PATENT COOPERATION TREATY

From the
INTERNATIONAL SEARCHING AUTHORITY

To: PCT
see form PCTASAR20
WRITTEN OPINION OF THE
INTERNATIONAL SEARCHING AUTHORITY
(PCT Rule 43bis.1)
Date of mailing
(dayfmonthiyear) see form PGTASAR10 (second sheet)

Applicant's or agent's file reference

FOR FURTHER ACTION
see form PCTASAR20 See paragraph 2 below

International application No. International filing date (day/monthyear) Priority date (day/monthyear)
PCTAS2021047115 23.08.2021 10.09.2020
International Patent Classification (IPC) or both national classification and IPC
INV. H04L25/02 H04L25/03 GO6F13/00 HO3F3/26 HO3F3/45

Applicant
QUALCOMM INCORPORATED

This opinion contains indications relating to the following items:

B Box No. | Basis of the opinion

O Box No. Il Priority
O Box No. Il Non-establishment of opinion with regard to novelty, inventive step and industrial applicability
B Box No. IV Lack of unity of invention
B BoxNo.V Reasoned statement under Rule 43bis.1(a)(i) with regard to novelty, inventive step and industrial
applicability; citations and explanations supporting such statement
O Box No. VI Certain documents cited
B Box No. VIl Certain defects in the international application
& Box No. VIIl Certain observations on the international application
FURTHER ACTION

If a demand for international preliminary examination is made, this opinion will usually be considered to be a
written opinion of the International Preliminary Examining Authority ("IPEA") except that this does not apply where
the applicant chooses an Authority other than this one to be the IPEA and the chosen IPEA has notifed the
International Bureau under Rule 66.1bis(b) that written opinions of this International Searching Authority
will not be so considered.
If this opinion is, as provided above, considered to be a written opinion of the IPEA, the applicant is invited to
submit to the IPEA a written reply together, where appropriate, with amendments, before the expiration of 3 months
from the date of mailing of Form PCTASA220 or before the expiration of 22 months from the priority date,
whichever expires later.

For further options, see Form PCTASA220.

Name and mailing address of the ISA: Date of completion of Authorized Officer
his opinion Eay
European Patent Office
see form Palacian Lisa,
PCTASA210 Marta ,0))
e

D-80298 Munich i}
Tel. +49 89 2399 - 0 Telephone No. +49 89 2399-0
Fax: +49 89 2399 - 4465

Form PCTASA237 (Cover Sheet) (January 2015)

WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING AUTHORITY PCTMUS2021047115

Box No. | Basis of the opinion

1. With regard to the language, this opinion has been established on the basis of:

] the international application in the language in which it was filed.

] a translation of the international application into , which is the language of a translation furnished for the
purposes of international search (Rules 12.3(a) and 23.1 (b)).

This opinion has been established taking into account the rectification of an obvious mistake authorized
by or notified to this Authority under Rule 91 (Rule 43bis.1(a))

With regard to any nucleotide and/or amino acid sequence disclosed in the international application, this
opinion has been established on the basis of a sequence listing:
a. O forming part of the international application as filed:

O in the form of an Annex C/ST.25 text file.

O on paper or in the form of an image file.

b. O furnished together with the international application under PCT Rule 13ter.1(a) for the purposes of
international search only in the form of an Annex C/ST.25 text file.

c. O furnished subsequent to the international filing date for the purposes of international search only:

O in the form of an Annex C/ST.25 text file (Rule 13ter.1(a)).

O on paper or in the form of an image file (Rule 13ter.1(b) and Administrative Instructions, Section
713).

In addition, in the case that more than one version or copy of a sequence listing has been filed or furnished,
the required statements that the information in the subsequent or additional copies is identical to that
forming part of the application as filed or does not go beyond the application as filed, as appropriate, were
furnished.

5. Additional comments:

Form PCTISA/237 (January 2015)

WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING AUTHORITY PCTMUS2021047115

Box No. IV Lack of unity of invention

1. B In response to the invitation (Form PCT/ASA/206) to pay additional fees, the applicant has, within the
applicable time limit:

X paid additional fees

O paid additional fees under protest and, where applicable, the protest fee

O paid additional fees under protest but the applicable protest fee was not paid

O not paid additional fees

2. O This Authority found that the requirement of unity of invention is not complied with and chose not to invite
the applicant to pay additional fees.

3. This Authority considers that the requirement of unity of invention in accordance with Rule 13.1, 13.2 and 13.3 is

O complied with

B4 not complied with for the following reasons:

see separate sheet

4. Consequently, this report has been established in respect of the following parts of the international application:

X all parts.

O the parts relating to claims Nos.

Box No.V Reasoned statement under Rule 43bis.1(a)(i) with regard to novelty, inventive step or
industrial applicability; citations and explanations supporting such statement
1. Statement

Novelty (N) Yes: Claims 1-17, 19-22, 24-27

No: Claims 18.23

Inventive step (IS) Yes: Claims

No: Claims 1-27

Industrial applicability (IA) Yes: Claims 1-27

No: Claims

2. Citations and explanations

see separate sheet

Form PCTISA/237 (January 2015)

WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING AUTHORITY PCTMUS2021047115

Box No. VIl Certain defects in the international application

The following defects in the form or contents of the international application have been noted:

see separate sheet

Box No. VIl Certain observations on the international application

The following observations on the clarity of the claims, description, and drawings or on the question whether the
claims are fully supported by the description, are made:

see separate sheet

Form PCTISA/237 (January 2015)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

Reference is made to the following documents:

D1 LIN X ET AL: "A CMOS 0.25-um Continuous-Time FIR Filter With 125 ps
per Tap Delay as a Fractionally Spaced Receiver Equalizer for 1-Gb/s Data
Transmission”, IEEE JOURNAL OF SOLID-STATE CIRCUITS, IEEE, USA,
vol. 40, no. 3, 1 March 2005 (2005-03-01), pages 593-602, XP011128263,
ISSN: 0018-9200, DOI: 10.1109/JSSC.2005.843623

D2 KAMBIZ KAVIANI ET AL: "A 0.4-mW/Gb/s Near-Ground Receiver Front-

End With Replica Transconductance Termination Calibration for a 16-Gb/s
Source-Series Terminated Transceiver', IEEE JOURNAL OF SOLID-
STATE CIRCUITS, IEEE, USA, vol. 48, no. 3, 1 March 2013 (2013-03-01),
pages 636-648, XP011494575, ISSN: 0018-9200, DOI: 10.1109/JSSC.
2013.2242714

D3 US 9 564 863 B1 (GIRIDHARAN VISHAL [US]) 7 February 2017

(2017-02-07)
D4 US 8831 084 B1 (LIU WING [US] ET AL) 9 September 2014 (2014-09-09)

D5 US 9 240 912 B1 (GIRIDHARAN VISHAL [US] ET AL) 19 January 2016

(2016-01-19)
D6 SOBEL D A ET AL: "A 1 Gb/s Mixed-Signal Baseband Analog Front-End
for a 60 GHz Wireless Receiver”, IEEE JOURNAL OF SOLID-STATE
CIRCUITS, IEEE, USA, vol. 44, no. 4, 1 April 2009 (2009-04-01), pages
1281-1289, XP011254307, ISSN: 0018-9200, DOI: 10.1109/JSSC.
2009.2014731

Re ltem IV
Lack of unity of invention
1 This Authority considers that the application does not meet the requirements of
unity of invention and that there are two inventions as follows.
A) Claims 1-17, 26, 27
An apparatus, comprising:

Form PCT/ISA/237 (Separate Sheet) (Sheet 1) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

a first receiver including a first differential input to receive a differential data

signal and a first differential output;

a second receiver including a second differential input to receive a common

mode voltage associated with the differential data signal, and a second
differential output including terminals coupled together;
a third receiver including a third differential input to receive the common mode
voltage, and a third differential output including terminals coupled together; and
a feedback circuit including inputs coupled to the second and third differential
outputs, respectively, and an output coupled to the first and second differential
outputs.

B) Claims 18-25
An apparatus, comprising:

a first differential sense amplifier configured to amplify an input differential data

signal to generate an output differential data signal;

a first set of one or more differential decision feedback equalizer (DFE) taps
configured to modify the output differential data signal based on a set of one or
more differential tap signals, wherein the first set of one or more differential DFE
taps affect a first output common mode voltage associated with the output
differential data signal; and

a compensation circuit configured to adjusts the first output common mode

voltage to compensate for the effect on the first output common mode voltage
by the first set of one or more differential DFE taps.

The reasons, for which the inventions are not so linked as to form a single
general inventive concept, as required by Rule 13.1 PCT, are as follow.

21 The only common matter linking together independent claims 1 (similarly for
claim 26) and 18 (similarly for method claim 23) is an apparatus receiving a
differential data signal. However, transmission/reception of differential data
signals are well-known in the art and cannot be considered a special technical
feature within the meaning of Rule 13.2 PCT. Therefore, a lack of unity a priori
is raised.
22 The following separate inventions or groups of inventions are not so linked as to
form a single general inventive concept.

Form PCT/ISA/237 (Separate Sheet) (Sheet 2) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

2241 The first alleged invention (claims 1 and 26) yields the potential technical
feature of providing a second and third receivers receiving at their differential
inputs a common mode voltage associated with the differential data signal
together with a feedback circuit (REP SA 310 and REF SA 340 and feedback
circuit 360 in figure 3A), hence solving the problem of how to adjust the
common mode voltage of the output signal to be substantially the same as a
reference output common mode voltage.

222 The second alleged invention (claims 18 and 23) yields the potential technical
feature of providing a first set of one or more differential decision feedback
equalizer, DFE, taps configured to modify the output differential data signal and
a compensation circuit adjusting the first output common mode voltage to
compensate for the effect on the first output common mode voltage by the first
set of one or more differential DFE taps (420-1 and 470-1 in figure 4A), hence
solving the problem of how to compensate for the effect of the differential DFE
taps created in the output common mode voltage.
23 Hence, the claims comprise neither the same, nor corresponding special
technical features (it is to be noted that claim 1 does not refer to DFE taps), so
the technical relationship between the subject matter of the claims required by
Rule 13.2 PCT is lacking and the claims are not so linked as to form a single
general inventive concept as required by Rule 13.1 PCT.

24 Consequently the application does not meet the requirement for unity of
invention.

A) CLAIMS 1-17, 26, 27

Re ltem V
Reasoned statement under Rule 66.2(a)(ii) with regard to novelty, inventive step
or industrial applicability; citations and explanations supporting such statement

1 Claim 1 does not meet the requirement of inventive step, Article 33(3) PCT.

11 D1 discloses, in terms of claim 1, an apparatus (see figure 1), comprising:

a first receiver including a first differential input to receive a differential data
signal and a first differential output (see figure 2 and lines 1-5 below the figure);
a second receiver including a second differential input to receive a common
mode voltage associated with the differential data signal (see figure 13, left-
hand part; the input is the common mode voltage associated with Din and -Din),

Form PCT/ISA/237 (Separate Sheet) (Sheet 3) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

a third receiver including a third differential input to receive the common mode
voltage (see figure 13, right-hand part; the input is the common mode voltage
associated with Din and -Din), and-a-third-differential-eutputincluding-terminals
coupledogether; and
a feedback circuit including inputs coupled to the second and third differentiat
outputs, respectively, and an output coupled to the first and second differential
outputs (see figure 1, circuit CMFB corresponding to figure 13 whose second
and third outputs VP and VN are the inputs to the feedback circuit containing
variable current sources which are coupled to the first differential output and are
also inputs to the CMBF circuit -and thus, they are coupled to the second
differential output-; see also section IL.E).
1.2 Thus, claim 1 differs from D1 in that the second and third receivers comprise
differential output with terminals are coupled together.
1.3 The problem to be solved can thus be formulated as how to provide an
alternative to the single-output of the second and third differential receivers.
When trying to solve the problem, the skilled person in the art knows that
differential receivers can have single-output or differential outputs. When
considering how to modify the circuit of D1 to provide with an alternative
(differential) output of the feedback circuit, the most obvious solution is to
replace the single-output by a differential output by coupling the output terminals
together.
1.4 Therefore, an inventive step cannot be acknowledged in view of D1 and the
knowledge of the skilled person in the art (see also objections under point VIl
below wherein for this analysis the claims have been interpreted in their
broadest sense).
The attention of the applicant is also drawn to D2 and D3.

D2 shows in figure 5 a first differential receiver (see white part in the figure with
inputs + and - and a differential output), and second and third differential
receivers (see right grey part on the right and on the left of the figure, each
corresponding to one of the second and third receivers) receiving at their inputs
a common mode voltage Vg of the input signal . The output of the receivers
are coupled to the first and second differential outputs (via a feedback circuit,
i.e. the bottom part of the circuit in white). Thus, a similar reasoning as for D1
applies for this document.

Form PCT/ISA237 (Separate Sheet) (Sheet 4) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

22 D3 discloses in figure 2 and accompanying paragraphs a first receiver (with

differential input INP and INN and differential output OUTP and OUTN) and a
second receiver (208) having as input the common mode voltage of the input
signal (VGAVCM) and the output is fed back to the first receiver (VCCVGA, see
column 9, lines 18-30). Thus, the difference with claim 1 is that in D3 the input
REFVCM is selected (see column 9, lines 31-35) whereas in claim 1 a third
differential receiver is used. This is an implementation measure for producing
the signal REFVM and thus, the circuit of figure 2 is also considered as an
obvious alternative for the claimed apparatus.
23 Thus, a lack of inventive step is also raised in view of D2 or D3 alone or in
combination with the knowledge of the skilled artisan.
Independent claim 26 directed to a wireless device contains the same features
as those of claim 1 and additionally it claims that the wireless device has one
antenna and a transceiver coupled to the antenna. To include the apparatus
taught by D1, D2 or D3 in a wireless device, the skilled person in the art is
aware that an antenna and a transceiver are needed. Thus, this claim also lacks
an inventive step, Article 33(3) PCT.

The dependent claims do not contain any additional feature which, in

combination with the independent claims, meet the requirements of novelty and
inventive step.

» claims 2-4, 8-10: D1 shows that the second/third receiver comprise

differential sense amplifiers (see figure 13) and have first to fourth FETS
each (M1-M4 and M5-M8), to have a fifth FET coupled between the nodes
and the voltage rail is a well-known design option;
claims 5-7, 11-13, 27: see FIR filter in figure 1 of D1; see 2-tap DFE in
figure 7(a) of D2; see also figure 1 of D3;

claims 14-17: implementation details; see D1, figure 1 showing the

feedback containing the current sources coupled between the voltage rails
and the outputs.

Re Item VIl
Certain defects in the international application
q
The independent claims are not in the two-part form as required by Rule 6.3(b)
PCT, whereby the features already disclosed in document D1 should have been
placed in the preamble.

Form PCT/ISA/237 (Separate Sheet) (Sheet 5) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

2 Reference signs in parentheses should have been inserted in the claims to

increase their intelligibility (Rule 6.2(b) PCT). This applies to both the preamble
and characterising portion.

To meet the requirements of Rule 5.1(a)(ii) PCT, the document D1 should have
been identified in the description and its relevant content should be briefly
indicated.
If the application further enters into Chapter I, when filing amended claims the
applicant should at the same time bring the description into conformity with the
amended independent claims, Rule 5.1(a)(iii).
4.1 In order to facilitate the examination of the conformity of the amended
application with the requirements of Article 34(2)(b) PCT, the applicant is re-
quested to clearly identify the amendments carried out, no matter whether they
concern amendments by addition, replacement or deletion, and to indicate the
passages of the application as filed on which these amendments are based
(see also Rule 66.8(a) PCT).

Re Item Vill
Certain observations on the international application
1 Claim 1 is very broad in scope and thus encompasses many circuits which are
not supported by the description, contrary to the requirements of Article 6 PCT.
This claim is apparently directed to figure 2A, circuits 310 and 340 in
combination with figure 4A, circuits 410-1 and 470-1. However, the claimed
receivers are only identified by their inputs and outputs in a very broad manner.
The function of the three receivers cannot be derived from this broad claim.
Similarly, the feedback circuit also includes many interpretations.
11 Itis also to be noted that the term "coupled" when referred to a circuit merely
means that there is a connection (somehow), either directly or via other
components.
1.2 The REF DFE TAPS 320 and the REF DFE TAPS 350 mirroring the DFE TAPS
220 but having as input VCM or Ground appear to be essential for the definition
of the invention and to achieve the desired technical effect (see figure 2B and
corresponding passages). However, claim 1 is silent about these circuits and
merely claims the REP SA 310 and REF SA 340 isolated from the rest of figure
3A.

Form PCT/ISA/237 (Separate Sheet) (Sheet 6) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

1.3 DFE taps in relation to the first receiver are also not defined. However, the
description states that the problem to be solved is to ensure that the output
common mode voltage is maintained in the non-linear region of the amplifier in
the presence of a DFE.

2 The above objection also applies to claim 26.

3 In claims 5 and 11 it is not directly derivable from the wording of the claims that
the inputs that should correspond to the DFE taps are set to the common mode
voltage and to the voltage rail, respectively. It cannot be understood why DFE
taps are claimed which are then not used in the second/third receivers. Thus,
these claims do not meet the requirements of Article 6 PCT.
31 The same objection applies to claim 27.

B) CLAIMS 18-25

BeltemV
Reasoned statement under Rule 66.2(a)(ii) with regard to novelty, inventive step
or industrial applicability; citations and explanations supporting such statement
1
Claim 18 does not meet the requirement of novelty, Article 33(2) PCT.
11 Document D4 discloses, in terms of the wording of claim 18, an apparatus,
comprising:
a first differential sense amplifier configured to amplify an input differential data
signal to generate an output differential data signal (see figure 2, differential
mplifier 229, input data rpxp-rxn, output data vip-vin);
a first set of one or more differential decision feedback equalizer, DFE, taps
configured to modify the output differential data signal based on a set of one or
more differential tap signals, wherein the first set of one or more differential DFE
taps affect a first output common mode voltage associated with the output
differential data signal (see figure 2, 233, 237, 241, 245, 249, see also column
1, lines 25-37); and
a compensation circuit configured to adjusts the first output common mode
voltage to compensate for the effect on the first output common mode voltage
by the first set of one or more differential DFE taps (see figure 3 and column 3,
line 64 to column 4, line 3; column 4, lines 33-41 and 52-59).

Form PCT/ISA237 (Separate Sheet) (Sheet 7) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

1.2 Therefore, D4 anticipates all the features of claim 18.

2 All the features of claim 1 are also disclosed in D5 (see figures 2 and 3, first
differential sense amplifier 300, DFE taps 350, compensation circuit 312, see
also column 6, lines 23 to column 7, line 3), D6 (see figures 4, 7, 9 and section
.B and llI.C) and D1 (see figures 1, 2, 13 and sections I.LA and IL.E).
Therefore, claim 18 also lacks novelty vis-a-vis D5, D6 or D1.
Independent claim 23 comprises the same features as claim 18 but in terms of
method steps. Therefore, the above objections apply mutatis mutandis to this
claim.
Moreover, it should be noted that even if novelty of claims 18 and 23 could be
argued, based on minor differences between the features of these claims and
those disclosed in the cited prior art, the subject-matter of the independent
claims would not involve an inventive step, Article 33(3) PCT, having regard to
the disclosure of D1, D4-D6 which provide the same solution to the posed
problem in the present application.
The dependent claims do not contain any additional feature which, in
combination with the independent claims, meet the requirements of novelty and
inventive step:
« claims 19, 24: the feedback circuits of D4, D5, D6 and D1 are based on a
comparison of the desired common mode voltage with a reference
common mode voltage; the specific claimed circuit is merely a design
option alternative to those shown in these documents;
« claims 20-22, 25: see D6, programmable current source load of figure 7
and figure 9; see also D1, figure 1, CMFB and current sources associated
to VP and VN together with figure 13.

Re Item VIl
Certain defects in the international application
1 The independent claims are not in the two-part form as required by Rule 6.3(b)
PCT, whereby the features already disclosed in document D4 should have been
placed in the preamble.
Reference signs in parentheses should have been inserted in the claims to
increase their intelligibility (Rule 6.2(b) PCT). This applies to both the preamble
and characterising portion. Acronyms like DFE are not considered reference
signs and should be placed between commas.

Form PCT/ISA/237 (Separate Sheet) (Sheet 8) (EPO-April 2005)

 WRITTEN OPINION OF THE International application No.
INTERNATIONAL SEARCHING
AUTHORITY (SEPARATE SHEET) PCT/US2021/047115

To meet the requirements of Rule 5.1(a)(ii) PCT, the document D4 should have
been identified in the description and its relevant content should be briefly
indicated.
If the application further enters into Chapter Il, when filing amended claims the
applicant should at the same time bring the description into conformity with the
amended independent claims, Rule 5.1(a)(iii).

4.1 In order to facilitate the examination of the conformity of the amended

application with the requirements of Article 34(2)(b) PCT, the applicant is re-
quested to clearly identify the amendments carried out, no matter whether they
concern amendments by addition, replacement or deletion, and to indicate the
passages of the application as filed on which these amendments are based
(see also Rule 66.8(a) PCT).

Re ltem Vill
Certain observations on the international application
1 In claims 19 and 24 the meaning of "disabled differential DFE taps" is unclear,
Article 6 PCT. It should have been clarified that the inputs are set to ground (as
seen in figure 3A). Otherwise, another interpretations are possible (like, e.g. a
switch is present which allows to disable the taps).

Form PCT/ISA/237 (Separate Sheet) (Sheet 9) (EPO-April 2005)