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Rambus Inc.'S Daubert Motion No. 1 To Exclude Certain Testimony of Joseph Mcalexander Date: December 2, 2008 Time: 2:00 P.M. CTRM: 6 (Hon. Ronald M. Whyte)
Rambus Inc.'S Daubert Motion No. 1 To Exclude Certain Testimony of Joseph Mcalexander Date: December 2, 2008 Time: 2:00 P.M. CTRM: 6 (Hon. Ronald M. Whyte)
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RAMBUS INC., CASE NO. C 05-00334 RMW
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Plaintiff, RAMBUS INC.’S DAUBERT MOTION NO.
18 1 TO EXCLUDE CERTAIN TESTIMONY
v. OF JOSEPH MCALEXANDER
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HYNIX SEMICONDUCTOR INC., et al., Date: December 2, 2008
20 Time: 2:00 p.m.
Defendants. Ctrm: 6 (Hon. Ronald M. Whyte)
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RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 2 of 13
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RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 3 of 13
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By: /s/ Peter A. Detre
15 PETER A. DETRE
16 Attorneys for RAMBUS INC.
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RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 4 of 13
4 witness, Joseph McAlexander, has signaled his intention to opine on various matters on which his
5 testimony would be unreliable, irrelevant, or outside the scope of his expert report.
6 Consequently, Rambus respectfully requests that the Court preclude Mr. McAlexander from
11 o The disclosure of the specification of the patents at issue, to the extent that Mr.
13 Rambus Inc. v. Infineon Technologies Ag, 318 F.3d 1081 (Fed. Cir. 2003).
15 have not been shown to be the sort of documents customarily relied on by experts
16 in the field, and which, in any event, Mr. McAlexander does not cite in a
21 which his testimony would be irrelevant, including that Rambus’s RDRAM product suffered from
22 certain drawbacks where those alleged drawbacks are unrelated to any of the inventions at issue
23 in this case.
25 the scope of his expert report, despite his professed desire to do so.1
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Rambus has two other motions pending that could affect the scope of Mr. McAlexander’s
testimony. If all or part of Rambus’s motion to strike portions of Mr. McAlexander’s expert
27 report is granted, then Mr. McAlexander should not be permitted to testify regarding the portions
stricken. In addition, if Rambus’s motion for reconsideration of the construction of the term
28 “memory device” is granted, then Mr. McAlexander should not be permitted to testify that
RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
-1- TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 5 of 13
1 II. ARGUMENT
2 A. Under Rule 702 and Daubert, this Court Exercises a Gatekeeping Function to
Exclude Unreliable or Irrelevant Expert Opinion Testimony.
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4 “Expert evidence can be both powerful and quite misleading because of the
5 difficulty in evaluating it.” Daubert v. Merrell Dow Pharms., Inc., 509 U.S. 579, 595 (1993).
7 witness. United States v. Lumpkin, 192 F.3d 280, 289 (2d Cir. 1999). This creates a “substantial
8 danger” that expert testimony will confuse and unduly prejudice the jury. United States v.
10 Accordingly, Federal Rule of Evidence 702 “places limits on the areas of expertise
11 and the methodologies of analysis which may be covered and used by an expert witness.” DSU
12 Med. Corp. v. JMS Co., 296 F. Supp. 2d 1140, 1146 (N.D. Cal. 2003). The rule permits an expert
13 witness with “scientific, technical, or other specialized knowledge” to testify in the form of an
14 opinion only “if (1) the testimony is based upon sufficient facts or data, (2) the testimony is the
15 product of reliable principles and methods, and (3) the witness has applied the principles and
16 methods reliably to the facts of the case.” Fed. R. Evid. 702. The proponent of expert testimony
17 must establish its admissibility by a preponderance of the evidence. Bourjaily v. United States,
19 Under Daubert, this Court must act as a “gatekeeper” to ensure, with respect to
20 each proposed expert witness and subject of expert opinion testimony, that “the reasoning or
21 methodology underlying the testimony is scientifically valid” and “can properly be applied to the
22 facts at issue.” DSU Med. Corp., 296 F. Supp. 2d at 1146 (quoting Daubert, 509 U.S. at 592-93
23 (alteration in original)); see also Kumho Tire Co. v. Carmichael, 526 U.S. 137, 147-49 (1999)
24 (extending the trial court’s gatekeeping obligation under Daubert to all forms expert testimony,
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multiple chips, such as, for example, the combination of the MCU and the memory array in the
28 iAPX432, together constitute a “memory device.”
RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
-2- TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 6 of 13
1 asserted claims are invalid for failure to satisfy the definiteness and enablement requirements.
2 Mr. McAlexander should be precluded from opining on patent law.
3 2. Mr. McAlexander Should Be Precluded from Contradicting the Federal
Circuit’s Opinion in Infineon.
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5 Mr. McAlexander opines that the specification of the asserted patents describes “a
6 narrow, multiplexed bus” and that “[t]he only discussion or mention in the Farmwald
7 specification of any other type of bus or bus interface occurs in the section of the specifications
8 entitled ‘Comparison With Prior Art.’” Report ¶ 360. Mr. McAlexander’s opinion in this regard
9 is, however, contrary to the Federal Circuit’s opinion in Rambus Inc. v. Infineon Technologies Ag,
10 318 F.3d 1081 (Fed. Cir. 2003). In the course of construing the term “bus,” the Infineon court
11 expressly analyzed the disclosure in the specification and held that “most references to ‘bus’ in
12 the specification do not limit the ordinary meaning of this term.” Id. at 1094.
13 Building on his erroneous opinion regarding the disclosure of the specification,
14 Mr. McAlexander further opines that a person of skill in the art reading Rambus’s original ’898
15 application would understand that a narrow, multiplexed bus “is a necessary part of the claimed
16 inventions and permeates all aspects of the structure and operation of the alleged inventions.”
17 Report ¶ 361. Mr. McAlexander thus concludes that “claims that do not require a connection to a
18 multiplexed bus are not supported by the written description of the ’898 application.” Id. In a
19 related vein, he opines that “claims that provide for transaction requests to be sent to the memory
20 device other than as part of a packet over a multiplexed bus are not supported by the written
21 description of the ’898 application.” Report ¶ 362. Again, this is contrary to the Infineon court’s
22 holding that “a multiplexing bus is only one of many inventions disclosed in the ’898 application.
23 Although some of Rambus’s claimed inventions require a multiplexing bus, multiplexing is not a
24 requirement in all of Rambus’s claims.” Infineon, 318 F.3d at 1095. In addition, Mr.
25 McAlexander’s opinion that there is no support in the specification for claims in which
26 transaction requests are not sent as part of “packets” is contrary to the Federal Circuit’s analysis
27 of the term “read request”: the court, relying in part on the disclosure in the specification,
28 construed “read request” without any limitation to packets. Id. at 1091-93.
RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
-4- TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 8 of 13
1 Mr. McAlexander has, in fact, acknowledged that, contrary to the broad language
2 in his report, in order to abide by the Federal Circuit’s opinion, he must concede that the
3 specification of the asserted patents do disclose inventions independent of the use of a narrow,
4 multiplexed bus. Depo. at 62:24 – 63:11.3 In a belated attempt to reconcile his opinions with
5 Infineon, Mr. McAlexander testified at his deposition that the Federal Circuit’s reference to
6 inventions that did not require a multiplexed bus was in regard to the preferred means of
7 packaging a memory chip disclosed in the specification. Depo. at 63:12 – 64:1.4 The Infineon
8 opinion cannot, however, be read as narrowly as Mr. McAlexander proposes. The inventions at
9 issue in Infineon did not relate to packaging, but were directed at some of the same features – like
10 variable burst length and programmable read latency – that are at issue here. 318 F.3d at 1085.
11 Not only does Infineon never refer to packaging, but, after noting that certain claims do not
12 require a multiplexed bus, the Federal Circuit cites to a restriction requirement in the prosecution
13 history that separated out a “latency” invention (referring to programmable read latency) and a
14 “multiplexing bus” invention as further support for its opinion. Id. at 1095. This citation would
15 be nonsensical if, as Mr. McAlexander submits, the inventions that the Federal Circuit had in
16 mind that were independent of a multiplexed bus related only to packaging.
17 Mr. McAlexander should not be permitted to testify to opinions contrary to the
18 Infineon opinion. In particular, Mr. McAlexander should not be permitted to testify that there is
19 no written description support in the specification of the asserted patents for the asserted claims
20 independent of a narrow, multiplexed bus or independent of a packetized protocol.
21 3. Mr. McAlexander Should Be Precluded from Testifying to the
Reexamination Proceedings Involving Rambus.
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1 evidence or argument regarding the reexamination proceedings on the grounds that any such
2 evidence or argument would be irrelevant and unfairly prejudicial. In addition, Mr. McAlexander
3 should not be permitted to testify regarding the reexamination proceedings for multiple reasons.
4 First, the Manufacturers have not shown that first office actions in patent reexamination
5 proceedings are the sort of materials on which an expert in the field of memory design would
6 rely. Second, even if such first office actions would be relied on by experts, Mr. McAlexander
7 has not cited them in a reliable and consistent manner. Specifically, Mr. McAlexander cites the
8 office actions as support for his opinions that the Farmwald/Horowitz specification does not
9 provide sufficient written description support for a DLL or dual-edge clocking, while ignoring the
10 fact that the very same office actions rejected Mr. McAlexander’s other written description
11 arguments, such as that the specification does not support inventions independent of a narrow,
12 multiplexed bus, does not support inventions independent of a packetized protocol, and does not
13 support inventions independent of an “early clock/late clock” clocking scheme. Finally, Mr.
14 McAlexander’s testimony regarding the office actions would not assist the jury because Mr.
15 McAlexander provides no expert analysis of the office actions, but merely quotes certain of the
16 results reached in them.
17 4. Mr. McAlexander Should Not Be Permitted to Combine Multiple
References in Support of His Anticipation Arguments.
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1 --- F.3d ---, No. 2007-1565, 2008 WL 4614511 at *8 (Fed. Cir. Oct. 20, 2008), an impossibility if
2 the limitations are spread over multiple documents.
3 At his deposition, Mr. McAlexander conceded that he was relying on a
4 combination of distinct SCI references for his anticipation opinions. Depo. at 16:17 – 17:1.
5 Nevertheless, Mr. McAlexander defended this procedure by stating that it was appropriate
6 because all the documents “refer to the same specific system.” Depo. at 17:18. Mr.
7 McAlexander cites no support for this proposition in his report, and, in his deposition, admitted
8 that he was “not aware of a working [SCI] system” in the relevant time frame. Depo. at 19:24 –
9 20:3.
10 Mr. McAlexander should be precluded from relying, contrary to law, on
11 combinations of prior art references to support his opinions regarding anticipation.
12 5. Mr. McAlexander Should Be Precluded from Testifying About Alleged
Problems with RDRAM.
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1 Report ¶ 355, would require Rambus to respond with evidence that it was the Manufacturers’
2 anticompetitive activities – not any purported drawbacks of RDRAM – that prevented RDRAM
3 from becoming the dominant DRAM for main memory.
4 6. Mr. McAlexander Should Be Precluded from Offering Opinions Outside
the Scope of His Expert Report.
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6 Mr. McAlexander has signaled his intent to opine on matters outside his expert
7 report if permitted to do so. Depo. at 10:5 – 11:15. In particular, Mr. McAlexander stated that he
8 would opine at trial that a patent to an inventor named Hoff cited in the background section of the
9 Farmwald/Horowitz specification relates to an Intel product known as the MCS-4 and was a
10 “synchronous-type memory system.” Id.
11 Federal Rule of Civil Procedure 26(a)(2)(B)(i) provides that an expert’s report
12 must contain “a complete statement of all opinions the witness will express and the basis and
13 reasons for them.” Mr. McAlexander should not be permitted to evade the requirements of the
14 Federal rules and introduce new opinions at this late date – opinions that he concedes are outside
15 the scope of his expert report.
16 Mr. McAlexander attempts to justify his untimely opinions regarding the Hoff
17 patent and Intel’s MCS-4 product, testifying that he intends to raise them “based upon some
18 positions that were taken by Mr. Murphy [in his rebuttal expert report], with regard to the fact that
19 the state of the art was asynchronous, and that synchronous was not part of what was known and
20 in use at the time.” Depo. at 11:24 – 12:2. Mr. McAlexander’s excuse is disingenuous. Indeed,
21 Mr. McAlexander opined in his original report – prior to Mr. Murphy’s rebuttal report – that early
22 synchronous DRAM interfaces existed, but chose not to include the Hoff patent or the Intel MCS-
23 4 as support for his opinion. Report ¶ 47.
24 Mr. McAlexander should be precluded from opining on topics outside the scope of
25 his expert report, including the Hoff patent and Intel’s MCS-4 product.
26 7. Mr. McAlexander Should Not Be Permitted to Rely on Prior Art
References that Are Not on His Invalidity Charts.
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Mr. McAlexander should not be permitted to rely on prior art references that do
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RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
-8- TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 12 of 13
1 not appear on the charts attached to his report in support of his opinions regarding anticipation
2 and obviousness. In response to questioning regarding whether Attachment M to his report, a
3 summary chart, listed all of the prior art references that Mr. McAlexander intended to rely on to
4 support his opinions regarding anticipation and obviousness, Mr. McAlexander testified that
5 Attachment M “is an overview of the attachments A through L, listing the various art, against the
6 various patents. That is a true and complete representation of the art as I cited it in my expert
7 report.” Depo. at 15:24 – 16:3. In the body of his report, however, Mr. McAlexander refers in
8 passing to certain prior art references that do not appear on Attachment M or the charts at
9 Attachments A through L. For example, in his report, Mr. McAlexander opines that a December
10 1988 Unisys presentation to JEDEC “included a register programmable block size.” Report ¶
11 152. Mr. McAlexander provides no further detail regarding the Unisys presentation and does not
12 explain how, if at all, the Unisys presentation relates to any of the asserted claims that include a
13 “block size information” limitation. The Unisys presentation does not appear on the charts
14 detailing Mr. McAlexander’s anticipation and obviousness opinions with respect to the asserted
15 claims. See Detre Decl., Ex. E (Attachment M to Mr. McAlexander’s Report).
16 Prior to the service of Mr. McAlexander’s report, the Court instructed the
17 Manufacturers to reduce the number of their prior art references, stating that “[i]t is hard for the
18 court to imagine a legitimate basis for asserting more than two allegedly anticipating references
19 and two or three obviousness combinations per claim.” Supplemental Claim Construction Order
20 for the Ware Patents, Aug. 27, 2008, at 10. The number of prior art references per claim alleged
21 to be anticipatory or to render the claim obvious on Mr. McAlexander’s invalidity charts already
22 exceeds the Court’s guidelines. Detre Decl., Ex. E. The Manufacturers should not be permitted
23 to rely on yet more prior art references that Mr. McAlexander did not even see fit to include in his
24 charts, based on passing references in the body of Mr. McAlexander’s report.
25 III. CONCLUSION
26 For the reasons set forth above, Rambus respectfully requests that the Court enter an order
27 precluding Mr. McAlexander from testifying at trial as to the matters discussed in this motion.
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RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
-9- TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW
Case 5:05-cv-00334-RMW Document 2435 Filed 10/24/2008 Page 13 of 13
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By: /s/ Peter A. Detre
5 PETER A. DETRE
6 Attorneys for RAMBUS INC.
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RAMBUS’S DAUBERT MOTION NO. 1 TO EXCLUDE
- 10 - TESTIMONY OF JOSEPH MCALEXANDER
C 05-00334 RMW; C 05-02298 RMW; C 06-00244 RMW