`571.272.7822
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` Paper No. 6
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`Filed: March 9, 2018
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`HP INC.,
`Petitioner,
`
`v.
`
`JAMES B. GOODMAN,
`Patent Owner.
`
`Case IPR2017-01994
`Patent 6,243,315 B1
`____________
`
`
`
`Before BRIAN J. McNAMARA, PATRICK M. BOUCHER, and
`KIMBERLY McGRAW, Administrative Patent Judges.
`
`McGRAW, Administrative Patent Judge.
`
`
`
`
`DECISION
`Institution of Inter Partes Review
`37 C.F.R. § 42.108
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`
`
`
`
`
`
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`IPR2017-01994
`Patent 6,243,315 B1
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`I.
`
`INTRODUCTION
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`HP Inc. (“Petitioner”) filed a Petition requesting an inter partes
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`review of claims 1, 5, 10, and 16 (“the challenged claims”) of U.S. Patent
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`No. 6,243,315 B1 (Ex. 1001, “the ’315 patent”). Paper 2 (“Pet.”). James B.
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`Goodman (“Patent Owner”) filed a Preliminary Response. Paper 5 (“Prelim.
`
`Resp.”).
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`We have jurisdiction under 35 U.S.C. § 314(a), which provides that an
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`inter partes review may not be instituted unless the information presented in
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`the Petition shows “there is a reasonable likelihood that the petitioner would
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`prevail with respect to at least 1 of the claims challenged in the petition.”
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`Upon consideration of the Petition, the Preliminary Response, and the
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`evidence therein, we conclude the information presented shows there is a
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`reasonable likelihood that Petitioner would prevail in establishing the
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`unpatentability of claims 1, 5, 10, and 16 of the ’315 patent.
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`Our factual findings and conclusions at this stage of the proceeding,
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`including claim construction, are preliminary and are based on the
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`evidentiary record developed thus far. This is not a final decision as to
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`patentability of claims for which inter partes review is instituted. Our final
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`decision will be based on the record as developed fully during trial.
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`A. Related Proceedings
`
`The parties identify the following litigations as related proceedings:
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`Goodman v. Hewlett-Packard Co., C.A. No. 16-CV-03195 (S.D. Tex.);
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`Goodman v. ASUS Computer International, C.A. 17-CV-05542 (N.D. Cal.
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`05542) (Transferred from the S.D. Texas.); Goodman v. Samsung
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`Electronics America, Inc., C.A. No. 17-CV-05539 (S.D. N.Y.); and
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`2
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`IPR2017-01994
`Patent 6,243,315 B1
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`Goodman v. Lenovo (United States) Inc., C.A. 17-CV-06782. Pet. 2; Prelim.
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`Resp. 2.
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`We also note that the ’315 patent is also the subject of current
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`petitions for inter partes review by Petitioner Samsung (Case IPR2017-
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`02021) and by Petitioner ASUS Computer International Inc. (IPR2018-
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`00047).
`
`B. The ’315 patent
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`The ’315 patent is directed to volatile memory devices. Ex. 1001,
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`Abstract. Volatile memory devices “retain the contents of their memory
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`states when electrical power is provided and maintained on the devices,” but
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`“[w]henever electrical power is removed from the devices, the memory
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`contents of the device [are] lost and irretrievable.” Id. at 2:54–58. Figure 4
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`of the ’315 patent is reproduced below:
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`
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`3
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`IPR2017-01994
`Patent 6,243,315 B1
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`Figure 4, shown above, illustrates a block diagram of a non-volatile memory
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`system according to the invention. Ex. 1001, 4:41–42.
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`According to the ’315 patent:
`
`The invention prevents the loss of data due to unexpected power
`outages and also prevents errant control and address signals to
`the memory devices by monitoring the input electrical power
`source to the memory devices for acceptable conditions, and
`electrically isolating the memory devices from signals received
`on the control lines and address lines and switching to an
`alternate internal electrical power source, typically a battery,
`whenever the input power source is unacceptable.
`
`Id. at 3:15–24. The ’315 patent explains further that the system
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`“maintains the integrity of the data retained by the memory devices by
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`isolating the devices from the external power source, control lines and
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`address lines and placing the memory devices into a power down self-
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`refresh mode which will maintain the data using a minimum of
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`electrical power.” Id. at 3:25–30.
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`
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`Independent claims 1 and 10 are illustrative of the claims at issue and
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`C. Illustrative Claims
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`are reproduced below.1
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`1. [a] A memory system for use in a computer system, said
`memory system comprising:
`
`[b-d] a plurality of volatile solid state memory devices that
`retain information when an electrical power source is
`applied to said memory devices within a predetermined
`voltage range and capable of being placed in a self refresh
`
`
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`1 Paragraph breaks and bracketed letters have been added for ease of
`reference and for consistency with nomenclature utilized by Petitioner.
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`4
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`Patent 6,243,315 B1
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`mode; said memory devices having address lines and
`control lines;
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`[e] a control device for selectively electrically isolating
`said memory devices from respective address lines and
`respective control lines so that when said memory devices
`are electrically isolated, any signals received on said
`respective address lines and respective control lines do not
`reach said memory devices; and
`
`[f] a memory access enable control device coupled to said
`control device and to said control lines for determining
`when said memory system is not being accessed and for
`initiating a low power mode for said memory system
`wherein said control device electrically isolates said
`memory devices and places said memory devices in said
`self refresh mode, thereby reducing the amount of
`electrical energy being drawn from an electrical power
`supply for said computer system.
`
`Id. at 13:18–40.
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`10. [a] A memory system for use in a computer system, said
`memory system comprising:
`
`[b] a plurality of volatile solid state memory devices that
`retain information when an electrical power source having
`a voltage greater than a predetermined voltage is applied
`to said devices;
`
`[c] said memory devices having address lines and control
`lines;
`
`[d] said computer system including a first electrical power
`source for operating said computer and being capable of
`producing a first voltage applied to said memory devices;
`
`[e] a control device for monitoring said first voltage to
`determine when said first voltage is less than said
`predetermined voltage and for selectively electrically
`isolating said memory devices from respective address
`lines and respective control lines so that when said
`memory devices are electrically isolated, any signals
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`5
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`received on said respective address lines and respective
`control lines do not reach said memory devices; and
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`[f] a second electrical power source operable for supplying
`a second voltage to said memory devices greater than said
`predetermined voltage;
`
`[g] said control device being operable for disconnecting
`said first electrical power source from said memory
`devices and connecting said second electrical power
`source to said memory devices when said first voltage is
`less than said predetermined voltage;
`
`[h] whereby, data in said memory devices is preserved by
`said second electrical power source when said first
`electrical power source fails to maintain at least said
`predetermined voltage on said memory devices, and said
`memory devices are isolated from errant signals.
`
`Id. at 13:65–14:32.
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`D. Asserted Grounds of Unpatentability
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`
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`Relying upon the declaration testimony of Nader Bagherzadeh, Ph.D.,
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`(Ex. 1002, “Bagherzadeh Declaration”), Petitioner challenges claims 1, 5,
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`10, and 16 of the ’315 patent based on the asserted grounds of
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`unpatentability (“grounds”) set forth in the table below. Pet. 3, 23–51.
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`References
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`Basis
`
`Challenged Claims
`
`Schaefer2 and Qureshi3
`
`§ 103(a)
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`1 and 5
`
`Schaefer, Qureshi, and
`Mazur4
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`
`
`§ 103(a)
`
`10 and 16
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`
`
`2 U.S. Patent No. 5,600,605 (issued Feb. 4, 1997) (Ex. 1004, “Schaefer”)
`3 U.S. Patent No. 5,793,776 (issued Aug. 11, 1998) (Ex. 1005, “Qureshi”)
`4 U.S. Patent No. 5,204,840 (issued Apr. 20, 1993) (Ex. 1006, “Mazur”)
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`II. DISCUSSION
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`A. Level of Ordinary Skill in the Art
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`In determining whether an invention would have been obvious at the
`
`time it was made, we consider the level of ordinary skill in the pertinent art
`
`at the time of the invention. Graham v. John Deere Co, 383 U.S. 1, 17
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`(1966). Petitioner contends a person of ordinary skill in the art at the time of
`
`the alleged invention of the ’315 patent (a “POSITA”) would have had at
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`least a bachelor’s degree in electrical, electronics, computer engineering; or
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`the equivalent training or experience in electrical, electronics, computer
`
`engineering, or a related discipline, and would have had approximately 2 to
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`3 years of experience in computer systems, circuits, electronics, or a related
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`discipline. Pet. 16; Ex. 1002 ¶¶ 31–32.
`
`Patent Owner does not articulate a level of skill for a POSITA. For
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`the purposes of this Decision, we determine that it is not necessary to state
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`explicitly a specific level of skill as the prior art itself reflects an appropriate
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`level of skill. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir.
`
`2001).
`
`B. Claim Construction
`
`In an inter partes review, we construe claim terms in an unexpired
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`patent according to their broadest reasonable construction in light of the
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`specification of the patent in which they appear. 37 C.F.R. § 42.100(b).
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`Consistent with the broadest reasonable construction, claim terms are
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`presumed to have their ordinary and customary meaning as understood by a
`
`person of ordinary skill in the art in the context of the entire patent
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`disclosure. In re Translogic Tech., Inc., 504 F.3d 1249, 1257 (Fed. Cir.
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`2007).
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`Neither Petitioner nor Patent Owner identifies any claim terms as
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`warranting construction. Pet. 10; Prelim. Resp. 1–8. Based on the current
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`record, we conclude that no claim construction is necessary for our
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`determination of whether to institute inter partes review of the challenged
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`claims. Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed.
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`Cir. 1999) (“[O]nly those terms need be construed that are in controversy,
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`and only to the extent necessary to resolve the controversy.”).
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`C. Principles of Law
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`A claim is unpatentable under 35 U.S.C. § 103(a) if “the differences
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`between the subject matter sought to be patented and the prior art are such
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`that the subject matter as a whole would have been obvious at the time the
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`invention was made to a person having ordinary skill in the art to which said
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`subject matter pertains.” KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 406
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`(2007). The question of obviousness is resolved on the basis of underlying
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`factual determinations, including: (1) the scope and content of the prior art;
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`(2) any differences between the claimed subject matter and the prior art;
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`(3) the level of skill in the art; and (4) objective evidence of nonobviousness,
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`i.e., secondary considerations. See Graham v. John Deere Co, 383 U.S. 1,
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`17–18 (1966).
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`D. Overview of the Asserted Art
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`1. Schaefer (Ex. 1003)
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`Schaefer describes a volatile memory device, such as a synchronous
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`dynamic random access memory (“SDRAM”), “for storing data and
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`responsive to command signals.” Ex. 1003, 1:60. Schaefer includes a
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`command decoder that “controls the various circuitry of SDRAM based on
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`decoded commands such as during controlled reads or writes.” Id. at 3:35–
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`37 (reference numerals omitted). Schaefer explains that the memory device
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`includes address and control lines, see id. at 3:30–33, and discloses a
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`“SELF-REFRESH” command for the devices, id. at 3:60–61. According to
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`Schaeffer, “[a]ll the input and output signals of SDRAM, with the exception
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`of the CKE input signal during power down and self refresh modes, are
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`synchronized to the active going edge . . . of the CLK signal.” Id. at 3:20–25
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`(reference numerals omitted). Schaefer notes that refresh commands “are
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`performed . . . in a manner known in the art to refresh the memory arrays.”
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`Id. at 3:61–65. Schaffer notes also that “[i]n one preferred embodiment of
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`the present invention, the memory device is a synchronous dynamic random
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`access memory (SDRAM).” Id. at 2:33–35.
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`2. Qureshi (Ex. 1004)
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`Qureshi describes a process in which “memory such as SDRAMs are
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`put into self refresh mode.” Ex. 1004, 1:63–64. Qureshi states that the
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`system has the “ability to dynamically enter and exit SDRAM self refresh
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`before and after [JTAG] testing,” which saves debugging time.” Id. at 2:54–
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`56. Qureshi explains that “[o]nce the self refresh mode is entered, SDRAM
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`ignores all inputs other than a CKE (clock enable) pin while in self refresh
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`state.” Id. at 5:49–51 (reference numerals omitted). Qureshi characterizes
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`self refresh mode as “preferred for data retention and low power operation.”
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`Id. at 1:65–67.
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`3. Mazur (Ex. 1005)
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` Mazur teaches a process “for preserving the RAM of an externally
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`powered microprocessor on the occasion of a loss in external power.”
`
`Ex. 1005, Abstract. According to Mazur, “[w]hen the power loss is
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`detected, a signal is generated which initiates a sequence to isolate the RAM
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`and refresh it with an independent power supply,” e.g., a rechargeable
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`battery. Id., see also 2:8–10 (stating the “hardware comprises in coactive
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`combination a power loss detection circuit, an independent power supply, a
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`continuously rechargeable battery, . . . a standby refresh circuit, a switch-
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`over circuit).
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`E. Asserted Obviousness of Claims 1 and
`5 over Schaefer and Qureshi
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`Petitioner contends that claims 1 and 5 are unpatentable under
`
`§ 103(a) over the combined teachings of Schaefer and Qureshi. Pet. 3. 17–
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`19, 23–30, 39–40, 50–51. For example, in mapping independent claim 1,
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`Petitioner contends that Schaefer discloses a plurality of volatile solid state
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`memory devices (e.g., SDRAMs) that retain information when powered in a
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`3.3V low voltage environment. Id. at 24–25, 39–40 (citing Ex. 1003, 2:36–
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`37, 3:13–16, Fig. 1). Petitioner also states that Schaefer’s memory has
`
`address lines (e.g., A0-A15) and control lines (e.g., RAS, CAS, WE) and is
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`capable of being placed in a self refresh mode, id. at 25–26 (citing Ex. 1003,
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`3:30–33, 3:58–61, 4:19–21).
`
`Petitioner also asserts that Qureshi teaches a memory controller (i.e.,
`
`control device of claim element 1[e]) that places an SDRAM in a self-
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`refresh mode prior to beginning JTAG testing, where “all access signals are
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`ignored, which corresponds to electrically isolating the SDRAM.” Id. at 26
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`(citing Ex. 1004, Abstract, 5:49–51). Petitioner states that once the self-
`
`refresh mode is entered, the SDRAM ignores all inputs other than a CKE
`
`(clock enable) pin while in the self-refresh state. Id. (citing Ex. 1004, 5:49–
`
`51); Ex. 1004, 1:65:2–2. Petitioner further asserts that a POSITA would
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`understand that Qureshi’s memory controller is configured to place an
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`SDRAM, such as the SDRAM of Schaefer, into a “don’t care” state, thereby
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`electrically isolating the address/control lines and placing it in a low power
`
`self-refresh mode, prior to performing its tests. Id. at 26–27, 41 (citing Ex.
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`1002 ¶¶ 59–61). Petitioner states that Schaefer’s SDRAM memory includes
`
`a pin for receiving a “don’t care” signal, which then inhibits any action from
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`the memory device, thereby electrically isolating it from the address/control
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`lines. Id. at 27 (citing Ex. 1003 6:56–58, Fig. 1.
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`Petitioner asserts that the combination of Schaefer and Qureshi
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`teaches the “memory access enable device” of claim element 1[f].
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`Specifically, Petitioner asserts that Schaefer’s command controller in the
`
`SDRAM is a “memory access enable control device” that includes circuitry
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`for decoding read/write commands from Qureshi’s memory controller “so as
`
`to determine which memory bank should be addressed, including decoding
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`Qureshi’s signal that places Schaefer’s SDRAM into power down or self
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`refresh mode, where all access signals are ignored.” Id. at 27–29, 41–43
`
`(citing Ex. 1004, Abstract, 5:49–51, Fig. 1; Ex. 1003, 3:20– 25, 3:28–42,
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`Fig. 1). Petitioner notes also that Qureshi teaches that the self-refresh mode
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`“is preferred for data retention and low power operation.” Id. at 26 (quoting
`
`Ex. 1005, 1:65–67) (emphasis omitted).
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`Petitioner further asserts that the combination of Schaefer and Qureshi
`
`teaches DRAM semiconductor microchips—the additional limitation in
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`dependent claim 5—because both references “pertain to SDRAM, which is a
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`subset of the DRAM semiconductor microchip.” Id. at 30, 50–51; Ex. 1002
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`¶ 65.
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`In addition, the Petition explains, with relevant support from Dr.
`
`Bagherzadeh, that combining Schaefer and Qureshi would have been
`
`obvious because one skilled in the art “would seek to use the memory
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`controller of Qureshi to place the DRAM memory of Schaefer into the low
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`power self-refresh mode so that existing data may be retained, while other
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`signals may be ignored, and the amount of power consumed from the
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`computer system is reduced.” Id. at 14 (citing Ex. 1002 ¶¶ 48–53).
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`Patent Owner responds that the combination of Schaefer and Qureshi
`
`fails to teach the control device recited in claim element 1[e] and the
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`memory access enable control device recited in claim element 1[f]. Prelim.
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`Resp. 6. Specifically, Patent Owner states that “Qureshi dynamically enters
`
`the self refresh on an external demand. That is, Qureshi requires human
`
`intervention to initiate the self refresh mode” and therefore does not teach a
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`“memory access enable control device coupled to said control device and to
`
`said control lines for determining when said memory system is not being
`
`accessed and for initiating a low power mode.” Id. at 6–7 (quoting
`
`Ex. 1004, 2:54–57, 6:42–45).
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`Patent Owner’s argument is not persuasive at this stage of the
`
`proceeding because Petitioner is not relying solely upon Qureshi, but rather
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`is relying upon the combined teachings of Schaefer and Qureshi for meeting
`
`the disputed limitations. Petitioner contends that a POSITA would
`
`understand that Schaefer’s command controller 28 (i.e., memory access
`
`enable control device) is coupled to the memory controller (i.e., control
`
`device) of Qureshi to receive commands from the memory controller and for
`
`determining access. See, e.g., Id. at 43 (stating that “the command controller
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`of Schaefer is coupled to the memory controller of Qureshi to receive
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`commands from the memory controller and for determining access”); Ex.
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`1002 ¶¶ 62–63; see also Pet. at 29 (stating Schaefer’s command controller
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`(i.e., memory access enable device) decodes commands from the Qureshi
`
`memory controller (i.e., control device) so as to determine which memory
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`bank should be addressed, “including decoding Qureshi’s signal that places
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`Schaefer’s SDRAM into power down or self-refresh mode, where all access
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`signals are ignored (‘memory system is not being accessed and for initiating
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`a low power mode’”)). Petitioner further asserts that a POSITA would
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`understand that Qureshi’s memory controller (i.e., “control device of claim
`
`element 1[e]”) is configured to place the Schaefer SDRAM into a “don’t
`
`care” state, thereby electrically isolating the address/control lines and
`
`placing it in a low power self-refresh mode, prior to performing its tests.
`
`See, e.g., Pet. at 41 (stating the “configuration of Qureshi’s memory
`
`controller with Schaefer’s SDRAM discloses limitation 1.e.”).
`
`Patent Owner also argues that the combination of Schaefer and
`
`Qureshi do not teach all of the limitations of claim 1 because “Qureshi does
`
`not disable the CKE when it drives Schaefer into self refresh.” Prelim.
`
`Resp. 7; see also id. at 8 (stating “the combination of Qureshi and Schaefer
`
`keeps a control line (CKE) active and connected to the SDRAM even in the
`
`self refresh mode in contrast to the ’315 Patent claims”).
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`This argument is not persuasive because we do not understand claim 1
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`to require electrically isolating memory devices from all address and control
`
`lines. Indeed, such a reading would be inconsistent with the preferred
`
`embodiments, which do not appear to isolate the memory devices from all
`
`address and control lines. For example, the ’315 patent states that the
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`control device shown in Figure 1 electrically isolates control bus 22 and
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`address bus 17 from the memory devices, but does not state that the memory
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`devices are electrically isolated from the RAS and WE control lines, 26, 28.
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`Ex. 1001, Fig. 4, 5:60–67; see also id. at 9:24–26, (stating that control center
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`115 of Figure 4 electrically isolates memory devices 5 from control lines
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`122 and address lines 117, but not stating that the memory devices are
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`isolated from RAS and WE Control Lines).
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`On the present record, we are persuaded Petitioner has shown
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`sufficiently the combination of Schaefer and Qureshi teaches or suggests the
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`limitations of claims 1 and 5 and has provided articulated reasoning with
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`rational underpinning for combining the references. Accordingly, the
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`information presented shows a reasonable likelihood that Petitioner would
`
`prevail in showing that claims 1 and 5 would have been obvious over the
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`combination of Schaefer and Qureshi.
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`F. Asserted Obviousness of Claims 10
`and 16 over Schaefer, Qureshi, and
`Mazur
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` Petitioner contends that claims 10 and 16 would have been obvious
`
`over the combined teachings of Schaefer, Qureshi, and Mazur. Pet. 3, 17–
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`21, 31–39, 44–50. For example, in addition to referencing several elements
`
`already identified for claim 1, Petitioner explains that Mazur discloses
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`memory devices that retain information when voltage is applied above a
`
`predetermined threshold. Id. at 31–32 (citing Ex. 1006, 5:11–15, 5:36–39,
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`3:9–16); Ex. 1002 ¶ 75. Petitioner explains also that Mazur teaches a first
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`power source (i.e., the computer’s power supply that provides at least 4.8V
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`for the memory devices), that is monitored so that when the voltage supplied
`
`from that source drops below the predetermined threshold, “the control
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`device selectively electrically isolates the memory devices from the
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`respective address and control lines.” Id. at 32–35 (citing Ex. 1005, 3:9–16,
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`4:17–32, 5:11–15, 5:36–39, Fig. 1). According to Petitioner, Mazur
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`discloses a second electrical power source (i.e. a rechargeable battery 18) for
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`supplying a second voltage to the memory device, as well as a power
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`switchover circuit for switching from the computer power supply to the
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`rechargeable battery when the computer power supply falls below the
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`threshold, thus isolating the volatile memory from errant signals and
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`preventing corruption. Id. at 35–36, 47–49 (citing Ex. 1006, 5:11–15, 4:2–
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`6, 4:17–32, 3:9–16, 5:36–39, Fig. 1).
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`Patent Owner argues that Petitioner has failed to provide a technical
`
`argument for combining Mazur with the combination of Schaefer and
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`Qureshi. Prelim. Resp. 4–5. This argument is not persuasive at this stage of
`
`the proceeding. Petitioner has provided evidence, supported by declaration
`
`testimony, that a person of ordinary skill in the art would have reason to
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`combine the teachings of Schaefer, Qureshi, and Mazur in order to, inter
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`alia, enable retention of SDRAM data during testing phase, without concern
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`as to power losses. Pet. 20–21 (citing Ex. 1002 ¶¶ 69–70); id. at 20 (stating
`
`that a POSITA “would recognize that [Qureshi’s] low power mode may be
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`supported by a battery backup instead of the primary power source, thereby
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`enabling failure of the primary power source without the need for resetting
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`any components”); see also id. at 21 (stating the “combination of familiar
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`elements according to known methods is likely to be obvious when it does
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`no more than yield predictable results”).
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`On the present record, we are persuaded Petitioner has shown
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`sufficiently the combination of Schaefer, Qureshi, and Mazur teaches or
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`suggests the limitations of claims 10 and 16 and has provided articulated
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`reasoning with rational underpinning for combining the references.
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`Accordingly, the information presented shows a reasonable likelihood that
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`Petitioner would prevail in showing that claims 10 and 16 would have been
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`obvious over the combination of Schaefer, Qureshi, and Mazur.
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`III. CONCLUSION
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`For the foregoing reasons, we determine Petitioner has demonstrated
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`there is a reasonable likelihood it would prevail in establishing the
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`unpatentability of claims 1, 5, 10, and 16 of the ’315 patent.
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`At this stage of the proceeding, the Board has not made a final
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`determination as to the patentability of any challenged claim or of any
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`underlying factual and legal issues, including claim construction.
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`IV. ORDER
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`Accordingly, it is:
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` ORDERED that, pursuant to 35 U.S.C. § 314(a), an inter partes
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`review is hereby instituted for the following grounds of unpatentability:
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`Claims 1 and 5 as unpatentable under 35 U.S.C. § 103(a) over
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`Schaefer and Qureshi;
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`Claims 10 and 16 as unpatentable under 35 U.S.C. § 103(a) over
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`Schaefer, Qureshi, and Mazur.
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`FURTHER ORDERED that pursuant to 35 U.S.C. § 314(c) and
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`37 C.F.R. § 42.4, inter partes review of the ’315 patent shall commence on
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`the entry date of this Order, and notice is hereby given of the institution of a
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`trial; and
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` FURTHER ORDERED that no ground other than that specifically
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`provided above is authorized.
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`For PETITIONER:
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`Barry K. Shelton
`bshelton@sheltoncolburn.com
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`
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`For PATENT OWNER:
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`David Fink
`Fink & Johnson
`texascowboy6@gmail.com
`
`Felix Readus
`federallitigationlaw@gmail.com
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`
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