`_________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________
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`SAMSUNG ELECTRONICS CO., LTD.
`Petitioner,
`
`v.
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`PROMOS TECHNOLOGIES, INC.,
`Patent Owner
`_________________
`
`CASE IPR2017-01412 (Patent 6,069,507)
`CASE IPR2017-01413 (Patent 6,069,507)
`_________________
`
`Record of Oral Hearing
`Held: June 21, 2018
`_________________
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`Before JAMESON LEE, KEVIN F. TURNER, and JOHN A. HUDALLA,
`Administrative Patent Judges.
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`CASE IPR2017-01412 (Patent 6,069,507)
`CASE IPR2017-01413 (Patent 6,069,507)
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` APPEARANCES:
`
` ON BEHALF OF THE PETITIONER:
` PAUL ANDERSON, ESQ.
` CHETAN R. BANSAL, ESQ.
` Paul Hastings, LLP
` 875 15th Street, Northwest
` Washington, D.C. 20005
` (202) 551-1948
`
` ON BEHALF OF THE PATENT OWNER:
` KEVIN JONES, ESQ.
` TECHKNOWLEDGE LAW GROUP, LLP
` 100 Marine Parkway, Suite 200
` Redwood Shores, California 94065
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`The above-entitled matter came on for hearing on June 21, 2018,
`commencing at 1:03 p.m., at the U.S. Patent and Trademark Office, Madison
`Building, 600 Dulany Street, Alexandria, Virginia 22314.
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`CASE IPR2017-01412 (Patent 6,069,507)
`CASE IPR2017-01413 (Patent 6,069,507)
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`P R O C E E D I N G S
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` JUDGE LEE: Good afternoon. Please be seated. We'll
` wait a moment until Judge Turner comes on the screen from our San
` Jose office.
` Good afternoon. This is the oral argument -- a
` consolidated oral argument for two cases: IPR2017-01412 and
` 2017-01413. Both sides -- each side would get 45 minutes of
` argument time, and the petitioner may reserve some of that for
` rebuttal.
` Let's now go to introduction of counsel, beginning with
` Petitioner, followed by Patent Owner, please.
` MR. ANDERSON: Good afternoon, Your Honor. Paul
` Anderson on behalf of Petitioner Samsung. With me is Chetan
` Bansal.
` JUDGE LEE: Anderson?
` MR. ANDERSON: Anderson.
` JUDGE LEE: I see. Thank you.
` MR. JONES: Good afternoon, Your Honors. Kevin Jones
` from the TechKnowledge Law Group, and lead counsel Greg Kaufman,
` also of TechKnowledge --
` JUDGE LEE: Thank you.
` MR. JONES: -- on behalf of Patent Owner, ProMOS.
` JUDGE LEE: Any time you're ready, Mr. Anderson, you can
` begin.
` MR. ANDERSON: Can I approach with a copy of the slides?
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`CASE IPR2017-01412 (Patent 6,069,507)
`CASE IPR2017-01413 (Patent 6,069,507)
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` JUDGE LEE: Thank you.
` MR. ANDERSON: If I could, I'd like to reserve 15
` minutes for rebuttal.
` JUDGE LEE: Okay. I'll give you a two-minute warning.
` MR. ANDERSON: Appreciate it.
` Good afternoon, Your Honors. Good morning, Judge
` Turner. I'm here representing Petitioner Samsung in the two IPR
` proceedings concerning patent 6,069,507. The Board initially
` instituted proceedings on with respect to claims 13 and 15 in both
` of the IPR proceedings. Following the SAS decision by the Supreme
` Court, the decision was modified to further include claims 10 and
` 11.
` If we could turn to slide 2, please. There are three
` grounds at issue in the two petitions or the two IPRs. In the
` 01412 proceeding, the two grounds are claims 10 and 11, as
` obvious over Donnelly and Iwamoto; claims 13 and 15, as
` anticipated by Jefferson. In 01413, it's all of claims 10, 11, 13
` and 15 as anticipated by Kim.
` With respect to all of these grounds, Patent Owner does
` not dispute that all of the claims are either anticipated or
` rendered obvious when the plain and ordinary meaning of the plain
` terms is applied. The dispute here is over the construction of
` two claim terms: One term in claim 10 and one term in claim 13.
` I'm going to start with claim 13 before moving on to
` claim 10 later. If you could turn to slide 3, please.
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`CASE IPR2017-01412 (Patent 6,069,507)
`CASE IPR2017-01413 (Patent 6,069,507)
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` Claim 13 is a method claim that includes two steps. The
` first step is determining whether a feedback clock signal in a DLL
` follows within a 180-degree phase difference behind an input clock
` signal. The second step in claim 13 is selecting a switch
` position according to that determining step or selecting a switch
` position includes selecting a first switch position when the
` feedback clock signal is found to follow behind the input clock
` signal within 180 degrees.
` If we could turn to slide 4. Slide 4 shows figure 2 of
` the '507 patent, and it's a little bit small, but if you look to
` the upper right of figure 2, you'll see a phase detector 12, and
` that's the first phase detector in the circuit, figure 2. On the
` bottom left, there's another phase detector. The second phase
` detector 30, and phase detector 30 receives an input clock signal,
` CKI from the top, and a feedback clock signal, CKF from the
` bottom.
` Second phase detector 30 makes a determination as to
` whether or not the feedback clock signal, CKF, follows within 180
` degrees behind CKI. And based on that determination, it controls
` the switch, 28, where switch 28 has two switch positions: Position
` 1 selects the non-inverted version of the input clock signal to
` provide that to the delay line whereas switch position 2 selects
` an inverted version of that input clock signal. And that inverted
` version is generated by inverter 26.
` If we could jump ahead to slide 13 really quickly.
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`CASE IPR2017-01412 (Patent 6,069,507)
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` Slide 13 shows claim 1 of the '507 patent. Claim 1 is not a claim
` that's at issue in these IPR proceedings, but I think it's
` illustrious -- illustrative in terms of how the various features
` that are displayed in figure 2 of the '507 patent can be recited
` in a claim.
` And if you look at claim 1, it's a digital delay lock
` loop. It includes a first phase difference detector, and that was
` the phase detector 10 in the upper right -- or 12, pardon me, a
` second phase difference detector, which was -- which corresponds
` to the phase detector 30 in the lower left of figure 2. It
` recites the inverter that inverts the input clock signal, and it
` also recites the switch, 28, where the switch is controlled by the
` second phase difference detector for switching between the input
` clock signal and the inverted input clock signal in accordance
` with the second phase difference to provide the clock signal to
` the first phase difference detector.
` If we could jump back to slide 4. If you contrast claim
` 1 with what claim 13 recites, it's apparent that the drafter of
` claim 13 intended claim 13 to be very broad. Claim 13 simply
` recites the determination step where the determination is made as
` to the relationship between the feedback clock signal and the
` input clock signal. And then it -- based on that determination, a
` switch position is selected. And the selecting a switch position
` step within claim 13 is very limited in what it recites. It
` simply says that, if the condition of the feedback clock signal
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`CASE IPR2017-01412 (Patent 6,069,507)
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` following within 180 degrees behind the input clock signal is met,
` you select switch position 1. It doesn't indicate that you select
` a particular clock signal. It doesn't indicate what happens if
` the condition is not met such that the feedback clock signal
` doesn't follow within 180 degrees. The drafter of claim 13
` intended it to be very broad.
` If we could skip to slide 6, please. In the petitions,
` Patent Owner demonstrated that, under the plain and ordinary
` meaning of the terms within claim 13, the prior art disclosed
` these features. Notably, claim one was not challenged. Claim 13
` was. Patent Owner -- or sorry, Petitioner demonstrated that the
` Jefferson reference, performed the two steps that are recited in
` claim 13 -- and I'll be very brief -- as shown in slide 6, the
` flip-flop FF 2 at the bottom of figure 3-A of Jefferson performs
` the determining step. The reference clock corresponds to the
` input clock, and it's used to clock in the feedback clock signal
` that's applied at the D input of that flip-flop.
` Based on the sampling that that reference clock
` performs, a determination is made as to whether or not the
` feedback clock signal follows within 180 degrees. The output of
` that flip-flop, which is the determined step or the result of the
` determining step, is provided to logic block 188 in figure 3-A and
` the little excerpt from Jefferson on the right shows that
` Jefferson discloses that that logic block 188 can be implemented
` with an exclusive OR gate.
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` If we could turn to slide 7. Slide 7 shows figure 3-A
` of Jefferson annotated to replace that logic block with an
` exclusive OR gate. The output of the flip-flop, FF 2, is provided
` on the lower input of the exclusive OR gate. And based on whether
` or not the feedback clock signal follows within 180 degrees, the
` input bead of the exclusive OR gate will control the exclusive OR
` gate such that it either outputs the other input in its true form;
` namely, A, or the other input in its complement form, A-barred.
` And as shown below in the representations that show how
` the exclusive OR gate functions as a switch, you can see that,
` when B is zero, the true value of A is output. And when B is 1,
` the complement is output.
` JUDGE LEE: Mr. Anderson, I think we understand the
` presentation in the petition, but the issue raised by Patent Owner
` is that none of the outputs of these flip-flops represent the
` clock signal and the inverted clock signal. So that's what I'm
` concerned about right now.
` MR. ANDERSON: Okay.
` JUDGE LEE: Can you -- I understand it's your position
` that the two steps of the claim do not require the -- anything
` about the input clock or the inverted clock based on the
` determination of the comparator.
` MR. ANDERSON: Correct. And this case turns completely
` on claim construction.
` JUDGE LEE: But can you explain why, then, did the
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` examiner -- at least in one of the office actions -- say, The
` following is an examiner's statement for reasons for allowance.
` And then some language. And then, “More specifically, none of the
` prior art suggests nor teaches a switch controlled by the second
` phase detector for switching between the non-inverting input clock
` signal and the inverting input clock signal in accordance with the
` second phase detector to provide one of the said signals to the
` first phase detector.”
` MR. ANDERSON: My recollection is that that particular
` statement by the examiner was specific to claim 1, which
` explicitly recites those limitations.
` JUDGE LEE: Actually, it says -- right before that, it
` says, 1, 9, 16. If we look at the state of the claims at that
` time, we will see that it's actually claim 18 that would have that
` limitation.
` MR. ANDERSON: And if I recall correctly, claim 18
` eventually issues as claim 16. And claim 9 has nothing about
` selecting the switch position, and I believe claim 1 is the only
` claim that recites specifically selecting between a first input
` clock signal and a second input clock signal.
` Original claim 15, I believe, recited -- let me pull it
` up so I'm sure. And this is at Exhibit 1004, pages 26 to 27.
` Original claim 9 recited, "Maintaining further comprises selecting
` an inverted input clock signal as the input signal when the
` determined phase difference is greater than approximately 180
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` degrees."
` So claim 9 modified claim 8, which was independent. And
` claim 8 actually doesn't -- it does. It has "delaying the input
` clock signal to compensate for the phase difference."
` So the specific claims that the examiner points to
` include something akin to a selection between two clock signals.
` Claim 1 specifically recites it. Claim 9 recites selecting the
` inverted clock signal when it's further than 180 degrees out. And
` claim 18 also indicates the second switch position selects the
` inverted clock signal.
` So I wouldn't dispute that the examiner saw that switch
` position selecting between two clock signals in those claims, but
` that's clearly not the case in claim 13. And if you look at
` original claim -- well, it's actually a combination of 14 and 15
` that resulted in 13 -- it's limited to only selecting a first
` switch position according to the determining step. Claim 14 as
` issued, what was original claim 16, indicates that that first
` switch position corresponds to the input clock signal, the
` non-inverted version.
` Original claim 17 is the first place where you find out
` what happens if the condition isn't met, and that indicates the
` second switch position is selected. And notably, original claim
` 17, which issued as claim 15, doesn't depend from claim 14. It
` goes back to 13.
` So it --
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` JUDGE LEE: I'm trying -- what I'm trying to get at is
` why did the examiner allow the claim that issued as claim 13?
` That's what I'm really driving at. Do we know?
` MR. ANDERSON: I don't think it's clear from the
` prosecution history. There's not a plain statement from the
` examiner. The applicant at the time didn't argue that any of the
` limitations were not disclosed in the prior art. The file
` wrapper, what it provides is an initial rejection by the examiner,
` indicating that the maintaining feature, which is the topic we'll
` talk about with respect to claim 10, was not disclosed in the one
` prior art reference that was cited but was obvious in light of
` that prior art reference.
` And then the examiner indicated that there was a great
` deal of allowable subject matter. And in response to that office
` action, Applicant simply rolled all the dependent claims into
` the -- or all the independent claims into the dependents that the
` examiner indicated allowed -- included allowed --
` JUDGE LEE: Which application claim ended up as claim 13
` in the patent?
` MR. ANDERSON: Application -- a combination of claims 14
` and 15.
` JUDGE LEE: Okay. So the examiner does make a
` statement, claims 2 to 7, 9 to 13, and 16 to 18, but later on,
` there was, like, an interview, and that 16 should have been 15.
` So the examiner said 15 to 18 would have been allowable if
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` rewritten to overcome the indefiniteness rejection and to include
` all the limitations of the base claim and any intervening claims.
` MR. ANDERSON: Yes.
` JUDGE LEE: So perhaps that's why the applicant rewrote
` 15 and 14 all into an independent form.
` MR. ANDERSON: I believe so. And I think part of it
` also is 14 had an indefiniteness rejection with respect to one of
` the features in claim 14, and they deleted that feature.
` JUDGE LEE: I see. But still -- but we don't know why
` the examiner allowed 15 and 14.
` MR. ANDERSON: I think he indicated initially they had
` allowable subject matter on them, yes.
` JUDGE LEE: But there's, like, nothing like, I'm
` allowing it because it had this feature.
` MR. ANDERSON: No. And if you look at the notice of
` allowance, I mean, the indication there is that, you know, claim
` 15 was allowed because it includes maintaining the phase
` difference between the feedback clock signal and the input clock
` signal within 180 degrees, which is a feature that's not recited
` in that claim. It's recited in some other claims.
` JUDGE LEE: I see. So the examiner never said, with
` respect to patent claim 13, that he thought it had the clock and
` inverted clock feature in it.
` MR. ANDERSON: I don't believe that's in the file
` wrapper or would be evident from the file wrapper.
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` And, again, it's hard to ascertain exactly what the
` patent -- or what the examiner was thinking, but what's clear is
` Applicant didn't make any representations in the file history, and
` Applicant made no representations in the specification that the
` plain and ordinary meaning of selecting a switch position should
` be anything other than it is. I mean, the law is clear that,
` absent some clear disclaimer or lexicography on the part of the
` applicant, the plain and ordinary meaning should apply. And
` Patent Owner can't point to anything in the file history or the
` specification that would justify a deviation from the plain and
` ordinary meaning of selecting a switch position.
` And I think claim 1 really highlights that the drafter
` of the claims knew how to recite selecting between a
` non-inverting -- a non-inverted and an inverted clock signal.
` That is clearly not in claim 13. And even the dependent claims
` that come off of claim 13 are not as explicit or as limiting as
` what's in claim 1.
` JUDGE LEE: I think the Patent Owner has an indirect
` argument that goes something like, The examiner indicated in the
` final notice of allowance that none of the prior art shows the
` maintaining limitation. And the Patent Owner says, Well, you have
` to read in my clock and inverting clock requirement because that
` is how I -- claim 13 would achieve the maintaining requirement.
` MR. ANDERSON: I understand that's the position they
` have taken. I don't think you can ascertain that from the
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` prosecution history. There has to be some clear disclaimer in the
` prosecution history that would indicate that that's the position
` Patent Owner believed at the time.
` And I think, more importantly, it's not even clear as to
` how the examiner was viewing these claim terms in terms of the
` definition the examiner would have applied to these. So whereas
` Patent Owner believes certain constructions are appropriate for
` these terms, the constructions that they're putting forth are
` nowhere in the prosecution history. While the examiner might have
` believed there was something in these claim terms that warranted
` allowance of the claims, it's not clear that the specific language
` that the Patent Owner is trying to import into these claims is
` what the examiner had in mind.
` JUDGE LEE: Where is the maintaining limitation in claim
` 13?
` MR. ANDERSON: I don't believe it's in claim 13.
` JUDGE LEE: But, yet, the examiner said in the notice of
` allowance, for all claims, that none of the art includes the
` maintaining limitation. So how -- how do you explain that?
` MR. ANDERSON: My -- it's unclear, but my best
` explanation is, if you go back to the office action, the only
` feature that the examiner found was not recited in the prior art
` reference to -- he asserted the Butcher reference -- was the
` maintaining feature.
` And based on that, he rejected some of the original
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` claims. And when Patent Owner modified the pending claims in a
` way that satisfied the examiner's request in terms of putting
` allowable subject matter into the independent claims that were
` rejected -- specifically claim 8 was rejected -- it included the
` maintaining step -- that satisfied the examiner. And when he
` issued the notice of allowance, he indicated that the maintaining
` step has been -- as in the claims being allowed is not disclosed
` in the prior art. That's -- I think it's plausible.
` And if you look --
` JUDGE LEE: But that's incorrect, though. They didn't
` add the maintaining limitation into what became claim 13.
` MR. ANDERSON: I agree. The one thing that I think
` might provide a clue as to the examiner's thinking is if you look
` at pending claim 8 at the time, this was a claim that was rejected
` based on Butcher, and it included the maintaining step in its core
` form. Right? Simply maintaining the feedback clock signal within
` 180 degrees of the input clock signal.
` The examiner indicated that that claim was not
` allowable. It was rejected over Butcher. But the examiner
` indicated that claims 9 and 11, which specifically modified that
` maintaining step and put more oomph behind it, were allowable
` claims that included allowable subject matter. Both of those
` claims include additional aspects of the maintaining limitation
` and claim 11, of course, is the one that eventually issued as
` claim 10 that we'll look at in a short while, and it specifies
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` that the maintaining is performed using a loop that includes a
` phase detector, a shift register, and a delay line. Similarly,
` claim 9 included, as we discussed earlier, the fact that the
` inverted clock signal is selected when it doesn't follow within
` 180 degrees.
` So those -- it could be that the examiner is referring
` to the maintaining step in the shorthand, in the sense that claim
` 11 or claim 8 originally only recited maintaining, and now that
` the maintaining step has been fleshed out more through the
` addition of the matter that's in the dependent claims, that
` maintaining was not disclosed in Butcher.
` JUDGE LEE: I see. So -- in either case, it's not
` entirely clear, whatever we think.
` MR. ANDERSON: I agree. And I think what the take-away
` from this is, because the prosecution history is not clear and
` because the applicant did not make any overt statements in the
` prosecution history that says, Hey, we agree, the prior art
` doesn't disclose this maintaining feature for this reason, or the
` maintaining feature means this, and it's not disclosed in the
` prior art, Applicant at the time did nothing other than fold
` independent claims into dependent claims in order to get them
` allowed. There's no clear statement that would justify the
` deviation from the plain and ordinary meaning.
` JUDGE LEE: What about -- we said at DI that the
` maintaining limitation was added to overcome prior art, and I
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` think in your reply, you said that's not true. The maintaining
` limitation was always there in the independent claim; right? And
` then what happened was they just rewrote some of the dependent
` claims into independent form. So it is not the case that the
` maintaining limitation was added to overcome art; is that right?
` MR. ANDERSON: That's correct. I mean, I can understand
` how, looking at the file wrapper, you might have an initial
` perception that this maintaining feature was added, but, in fact,
` specifically with respect to the claim that issued as claim 10,
` which was pending claim 11, it depended from claim 8. Claim 8
` recited that feature -- independent claim 8 recited that feature
` so that when the examiner indicated claim 11 had allowable subject
` matter in it, it's sort of the inverse of adding the dependent
` claim feature to the independent claim. Instead, they took all
` the features from the independent claim and merged them into the
` dependent claim.
` JUDGE LEE: I see. So that made the dependent claim
` allowable by including the limitation from the independent claim.
` MR. ANDERSON: Correct, which was already part of the
` dependent claim.
` JUDGE LEE: So it is not the case that there was no
` maintaining limitation anywhere and then they added it to get some
` claims allowed.
` MR. ANDERSON: Correct. None of the claims were amended
` in a way that added subject matter to the claims. In fact, the
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` one claim we discussed earlier that issued as claim 15, a feature
` was removed from that claim because it was found to be indefinite
` by the examiner. So nothing was added to the claims between the
` office action and the notice of allowance.
` JUDGE LEE: Do you want to get into claim 10?
` MR. ANDERSON: Sure. Shifting over to claim 10. So if
` you could please turn to slide 14. Technical difficulties. We
` apologize. I know you guys have a hard copy.
` Judge Turner, do you have a hard -- do you have a copy
` of the slides?
` JUDGE TURNER: I do.
` MR. ANDERSON: Okay. Thank you.
` So looking at slide 14, this has got claim 10 on it.
` And claim 10, again, is a method claim. It has a few steps in it.
` First, there's a determination as to the phase difference between
` an input clock signal and a feedback clock signal. Then there's
` the maintaining the phase difference between the input clock
` signal and the feedback clock signal within approximately 180
` degrees, including adjusting the input clock signal with a loop
` that comprises a phase detector, a shift register, and a delay
` line where the determined phase difference is less -- when the
` determined phase difference is less than approximately 180
` degrees. And then there's a delay in the input clock signal step
` to compensate for the phase difference where the number of delay
` cells utilized is reduced by approximately one-half.
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`CASE IPR2017-01412 (Patent 6,069,507)
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` And, again, Patent Owner does not dispute that these
` features are disclosed by Kim, and the combination of Donnelly and
` Iwamoto when the claim terms are given the plain and ordinary
` meaning. And I -- I could step through how the prior art shows
` these features, but I think it's adequate to summarize that
` wherein both of the IPRs, when we address the feature of
` maintaining the phase difference between the input clock signal
` and the feedback clock signal within approximately 180 degrees, we
` show two ways in which the two separate grounds demonstrated this
` maintenance of the phase relationship.
` Both of the prior art references -- the Donnelly
` reference and the Kim reference -- are delay lock loops where
` their objective is to maintain an output clock signal which, in
` those references, is the feedback clock signal, in very close
` alignment with an input clock signal.
` So the result of these delay lock loops is to have a
` feedback clock signal that is within a few degrees in phase of the
` input clock signal. And the Board recognized that there's jitter
` associated with that because it will either make it a little bit
` on the leading side or a little bit on the lagging side, and it
` will continually do that because that's as close as it can get to
` perfect alignment.
` So we demonstrated that both of the references
` maintained the phase relationship within 180 degrees by
` maintaining the phase relationship within a very few degrees. We
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` also demonstrated that the prior art references disclose this
` feature based on the fact that the feedback clock signal in these
` references is simply a delayed version of the input clock signal,
` and because the feedback clock signal is a delayed version of the
` input clock signal, that signal is -- it looks exactly like the
` input clock signal. It's just shifted in phase by some amount.
` And if it's shifted 180 -- or 190 degrees lagging, it's
` only leading by 170. So it's always within 180 degrees, and
` that's not necessarily true for two clock signals that have the
` same frequency and have the same period.
` Now, Patent Owner has argued that that renders that
` claim limitation superfluous and meaningless. We didn't treat it
` that way.
` JUDGE LEE: Just a second. There's something very
` important. How did you prove that, in the prior art, the
` frequency and period between the feedback and the original input
` is the same?
` MR. ANDERSON: We stepped through both the Donnelly
` reference and the Kim reference and showed how the input clock
` signal, how it progressed through the circuitry in each of those
` two references to eventually result in the output. And the only
` operations that were performed on those clock signals were
` delaying operation.
` JUDGE LEE: I see. So it's simply -- if you follow
` whatever is disclosed, the frequency and period would not be
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` expected to change. It's not like an expressed statement isn't
` the reference that, Hey, the frequency and period is the same
` between these two.
` MR. ANDERSON: Exactly. We track the signal through the
` circuit to show that the frequency and period would remain the
` same through the entire loop, from input to output. I mean, it's
` an aside that maybe isn't relevant, but DLLs are different in some
` ways than PLLs in the sense that a phase lock loop can modify the
` frequency whereas a delay lock loop typically wouldn't.
` JUDGE LEE: Thank you. And, also, isn't frequency just
` the inverse of period?
` MR. ANDERSON: Yes.
` JUDGE LEE: So when we're talking about two, we're
` actually talking about one item.
` MR. ANDERSON: Correct. If the frequency is the same,
` the period will be the same.
` There's also the issue of duty cycle. I don't think
` that comes into play here.
` JUDGE LEE: Okay. Sorry to interrupt you. You were
` going to say that --
` MR. ANDERSON: Yes. Patent Owner's position is based on
` the fact that within the DLL structures that we raised as prior
` art -- so Donnelly and Kim. Because the feedback clock signal --
` we showed that the feedback clock signal had the same frequency as
` t