`Tel: 571-272-7822
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`Paper 29
`Entered: May 4, 2015
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`
`TOSHIBA CORPORATION, TOSHIBA AMERICA, INC.,
`TOSHIBA AMERICA ELECTRONIC COMPONENTS, INC.,
`and TOSHIBA AMERICA INFORMATION SYSTEMS, INC.,
`Petitioner,
`
`v.
`
`INTELLECTUAL VENTURES I LLC,
`Patent Owner.
`_______________
`
`Case IPR2014-00113
`Patent 6,058,045
`_______________
`
`
`Before KEVIN F. TURNER, TREVOR M. JEFFERSON,
`and DAVID C. McKONE, Administrative Patent Judges.
`
`JEFFERSON, Administrative Patent Judge.
`
`
`
`
`
`FINAL WRITTEN DECISION
`35 U.S.C. § 318(a) and 37 C.F.R. § 42.73
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`IPR2014-00113
`Patent 6,058,045
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`I. INTRODUCTION
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`A. Background
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`Toshiba Corporation, Toshiba America, Inc., Toshiba America
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`Electronic Components, Inc., and Toshiba America Information Systems,
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`Inc. (collectively, “Petitioner”) filed a Petition (Paper 1, “Pet.”) to institute
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`an inter partes review of claims 1 and 4 of U.S. Patent No. 6,058,045
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`(Ex. 1001, “the ’045 patent”). See 35 U.S.C. § 311. Intellectual Ventures I
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`LLC (“Patent Owner”) filed a Preliminary Response (Paper 10, “Prelim.
`
`Resp.”). Pursuant to 35 U.S.C. § 314, in our Decision to Institute (Paper 13,
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`“Dec.”) we instituted this proceeding as to claims 1 and 4 of the ’045 patent.
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`Patent Owner filed a Patent Owner Response (Paper 20, “PO Resp.”)
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`and Petitioner filed a Reply to the Patent Owner Response (Paper 21,
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`“Reply”). An oral hearing in this matter was held on November 6, 2014
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`(Paper 28, “Tr.”).
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`We have jurisdiction under 35 U.S.C. § 6(c). This is a final written
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`decision under 35 U.S.C. § 318(a) and 37 C.F.R. § 42.73 as to the
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`patentability of the challenged claims. For the reasons that follow, Petitioner
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`has demonstrated by a preponderance of the evidence that claims 1 and 4 of
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`the ’045 patent are unpatentable.
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`B. Related Matters
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`Patent Owner has sued Petitioner for infringement of the ’045 patent
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`in Intellectual Ventures I LLC v. Toshiba Corp., No. 1:13-cv-00453 (D.
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`Del.), filed on March 20, 2013. Pet. 1; Paper 7 (Patent Owner’s Mandatory
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` 2
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`
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`Notices).
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`IPR2014-00113
`Patent 6,058,045
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`C. The ’045 Patent
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`The ’045 patent, titled “Serial Flash Memory,” issued on May 2,
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`2000, and claims the benefit of a provisional application dated September 9,
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`1996. Ex. 1001, at [45], [60], [62]. The ’045 patent discloses a “scaleable
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`flash memory cell structure and method of manufacture that improves data
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`retention, increases capacitive coupling and speed of operation, and
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`improves reliability.” Id. at 2:39–42. “The flash cell of the [’045 patent]
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`permits implementation of arrays of flash memory cells that allow the
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`designer to program and/or erase individual bytes of memory as well as
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`blocks of memory.” Id. at 2:44–46. Figure 4 of the ’045 patent, shown
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`below, provides the exemplary memory array circuit disclosed.
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`
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`Figure 4 depicts “a circuit schematic for an exemplary memory array made
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`of flash cells.” Id. at 3:25–26. The disclosed memory array 400 in Figure 4
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`includes columns of serially connected flash memory cells located at the
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`intersection of bit lines (BL0–BL15) and word lines (WL0–WL15). Id. at
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`6:22–28. Bit select control line (BSL) controls gate terminals of bit select
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`transistors 404, which couple bit lines to memory cells. Id. at 6:30–31.
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`Source select control line (SSL) controls gate terminals for source select
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`transistors 406, which couple ground to memory cells. Id. at 6:31–32.
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`Table 1 of the’045 patent, reproduced below, provides a biasing
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`scheme that discloses voltages that are applied to lines of the array to
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`perform program, read, or erase operations for selected or unselected
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`portions of the array.
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`
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`Id. at 6:37–45. Table 1 provides an example of a biasing scheme for an
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`individual cell, showing voltages applied to various control lines (i.e., Vcc,
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`Vss, etc.), and the desired function (erase, program, or read) for the selected
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`
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`or unselected portions of the array. Id. at 6:48–56.
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`D. Challenged Claims
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`
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`Challenged claims 1 and 4 are reproduced below:
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`1. An array of flash memory cells comprising:
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`a plurality of columns of serially connected flash
`memory cells, each memory cell having a
`gate terminal;
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`a plurality of bit lines respectively coupled to drain
`side of said plurality of columns of memory
`cells via a respective plurality of bit line
`select transistors, said plurality of bit line
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` 4
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`IPR2014-00113
`Patent 6,058,045
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`terminals
`transistors having gate
`select
`coupled to a bit line select control line;
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`a plurality of word lines, each one coupling to a
`gate terminal of one memory cell in each of
`said plurality of columns to from rows of
`memory cells with common gate terminals;
`and
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`a plurality of source select transistors respectively
`coupling a source side of said plurality of
`columns of memory cells to a logic low
`voltage, and having gate terminals coupled
`to a source select control line,
`
`wherein, during programming:
`
`a logic high voltage is applied to said bit line select
`control line to turn on bit line select
`transistors,
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`a logic low voltage is applied to source select
`control
`line
`to
`turn off source select
`transistors;
`
`a logic low voltage is applied to a selected bit line
`while a logic high voltage is applied to
`unselected bit lines, and
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`a logic high voltage is applied to unselected word
`lines, while a boosted positive voltage is
`applied to a selected word line.
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`
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`4. A method of operating a flash memory device
`wherein programming memory cells
`is
`accomplished by the steps of:
`
`applying a logic high voltage to a bit line select
`control line to turn on bit line select
`transistors,
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`applying a logic low voltage to a source select
`control
`line
`to
`turn off source select
`transistors;
`
`applying a logic low voltage to a selected bit line
`while a logic high voltage is applied to
`unselected bit lines, and
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`applying a logic high voltage to unselected word
`lines, while a boosted positive voltage is
`applied to a selected word line.
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`E. The Asserted Ground
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`Petitioner contends that the challenged claims are unpatentable based
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`on the following ground, upon which we instituted (Dec. 14; Pet. 13–29):
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`Basis
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`Claims Challenged
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`35 U.S.C. § 102(b)
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`1 and 4
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`Reference
`Nakai1
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`II. ANALYSIS
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`A. Claim Construction
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`The Board interprets claims of an unexpired patent using the broadest
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`reasonable construction in light of the specification of the patent in which
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`they appear. See 37 C.F.R. § 42.100(b). Claim terms generally are given
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`their ordinary and customary meaning, as would be understood by one of
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`ordinary skill in the art in the context of the entire disclosure. See In re
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`Translogic Tech., Inc., 504 F.3d 1249, 1257 (Fed. Cir. 2007).
`
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`1 U.S. Patent No. 5,297,029, issued on Mar. 22, 1994 (filed on Dec. 18,
`1992) (Ex. 1005, “Nakai”).
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`1. “logic high voltage” (claims 1 and 4)
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`Claims 1 and 4 recite “logic high voltage” as a claim limitation. We
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`preliminarily construed “logic high voltage” as a positive voltage higher
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`than logic low voltage, such as Vcc. Dec. 8.
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`Patent Owner contends that Petitioner’s proposed construction, which
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`we agreed with for purposes of the Decision to Institute, is incorrect.
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`PO Resp. 10–12. Patent Owner contends that, properly construed, “[o]ne of
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`ordinary skill in the art would understand that a ‘logic high voltage’ would
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`be less than or equal to the nominal value of the memory array’s power
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`supply, or what one of skill in the art would recognize as ‘Vcc.’” PO Resp.
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`12 (citing Declaration of Louis J. Morales, Ex. 2001 ¶¶ 25–33, 39;
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`Declaration of John E. Berg, Ex. 2002 ¶¶ 27–32.) Thus, Patent Owner
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`argues, “a proper construction of ‘logic high voltage’ is ‘a positive voltage
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`higher than logic low voltage and less than or equal to the nominal value
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`for Vcc.’” PO Resp. 12.
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`Patent Owner argues that Petitioner’s support for its proposed
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`construction should be given little or no weight because Petitioner’s expert
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`lacks NAND flash memory experience and is not a person of ordinary skill
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`in the art. PO Resp. 10. In addition, Patent Owner contends that Petitioner’s
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`proposed constructions, which define the terms relative to each other—
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`“logic low voltage” < “logic high voltage” < “boosted positive voltage”—
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`result in imprecise terms without clear demarcations between the various
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`claimed voltages. PO Resp. 10–11 (citing Ex. 2002 ¶¶ 27–30).
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`Patent Owner supports its proposed construction by arguing that it
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`was common in the art for “the memory devices disclosed in the ’045 patent
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`(and also in Nakai) [to] have a nominal power supply that is referred to as
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`‘Vcc.’” PO Resp. 13 (citing Ex. 2001 ¶¶ 24–33, 39; Ex. 2002 ¶¶ 21–23).
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`Patent Owner argues that because a boosted positive voltage is higher than
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`nominal power supply voltage Vcc, the nominal power supply voltage
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`provides “the only principled and precise dividing line between a logic high
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`voltage, and the higher voltages that are boosted over Vcc.” Id. The only
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`support Patent Owner cites from the ’045 patent is found in Table 1, which
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`shows a “logic high voltage” that is not higher than power supply voltage
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`Vcc. PO Resp. 13 (citing Ex. 1001, Table 1).
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`We disagree with Patent Owner’s contention that “logic high voltage”
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`is limited by the nominal power supply voltage Vcc. Claims 1 and 4 recite
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`voltages in relative terms to each other, using the terms “logic high voltage”
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`and “logic low voltage” that do not appear in the written description of the
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`’045 patent and only appear in the claims. See generally Ex. 1001.
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`Although Table 1 of the ’045 patent contains references to Vcc, neither the
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`claims nor the specification indicate that the written description limits logic
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`high voltage to Vcc.2 Indeed, we do not find that the entries in Table 1 or
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`any other portion of the ’045 patent written description show a clear
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`intention to limit the scope of logic high voltage in claims 1 and 4 to Vcc.
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`2 The Federal Circuit has stated that “while the specification [should be
`used] to interpret the meaning of a claim, courts must not import[]
`limitations from the specification into the claim.” In re Trans Texas
`Holdings Corp., 498 F.3d 1290, 1299 (Fed. Cir. 2007) (alterations in
`original) (citations omitted). The scope of a claim is restricted to a disclosed
`embodiment only when “the patentee has demonstrated a clear intention to
`limit the claim scope using words or expressions of manifest exclusion or
`restriction.” Liebel-Flarsheim Co. v. Medrad, Inc., 358 F.3d 898, 906
`(Fed. Cir. 2004).
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`Patent Owner’s proffered testimony that refers to the common understanding
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`of Vcc as “the primary positive supply voltage to an IC” (Ex. 2001 ¶ 25)
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`neither provides an explicit definition for the term “logic high voltage,” nor
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`expressly limits the term “logic high voltage” to Vcc. Accordingly, we
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`disagree with Patent Owner’s conclusion that the term “logic high voltage”
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`is linked intrinsically to Vcc such that it should be capped by Vcc.
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`See Tr. 30:24–25 (“the term logic high voltage is linked [ ] intrinsically to
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`Vcc”), 35:13 (“intrinsically linked to Vcc”).
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`We also agree with Petitioner (Reply 7–8) that Patent Owner’s claim
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`construction arguments and testimony overlook the requisite standard of the
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`broadest reasonable construction in light of the specification of the patent
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`(see 37 C.F.R. § 42.100(b)), in an attempt to narrow the construction of
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`“logic high voltage” to be nominally equal to or lower than Vcc (PO Resp.
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`12; Ex. 2001 ¶ 32). The intrinsic evidence in the ’045 patent does not
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`support limiting the “logic high voltage” to Vcc, as it expressly states that
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`programming voltages may vary. Ex. 1001, 6:53–55 (describing voltage as
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`“about Vcc”).
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`Claim terms generally are given their ordinary and customary
`
`meaning, as would be understood by one of ordinary skill in the art in the
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`context of the entire disclosure. See In re Translogic Tech., Inc., 504 F.3d at
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`1257. We are unpersuaded, however, by Patent Owner’s arguments (PO
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`Resp. 12; Tr. 34:6–19) that seek to limit “logic high voltage” to unclaimed
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`power supplies and their supply voltages that are neither disclosed in the
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`specification nor recited in the claims.
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`We also are unpersuaded by Patent Owner’s arguments that a
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`construction of “logic high voltage” that is not limited to Vcc lacks a
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` 9
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`practical dividing line or reasonable boundaries. PO Resp. 13; see Ex. 2001
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`¶¶ 31, 39; Ex. 2002 ¶¶ 27, 28. Patent Owner has provided insufficient
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`argument and evidence that a person of ordinary skill in the art would
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`understand the term “logic high voltage” to be limited by Vcc in the context
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`of the ’045 patent. For example, Patent Owner points to no industry
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`standard for flash memory devices and power supplies, other than
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`unsupported testimony of a common understanding regarding Vcc and
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`nominal power supplies. Ex. 2001 ¶¶ 31, 39; Ex. 2002 ¶¶ 27, 28.
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`Patent Owner’s arguments that Petitioner’s expert lacks NAND flash
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`memory experience and is not a person of ordinary skill in the art are also
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`unavailing. PO Resp. 10. Patent Owner’s experts opined that a person of
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`ordinary skill in the art would have at least 3 years of flash memory
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`experience. Ex. 2001 ¶17; Ex. 2002 ¶ 19. We agree with Petitioner that its
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`expert, Robert J. Murphy, has sufficient experience to meet the requirements
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`of a person of ordinary skill in the art. Reply 4 (citing Deposition of Robert
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`J. Murphy, Ex. 2003, 113:2–13, 114:11–117:6; 118:9–119:3). Indeed, we
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`agree with Mr. Murphy’s declaration on the proposed construction of “logic
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`high voltage” based on the specification of the ’045 patent. Ex. 1006 ¶ 17.
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`Finally, we find that Petitioner’s proposed construction is consistent
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`with the specification that states that voltage Vcc is applied to bit select
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`control line (BSL), the unselected bit line, and the unselected word line
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`during programming. See Ex. 1001, 6:37–45, 7:26–40; Ex. 1006 ¶ 17. We
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`determine that the broadest reasonable construction of “logic high voltage”
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`is a positive voltage higher than the logic low voltage, such as Vcc.3
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`2. Remaining Claim Terms
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`Patent Owner does not contest the claim constructions for the terms
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`“logic low voltage” (claims 1 and 4); “boosted positive voltage” (claims 1
`
`and 4); “selected bit line” and “unselected bit line” (claims 1 and 4); and
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`“selected word line” and “unselected word line” (claims 1 and 4). In the
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`Decision to Institute, we applied the broadest reasonable claim interpretation
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`and interpreted the undisputed claim terms as follows (Dec. 7–9):
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`Claim Term
`
`Construction
`
`“logic low voltage”
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`“a low voltage, such as ground or Vss”
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`“boosted positive voltage.”
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`“a positive voltage higher than [the] logic
`high voltage”4
`
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`3 Petitioner notes that the Board adopted Petitioner’s proposed construction
`for purposes of the Decision to Institute, but omitted the word “the” in the
`constructions for “logic high voltage” and “boosted positive voltage.”
`Reply 5; Dec. 7–9. As Patent Owner notes, the missing word (“the”) was
`not a “material change” to Petitioner’s proposed constructions. PO Resp. 7.
`In this Final Decision, our construction for “logic high voltage” inserts the
`word “the” into the construction, but does not alter our determination in our
`Decision to Institute or change our interpretation of the claim term.
`4 As Patent Owner notes, the missing word (“the”) was not a “material
`change” to Petitioner’s proposed constructions, which we adopted in our
`Decision to Institute. PO Resp. 7; see Dec. 7–8. Our use of the word “the”
`in the construction for “boosted positive voltage” in this Final Decision does
`not alter our determination in our Decision to Institute or change our
`interpretation of the claim term.
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`Claim Term
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`“selected bit line”
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`“unselected bit line”
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`“selected word line”
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`“unselected word line”
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`
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`Construction
`“the bit line connected to the column of
`memory cells containing the memory cell
`to be operated on”
`“the bit line connected to the column of
`memory cells containing the memory cell
`to be operated on”
`“the word line connected to the row of
`memory cells containing the memory cell
`to be operated on”
`“the word line connected to the row of
`memory cells containing the memory cell
`to be operated on”
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`After considering all of the evidence now before us, we maintain these
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`constructions for purposes of this Decision.
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`B. Asserted Grounds of Unpatentability
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`1. Anticipation by Nakai
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`Petitioner contends that Nakai anticipates claims 1 and 4. Pet. 13–16.
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`Petitioner relies on the Declaration of Robert J. Murphy (Ex. 1006)
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`(“Murphy Declaration”) and provides detailed claim charts showing the
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`claim limitations and the corresponding disclosure in Nakai (Pet. 17–29).
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`For the reasons set forth below, Petitioner has shown by a preponderance of
`
`the evidence that Nakai discloses each limitation of claims 1 and 4.
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`a. Nakai (Ex. 1005) Overview
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`Nakai describes a semiconductor memory device that is a NAND type
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`EEPROM arranged as an array. Ex. 1005, 1:20–26, Figs. 22(a), 25(a), 26.
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`Nakai describes selecting a programmable memory cell within the array for
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`read, write, and erase operations. Id. at 1:10–15, 1:46, 2:10. Figure 22(a),
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`shown below, illustrates the structure of the array memory cells. Id. at 1:20–
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`23, 6:65–66.
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`“Fig[ure] 22(a) shows the structure of two NAND bundles each having eight
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`memory cells MC of a floating gate structure and connected between a bit
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`line and a source.” Id. at 1:2–23. Figure 22(a) shows select lines (SL), word
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`lines (WL), bit lines (BL), and memory cells (MC). By setting select
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`voltages to high or low levels at select lines and word lines, data in the
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`selected memory cell can be read. Id. at 1:24–45.
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`Similarly, Figures 23(a)–(c), shown below, depict a write operation
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`for the memory cells of Figure 22(a). Id. at 1:46–47, 6:67–68.
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`Figures 23(a)–(c) show a high voltage Vpp of about 20 V applied to a row to
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`select a gate (Fig. 23(b) and (c) showing VPP) and intermediate voltage VPI
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`of above 10 V applied to the remaining seven memory cells for unselected
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`gates. Id. at 1:46–52. When the bit lines are set to specified voltages, write
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`operations are performed at the selected write line (see Fig. 23(b) showing
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`write cell at 0 V) and write operations are not performed at the non-write
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`cells (see Fig. 23(c) showing non-write cell at VDP).
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`Figure 25(a), reproduced below, shows the operation mode of a
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`NAND structure semiconductor memory. Id. at 2:24–26.
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`Figure 25(a) shows the semiconductor memory array laid out in bundles
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`where “bit lines are laid out in the column direction, and 128 NAND bundles
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`[equaling] 1024 word lines are laid out in the row direction.” Id. at 2:25–31.
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`b. Anticipation of Claims 1 and 4
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`We find that Nakai discloses the “flash memory” limitations of claims
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`1 and 4 (Pet 17 (citing Ex. 1006 ¶ 22)) and that Figure 4 of the ’045 patent
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`and Figure 22(a) of Nakai are the same, showing an array configuration of
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`gates or cells with select, bit, and word lines (Pet. 14). We also agree with
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`Petitioner that the programming voltages described in Figure 23(a) of Nakai
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`are the same selected and unselected lines and voltages recited in the
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`“programming” limitations of claims 1 and 4. Pet. 14–15. We also agree
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`with Petitioner that one of ordinary skill in the art would understand Nakai
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`to disclose applying a logic low voltage to a selected bit line as recited in
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`claims 1 and 4 (“a logic low voltage is applied to a selected bit line while a
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`logic high voltage is applied to unselected bit lines”). Pet. 15, 16, 21, 23.
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`Similarly, we find that Nakai discloses that “a logic high voltage is applied
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`to unselected word lines, while a boosted positive voltage is applied to a
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`selected word line” in the write operation described and shown in Figure
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`23(a). Pet. 27–28; Ex. 1005, 1:45–2:9.
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`Patent Owner’s primary argument is that under a proper construction
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`of “logic high voltage” that is bounded as higher than logic low voltage and
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`less than or equal to the nominal value for Vcc, Nakai fails to anticipate
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`because it applies a programming scheme that uses “boosted positive
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`voltage” where claims 1 and 4 require “logic high voltage.” PO Resp. 12
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`(providing proposed construction), 17 (applying construction to Nakai).
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`Because we rejected Patent Owner’s limiting construction in Section II.A.1.,
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`we are not persuaded that Nakai fails to disclose a logic high voltage and a
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`boosted positive voltage as recited in claims 1 and 4 and construed in
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`Section II.A.1. Instead, under our construction for “logic high voltage,”
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`which does not provide Vcc as an upper limit, we find that the programming
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`voltages disclosed in Nakai (Ex. 1005 1:47–50, 1:53–57, 2:3, Fig. 23(a))
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`provide relative voltages that correspond to the claimed logic high voltage,
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`logic low voltage, and boosted positive voltage. See Pet. 16 (table
`
`summarizing Nakai programming voltages).
`
`We do not agree with Patent Owner’s arguments that the advantages
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`of the ’045 patent’s programming scheme over the Nakai programming
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`scheme is material to the application of “logic high voltage” as claimed to
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`Nakai. PO Resp. 22. Patent Owner’s argument that ’045 patent
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`programming scheme reduces the need for charge pumps or other the on-
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`chip circuitry (PO Resp. 22–23) relies on features and functions that are
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`beyond the scope of claims 1 and 4 and the written description that supports
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`those claims. The ’045 patent claims do not recite, and the written
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`description does not limit, the voltage sources used to provide the claimed
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`voltages.
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`Although Patent Owner states in a footnote that Nakai would not
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`anticipate the limitations of claims 1 and 4 even if the Board does not adopt
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`Patent Owner’s proposed construction for “logic high voltage,” Patent
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`Owner’s argument incorrectly assumes that the Board’s construction limits
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`logic high voltage to Vcc. PO Resp. 22 n.7. Under the Board’s
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`construction, Vcc is provided as an exemplary voltage and does not limit the
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`upper boundary under the broadest reasonable interpretation of “logic high
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`voltage” to Vcc.
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`In sum, we have considered the evidence and argument presented by
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`Petitioner and Patent Owner. We are persuaded that Petitioner’s evidence
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`and argument show that Nakai anticipates the limitations of claims 1 and 4.
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`Accordingly, we conclude that Petitioner has proven by a preponderance of
`
`the evidence that claims 1 and 4 are anticipated by Nakai.
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`III. CONCLUSION
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`Petitioner has demonstrated by a preponderance of the evidence that
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`claims 1 and 4 of the ’045 patent are unpatentable based on 35 U.S.C.
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`§ 102(b) as anticipated by Nakai.
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`IV. ORDER
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`For the reasons given, it is
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`ORDERED that, based on a preponderance of the evidence, claims 1
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`and 4 of U.S. Patent No. 6,058,045 are held unpatentable; and
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`FURTHER ORDERED, because this is a final written decision, the
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`parties to this proceeding seeking judicial review of our Decision must
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`comply with the notice and service requirements of 37 C.F.R. § 90.2.
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`17
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`IPR2014-00113
`Patent 6,058,045
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`PETITIONER:
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`Alan A. Limbach
`Gerald T. Sekimura
`DLA PIPER LLP (US)
`alan.limbach@dlapiper.com
`gerald.sekimura@dlapiper.com
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`PATENT OWNER:
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`Robert Greene Sterne
`Jon E. Wright
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`rsterne-PTAB@skgf.com
`jwright-PTAB@skgf.com
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`18
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