037, accurately
`reflect all of the documents that you considered in
`forming your opinions in the motion to amend
`declaration?
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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`09:15:14
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` A. It does.
` Q. In forming your opinions in your motion
`to amend declaration, did you rely on any materials,
`other than what you listed in paragraphs 12 through
`17?
` A. I did not.
` Q. Now, comparing the documents reviewed
`from the 1264 and 1249 declarations with the
`documents reviewed in your motion to amend
`declaration, there were some differences. It
`appears that you considered -- well, let me back up.
` The highest IP Bridge Exhibit Number in
`each of your 1264 and 1249 declarations is Exhibit
`2036. In your motion to amend declaration, you also
`list IP Bridge Exhibits 2039, 2040, 2041, and 2042.
`And you list the Patent Owner's motions to amend as
`well.
` And what I'm getting at is, as far as I
`can tell, the only new exhibits that you considered
`for the motion to amend declaration were the
`Exhibits 2039, 2040, 2041 and 2042, and IP Bridge's
`motion to amend, as compared to your other
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`declarations. Is that correct?
` A. If you'll please give me a moment to
`compare it. That is accurate mand it does reflect
`what I reviewed.
` Q. To be clear, IP Bridge Exhibits 2039,
`2040, 2041 and 2042 in the Patent Owner's motion to
`amend are the only additional exhibits you
`considered for the motion to amend declaration, as
`compared to your other declarations?
` A. Without a further extensive examination
`to look, yes.
` Q. So what I'd like to do now is hand you
`several patents that I did not see listed as
`documents reviewed in any of your declarations. And
`I'm going to give them new exhibit numbers, and I'll
`just put a sticker on it.
` MR. FINK: I'm going to object to the
`extent it exceeds the scope of direct.
`BY MR. KABAKOFF:
` Q. What I'm going to do is hand you a patent
`that you haven't listed in your declarations, and I
`want to ask you if you have seen it before, and if
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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`you've formed any opinions about it.
` A. Very well.
` MR. FINK: Can I just have a running
`objection for these exhibits, that they are beyond
`the scope of direct, so I don't have to raise it
`each time?
` MR. KABAKOFF: That's fine. I've handed
`you UK Patent GB 2,298,657. Have you seen this
`Exhibit before?
` A. I have not.
` Q. And this Exhibit, I labelled TSMC Exhibit
`1025.
` (TSMC Exhibit No. 1025 was
` marked for identification.)
`BY MR. KABAKOFF:
` Q. Have you formed any opinions regarding
`TSMC Exhibit 1025 in connection with these IPR
`proceedings for the '324 patent?
` A. I have not.
` (TSMC Exhibit No. 1026 was
` marked for identification.)
`BY MR. KABAKOFF:
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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` Q. I'm handing you U.S. Patent 5,780,908 to
`Sekiguchi, and I've labelled this TSMC Exhibit 1026.
`Have you seen Exhibit 1026, which is the patent to
`Sekiguchi that I handed you?
` A. I have not seen this patent.
` Q. Have you formed any opinions regarding
`Exhibit 1026 in connection with these IPR
`proceedings for the '324 patent?
` A. I have not.
` MR. KABAKOFF: I have five more, just so
`you know.
` (TSMC Exhibit No. 1027 was
` marked for identification.)
`BY MR. KABAKOFF:
` Q. I'm handing you U.S. Patent 5,869,902 to
`Lee. And I've labelled this TSMC Exhibit 1027.
`Have you seen Exhibit 1027, which is U.S. Patent
`5,869,902, before today?
` A. I have not.
` Q. Have you formed any opinions regarding
`Exhibit 1027 in connection with these IPR
`proceedings for the '324 patent?
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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` A. I have not.
` (TSMC Exhibit No. 1028 was
` marked for identification.)
`BY MR. KABAKOFF:
` Q. I'm handing you U.S. Patent 5,882,399 to
`Nagan, and I've labelled this TSMC Exhibit 1028.
`Have you seen U.S. Patent 5,882,399, which is
`Exhibit 1028, before today?
` A. I have not.
` Q. Have you formed any opinions regarding
`Exhibit 1028 in connection with these IPR
`proceedings for the '324 patent?
` A. I have not.
` Q. Next I have U.S. Patent 6,057,237 to
`Ding, et al. And I will label this TSMC Exhibit
`1029.
` (TSMC Exhibit No. 1029 was
` marked for identification.)
`BY MR. KABAKOFF:
` Q. Have you seen U.S. Patent 6,057,237 to
`Ding, which is Exhibit 1029, before today?
` A. I have not.
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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` Q. Have you formed any opinions regarding
`Exhibit 1029 in connection with these IPR
`proceedings for the '324 patent?
` A. I have not.
` (TSMC Exhibit No. 1030 was
` marked for identification.)
`BY MR. KABAKOFF:
` Q. I'm handing you U.S. Patent 6,136,682 to
`Hegde, which I've labelled TSMC Exhibit 1030. Have
`you seen Exhibit 1030, which is U.S. Patent
`6,136,682, before today?
` A. I have not.
` Q. Have you formed any opinions regarding
`Exhibit 1030 in connection with these IPR
`proceedings for the '324 patent?
` A. I have not.
` (TSMC Exhibit No. 1031 was
` marked for identification.)
`BY MR. KABAKOFF:
` Q. Last one. This is U.S. Patent 6,242,804
`to Inoue. I can't pronounce it, but it's I-N-O-U-E.
`I've labelled this TSMC Exhibit 1031. Have you seen
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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`Exhibit 1031, which is Patent 6,242,804, before
`today?
` A. I have not.
` Q. Have you formed any opinions regarding
`Exhibit 1031 in connection with these IPR
`proceedings for the '324 patent?
` A. I have not.
` Q. Did you analyze any invalidity
`contentions for the '324 patent as served on IP
`Bridge by any defendant in the related District
`Court litigation?
` A. I did not.
` Q. Did you analyze any invalidity charts for
`the '324 patent as served on IP Bridge by any
`defendant in the related District Court litigation?
` A. I did not.
` Q. You can put those aside. I'd like to go
`to your motion to amend declaration at paragraph 20.
`Do you have it?
` A. Yes.
` Q. You see in paragraph 20 of your motion to
`amend declaration, you state, "I understand that in
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
`
`May 5, 2017
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`the context of amending claims in an IPR, the burden
`is on the Patent Owner to show patentable
`distinction over the prior art of record and also
`prior art known to the Patent Owner. Do you see
`that?
` A. I do.
` Q. Did you confirm that you considered all
`prior art known to IP Bridge related to the '324
`patent?
` A. I apologize. Could you rephrase the
`question?
` Q. Did you confirm that you considered all
`the prior art that was in the possession of --
`strike that.
` I'm just referring to the language in
`paragraph 20. You said, the burden is on the Patent
`Owner to show patentable distinction over the prior
`art of record and also prior art known to the Patent
`Owner. Did you confirm that you analyzed all the
`prior art that was known to the Patent Owner, IP
`Bridge, in this case?
` A. I did.
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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` Q. How did you confirm that you considered
`all prior art known to IP Bridge relating to the
`'324 patent?
` A. I reviewed the known prior art that was
`supplied to me by the Patent Owner. And then
`confirmed that with them, that this was the prior
`art known to them.
` Q. Would your opinions in your motion to
`amend declaration be incomplete if there was prior
`art that was known to IP Bridge, but not shared with
`you?
` MR. FINK: Objection.
`BY MR. KABAKOFF:
` Q. I'm sorry, for the '324 patent?
` MR. FINK: Objection, requires a legal
`conclusion. Objection, requires speculation.
` THE WITNESS: I don't know if I could
`answer that, because I don't have the legal
`experience to say that -- a true or false answer to
`that question.
`BY MR. KABAKOFF:
` Q. Would you agree, based on paragraph 20 of
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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`your declaration, that you needed to consider all
`the prior art known by IP Bridge?
` A. Known to the Patent Owner.
` Q. Which is IP Bridge?
` A. Yes.
` Q. So if IP Bridge knew of prior art that's
`related to the '324 patent, but didn't share that
`with you, would your opinions be incomplete?
` A. I don't know if I could draw a
`conclusion, based on whether or not they knew if it
`was a complete set of prior art, so I don't know if
`I could honestly answer the question. I don't have
`the experience in the legal area.
` Q. Hypothetically, if there was a claim
`chart that mapped every element of the '324 patent
`claims challenging these IPRs to prior art known to
`IP Bridge, but you never saw those claim charts?
` MR. FINK: Objection.
`BY MR. KABAKOFF:
` Q. Would you agree that your opinions would
`be incomplete, because you did not consider all
`prior art known to the Patent Owner?
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`202-220-4158
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`Page 24 of 254
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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` MR. FINK: Objection, it requires a legal
`conclusion. Objection, beyond the scope of direct.
` THE WITNESS: I'm not in the habit of
`doing hypotheticals in areas that I'm not an expert
`in.
`BY MR. KABAKOFF:
` Q. Are you aware of any invalidity claim
`charts that were known to IP Bridge relating to the
`'324 patent, based on prior art that you did not
`consider?
` A. I'm not aware of any IP claim charts.
` Q. Invalidity claim charts?
` A. I'm not aware of any charts.
` Q. As you expect, we're probably going to
`talk a lot about Zhang and Ding and Sun.
` A. Uh-huh.
` Q. I'm going to give you copies of these
`three references now.
` (TSMC Exhibit No. 1004, 1005, 1007
` were previously marked for
` identification.)
`BY MR. KABAKOFF:
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`202-220-4158
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`www.hendersonlegalservices.com
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`Page 25 of 254
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`Case IPR2016-01264/ IPR2016-01249
`Harris, Ph.D., Harlan R.
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`May 5, 2017
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` Q. So I'm handing you TSMC 1004, which is
`the Zhang patent. And I'll hand you TSMC Exhibit
`1005, which is the Ding patent. And I'm handing you
`Exhibit 1007, which is the Sun reference. And just
`for the record, I'm going to read the full patent
`number and citation, just to be clear what we are
`looking at.
` The Zhang patent is U.S. Patent
`5,893,752, which is Exhibit 1004. The Ding patent
`is U.S. Patent 6,887,353, which is TSMC Exhibit
`1005. And the Sun reference is an article entitled
`Properties of Reactively Sputter-Deposited Ta-N Thin
`Films, which is Exhibit 1007. Are these the same
`Zhang, Ding, and Sun references that you discuss in
`your declarations?
` A. They appear to be.
` Q. And I'll represent that these references
`are all listed in your documents reviewed section of
`your declarations.
` A. Yes.
` Q. If you could turn to paragraph 22 in you