DOCKET NO: 01 l l l68-0240
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT:
`
`6,772,215
`
`INVENTOR:
`
`Bela Rathonyi, et. al.
`
`TITLE:
`
`METHOD OF MINIMIZING FEEDBACK RESPONSES
`
`IN ARQ PROTOCOLS
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`DECLARATION OF HARRY BIMS, PH.D.
`
`1, Harry Bims, declare as follows:
`
`General Background
`
`1.
`
`My name is Harry Bims.
`
`I have been asked to offer opinions
`
`regarding whether certain claims of U.S. Patent No. 6,772,215 (the ‘2lS patent) are
`
`anticipated or would have been obvious in View of the prior art, and to review a
`
`Petition for Inter Pame.s' Review of U.S. Patent No. 6,772,215, which I understand
`
`is being filed with this declaration.
`
`2.
`
`I received my B.S. in computer and systems engineering from
`
`Rensselaer Polytechnic Institute in 1985, my MS. in electrical engineering from
`
`' 1 '
`
`BROADCOM 1004
`
`
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`PATENT:
`
`6,772,215
`
`INVENTOR:
`
`Bela Rathonyi, et. al.
`
`TITLE:
`
`METHOD OF MINIMIZING FEEDBACK RESPONSES
`
`IN ARQ PROTOCOLS
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`DECLARATION OF HARRY BIMS, PH.D.
`
`1, Harry Bims, declare as follows:
`
`General Background
`
`1.
`
`My name is Harry Bims.
`
`I have been asked to offer opinions
`
`regarding whether certain claims of U.S. Patent No. 6,772,215 (the ‘2lS patent) are
`
`anticipated or would have been obvious in View of the prior art, and to review a
`
`Petition for Inter Pame.s' Review of U.S. Patent No. 6,772,215, which I understand
`
`is being filed with this declaration.
`
`2.
`
`I received my B.S. in computer and systems engineering from
`
`Rensselaer Polytechnic Institute in 1985, my MS. in electrical engineering from
`
`' 1 '
`
`BROADCOM 1004
`
`
`
`Stanford University in 1988, and my Ph.D. in electrical engineering from Stanford
`
`University in 1993. Since receiving my doctorate, I have worked on a number of
`
`wireless and mobile technologies, including wireless pagers, wireless home LAN
`
`protocols, cellular products including 2.5G and 3G products, wireless network
`
`infrastructures based on the 802.1 1 wireless specification, and wireless networks in
`
`the 4G technology known as WiMAX, an implementation of 802.16.
`
`3.
`
`I have been actively involved in the development of the 802.16
`
`standards, which is a series of wireless broadband standards written by the Institute
`
`of Electrical and Electronics Engineers (IEEE), including as a vice—chair of the
`
`802.16 working group, and chair of two task groups. Previously, I was the vice-
`
`chair and secretary of the IEEE 802.16h License Exempt Task Group.
`
`4.
`
`I am currently working as both a technology consultant in the industry
`
`and an expert consultant for litigation matters.
`
`5.
`
`I began my technical career in 1992 just before completing my Ph.D.
`
`as one of the first employees at Glenayre Technologies, where I worked until 1998.
`
`While at Glenayre, I designed and built a 4—channel wireless pager demonstration
`
`based on the ReFLEX wireless protocol developed by Motorola, which led to an
`
`award for Narrowband Personal Communications Service (PCS) development.
`
`I
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`invented, designed, and built a two—way pager test system for the ReFLEX
`
`protocol that was deployed around the country for testing pagers. Additionally, I
`
`
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`co—developed a wireless application protocol for sending and receiving encrypted
`
`email messages over the paging channel, which was ultimately deployed for
`
`government agencies.
`
`6.
`
`In 1999 I was a member of the technical staff at T—SPAN Systems
`
`Corporation LLC, where I designed a wireless home LAN protocol.
`
`In 1999 I also
`
`served as a technical leader to Gigabit Wireless, Inc., where I lead the Wireless
`
`Media Access Control (MAC) design group. My work at Gigabit Wireless
`
`involved analyzing competing wireless MAC protocol standards, creation of a
`
`proprietary MAC protocol specification document, simulation of the protocol, and
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`ultimate implementation of the protocol in a prototype.
`
`I also participated in
`
`meetings for the 802.16 standards starting at about that time.
`
`7.
`
`From 1999 to 2001 I served as the director of software architecture at
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`Symmetry Communications Systems LLC, where I was responsible for the
`
`software architecture for their core products for the GPRS market.
`
`In 2001 I also
`
`worked as an entrepreneur in residence at the venture capital firm Bay Partners
`
`LLC, where I served as a technology expert to the partners of the firm on a range
`
`of wireless and networking subjects.
`
`8.
`
`From 2001 to 2004 I founded my own company, AirFlow Networks,
`
`Inc. LLC, where I served as CEO and CTO. AirFlow Networks was involved with
`
`a wireless network infrastructure based on the 802.11 wireless specification.
`
`
`
`9.
`
`From 2007 to 2009 I worked as a technology consultant to Apple,
`
`Inc., including participating in IEEE 802.16 standards meetings.
`
`10.
`
`I am a named inventor on eighteen U.S. Patents that involve various
`
`aspects of wireless and mobile communications. Examples of my patents include
`
`U.S. Patent No. 6,788,658 entitled “Wireless communication system architecture
`
`having split MAC layer,” which issued on September 7, 2004; and U.S. Patent No.
`
`6,557,134 entitled “ARQ method for wireless communication,” which issued on
`
`April 29, 2003. Additionally, I have authored or co-authored a number of articles
`
`in the fields of electrical engineering and computer science.
`
`1 I.
`
`I have been a member or vice—chair of numerous associations,
`
`including the chair of the Silicon Valley Chapter of the IEEE Engineering
`
`Management Society, and vice-chair of the 802.16 Working Group of the IEEE
`
`802 Standards Development Committee.
`
`12.
`
`A copy of my latest curriculum vitae (CV) is attached as Appendix A.
`
`13.
`
`I am being compensated at my normal consulting rate for my work.
`
`My compensation is not dependent on and in no way affects the substance of my
`
`statements in this Declaration.
`
`14.
`
`I have no financial interest in Petitioner.
`
`I have been informed that
`
`Ericsson purport to own the patent for which review is requested.
`
`I have no
`
`financial interest in Ericsson.
`
`
`
`U.S. Patent No. 6,772,215
`
`15.
`
`I have reviewed and understand the specification, claims, and file
`
`history of the ‘215 patent.
`
`16.
`
`I have reviewed and understand the overview of the ‘215 patent set
`
`forth in Section IV of the Petition for Inter Parles Review.
`
`In my opinion, the
`
`overview accurately describes the ‘2 l 5 patent.
`
`17.
`
`I have considered certain issues from the perspective of a person of
`
`ordinary skill in the art. In my opinion, a person of ordinary skill in the art for the
`
`‘2 1 5 patent would be a person with a bachelor's or graduate degree in a relevant
`
`field, such as electrical or computer engineering or computer science, with some
`
`amount of work experience in communications.
`
`Claim Construction
`
`18.
`
`I understand that the claims in an inter partes review should be given
`
`their “broadest reasonable construction in light of the specification” as commonly
`
`understood by a person of ordinary skill in the art.
`
`19.
`
`I have reviewed the claim construction in Section III of the Petition
`
`and concur that the constructions represent the broadest reasonable constructions
`
`as they would be understood by a person of ordinary skill in the art.
`
`20.
`
`Regarding the “means for receiving,” there is no specific structure
`
`cited in the ‘2l5 patent except an ARQ entity 12. Like any other networking
`
`-5-
`
`
`
`device that implements ARQ protocols and algorithms for sending and receiving
`
`digital data, this entity would have a processor that would be programmed to
`
`generate messages that could include the identified fields.
`
`21.
`
`For the “means for sending,” while specific structure is not shown
`
`other than ARQ entities, it would be inherent that these ARQ entities would
`
`include a transmitter for sending data units to a receiver.
`
`Technical Basis Underlying the Grounds of Rejections Set Forth in the
`Petition for Inter Partes Review
`
`The Challenged Claims are Anticipated by Seo
`
`22.
`
`I have reviewed and understand Seo, U.S. Patent No. 6,581,176
`
`(“Seo”, Ex. 1002). In my opinion, a person of ordinary skill in the art would find
`
`Seo to be an enabling disclosure of the subject matter it discusses. A chart
`
`summarizing citations in Sec is at the end of this declaration, and may include
`
`more citations than are specifically provided below.
`
`23.
`
`Seo is a patent, assigned on its face to LG Information and
`
`Communication Ltd., relating to improving the reliability of NAK transmissions
`
`and preventing delay of frames. Further, a goal is to improve throughput per unit
`
`time. (Ex. 1002, 3:58-42)- Seo describes these benefits in the context of a
`
`wireless CDMA cellular system. (Id. at 1:14).
`
`24.
`
`Seo discloses two types of ARQ feedback responses:
`
`-5-
`
`
`
`0
`
`A first type that identifies a first and last sequence number (SN) of
`
`frames (packets or PDUS) to be retransmitted (“First/Last Approach”)
`
`(Id. at 5:54-6:6); and
`
`I
`
`A second type that includes one or more bitmaps (“Bitmap
`
`Approach”) (Id. at 6:6-22).
`
`25.
`
`The receiver disclosed in Seo indicates to the transmitter which type
`
`of feedback is being used though a field called NAK_TYPE (i.e., a type of
`
`negative acknowledgement).
`
`(Id. at 5:53-54). The example provided in Figure 4
`
`of Seo demonstrates how a receiver could go from one type of feedback to the
`
`other type of feedback, and from one response to the next.
`
`In this example, at first,
`
`there are consecutive missing frames 4 through 13. Thus, the receiver could use
`
`the First/Last Approach. Subsequently, with multiple non-consecutive missing
`
`frames, the receiver could use the Bitmap Approach.
`
`(Id. at 6:26-49). This
`
`example in Seo would indicate to a person of ordinary skill how Seo could use
`
`different types of feedback for efficiency.
`
`26.
`
`A NAK_TYPE value of “00” indicates the F irst/Last Approach, and
`
`can be used to indicate a series of missing data units. The fields include FIRST
`
`and LAST, each of which is a SN of a missing frame. The first and last SNs
`
`indicate a series of sequence numbers extending from the first to the last missing
`
`-7-
`
`
`
`frame.
`
`(Id. at 5:63-67)- For example, if FIRST = 10 and LAST = 15, these fields
`
`indicate that the six data units with sequence numbers of 10, l 1, 12, 13, 14, and 15
`
`are all missing or erroneous, and are requested for retransmission. This is an
`
`alternative to specifying a first SN and a number (length) of subsequent frames;
`
`e.g., FIRST = 10 and LENGTH = 6 (or 5, depending on the protocol).
`
`27.
`
`A NAK_TYPE value of “01” indicates the Bitmap Approach. The
`
`fields for this approach include a NAK_lV[ap_Count field to indicate a number of
`
`bitmaps, and a bitmap NAK_Map field that has 8 bits. The NAK_Map_Count
`
`indicates a number that is one less than the number of bitmaps. For example, a
`
`NAK_Map_Count binary value of “00” would indicate 0 + 1 = 1 bitmap, while a
`
`binary value of “10” = 2 would indicate 2 + 1 = 3 bitmaps. If there are multiple
`
`bitmaps, a starting sequence number (NAK_Map_SEQ) is provided for each
`
`bitmap. Figure 4 does not specifically show the number of bits the first time
`
`NAK_Map is shown, but viewing this in context and considering that the second
`
`instance of NAK_Map has 8 bits, a person of ordinary skill would understand that
`
`a single NAK_Map would have 8 bits.
`
`(Id. at 6:5-21).
`
`28.
`
`Seo provides an example in which one type of feedback (First/Last
`
`Approach) can be used where there is a series of missing frames, and how a
`
`different TYPQ of feedback (Bitmap Approach) where there is a group of non-
`
`
`
`consecutive missing frames. (Seo, 6:22-49, Ex. 1002). One of ordinary skill in the
`
`art would understand that using different types of feedback as disclosed in Seo in
`
`an optimal way reduces the number of bits to be transmitted and is therefore more
`
`efficient. Where there are a series of consecutive missing packets (such as SN 4
`
`through SN 13 in the example), the First/Last Approach is likely most efficient,
`
`whereas if there are individual non—consecutive packets missing, the Bitmap
`
`Approach is likely more efficient. (Id. at 6:25-49).
`
`29.
`
`The NAK_TYPE field has two bits, and therefore could be used to
`
`indicate four values. Seo does not identify specific uses of binary values of “l0”
`
`and “1 1”. One of ordinary skill in the art would understand these values to be
`
`unused and/or reserved for future use. Reserving (or not using) certain values that
`
`a field can have is not unusual, and is quite common in protocols. One of ordinary
`
`skill would understand that Seo would allow for further types of feedback to be
`
`defined.
`
`Seo Anticipates Independent Claim 1
`
`30.
`
`Claim 1 reads:
`
`1. A method for minimizing feedback responses in an
`
`ARQ protocol, comprising the steps of:
`
`[a] sending a plurality of first data units over a
`
`communication link;
`
`
`
`[b] receiving said plurality of first data units; and
`
`[c] responsive to the receiving step, constructing a
`
`message field for a second data unit, said message field
`
`including
`
`[i] a type identifier field and
`
`[ii] at least one of a
`
`sequence number field,
`
`a length field, and
`
`a content field.
`
`31.
`
`Sec discloses claim elements l[a] and l [b]. Seo describes a system in
`
`which a transmitter (Figures 6 and 7; Transmitting Station A) in a system, such as
`
`a cellular mobile radio system, sends a plurality of first data units (frames) to a
`
`receiver, and a receiver (Figures 6 and 7, Receiving Station B) receives the first
`
`plurality ofdata units (frames). (Seo, 1:20-25; 2:30-3:24; 7:30-8:3, Ex. 1002).
`
`32.
`
`Sec discloses claim element 1[c].
`
`In See, the receiver can use radio
`
`link protocol (“RLP”) control frames, one of which is an RLP NAK frame for
`
`negative acknowledgements.
`
`(Id. at 5:42-46; l:l4- 2:29). This RLP NAK
`
`-10-
`
`
`
`feedback response has a “type identifier field” (NAK_TYPE), and has at least one
`
`of a sequence number field, a length field, and a content field. Specifically, Seo
`
`discloses a content field that can include a bitmap (NAK_Map). (Id. at Fig. 4;
`
`5:47-6:22). Seo also discloses sequence number fields, such as FIRST, LAST, and
`
`NAK_lVIap_Seq. (Id. at Fig, 4; 5:54-67; 6:7-14).
`
`Seo Anticipates Dependent Claims 2 and 6
`
`33.
`
`Claims 2 and 6 read as follows:
`
`2. The method of claim 1, wherein said message field
`
`comprises a bitmap message.
`
`6. The method of claim I, wherein said content field
`
`comprises a bitmap.
`
`34.
`
`In Seo, the RLP NAK feedback response has a “type identifier field”
`
`(NAK_TYPE), and a content field (which is part of the claimed “message field”)
`
`that can include a bitmap ('NAK_Map). (Id. at Fig. 4; 5:47-6:22; 9:38-48, Ex-
`
`1002).
`
`Seo Anticipates Dependent Claims 4 and 8
`
`35.
`
`Claims 4 and 8 read as follows:
`
`4. The method of claim 1, wherein said sequence number
`
`field includes any sequence number from said plurality of
`
`first data units.
`
`-11-
`
`
`
`8. The method of claim 1, wherein said second data unit
`
`comprises information about missing or erroneous said
`
`first data units.
`
`36.
`
`In Seo, the RLP NAK feedback response includes sequence number
`
`fields with various sequence numbers from the received first data units (e.g.,
`
`FIRST, LAST, or NA I(_Map_SEQ) that identify missing or erroneously received
`
`first data units. (Seo, Fig. 4; 5:47-6:22; 7:9—16, Ex. 1002). A Bitmap Approach
`
`also identifies missing or erroneously received packets.
`
`(Id. at 626-22; 9:42-48)
`
`Seo thus discloses a response that comprises information about missing or
`
`erroneously received first data units with either the First/Last Approach or the
`
`Bitmap Approach.
`
`Seo Anticipates Independent Claim 15
`
`37.
`
`Claim 15 reads as follows:
`
`15. A method for minimizing feedback responses in an
`
`ARQ protocol, comprising the steps of: [a] sending a
`
`plurality of first data units over a communication link; [b]
`
`receiving said plurality of first data units; and
`
`[c] responsive to the receiving step, constructing a
`
`message field for a second data unit, said message field
`
`including
`
`-12-
`
`
`
`[i] a type identifier field and
`
`[ii] at least one of,
`
`a length field,
`
`a plurality of erroneous sequence number-fields,
`
`and
`
`a plurality of erroneous sequence number length
`
`fields, each of said plurality of erroneous sequence
`
`number fields associated with a respective one of
`
`said plurality of erroneous sequence number length
`
`fields-
`
`38.
`
`Seo discloses claim elements l5[a] and l5[b], which are the same as
`
`those in claim 1. Sec describes a system in which a transmitter (Figures 6 and 7;
`
`Transmitting Station A) in a system, such as a cellular mobile radio system, sends
`
`a plurality of first data units (frames) to a receiver, and a receiver (Figures 6 and 7,
`
`Receiving Station B) receives the first plurality of data units (frames). (Seo, 1:20-
`
`25; 2:30-3:24; 7:30—8:3, Ex. 1002).
`
`39.
`
`Claim element l5[c], is similar to claim 1 in requiring a type
`
`identifier field, but is different in that it requires one of several other types of fields
`
`-13-
`
`
`
`in addition to the type identifier field, including as one option “a plurality of
`
`erroneous sequence number fields” as shown above.
`
`40.
`
`Seo discloses a “type identifier field” (Seo, NAK_TYPE, e.g., Fig. 4)
`
`as discussed above, and also discloses a plurality of erroneous sequence number
`
`fields. These erroneous sequence number fields are either:
`
`(1) the FIRST and LAST fields, each of which represents the sequence
`
`numbers of two non-received data units, and further indicates other sequence
`
`numbers between FIRST and LAST (Id. at Fig. 4; 5:54-57), or
`
`(2) the one—bit fields within a bitmap that each identify the missing frames
`
`by sequence number (Fig. 4; 6:13-17). That is, a bitmap with a starting
`
`sequence number (SSN) and, for example, an 8-bit bitmap of 1 1001 I 11
`
`indicates that sequence numbers of SSN+3 and SSN + 4 are missing
`
`(assuming “O” indicates a SN not received or not received correctly).
`
`Seo Anticipates Dependent Claim 22
`
`41.
`
`Claim 22 reads: The method of claim 15, wherein said second data
`
`unit comprises information about missing or erroneous said first data units.
`
`42.
`
`The information in Seo for (1) FIRST and LAST fields or (2) bitmap
`
`is about missing or erroneously received data units as noted above. (Seo, 5:63-67,
`
`6:1 l-15; 9:17-48, Ex. I002).
`
`-14-
`
`
`
`Sea Anticipates Independent Claim 25
`
`43.
`
`Claim 25 reads:
`
`25. A method for minimizing feedback responses in an
`
`ARQ protocol, comprising the steps of: [a] sending a
`
`plurality of first data units over a communication link; [b]
`
`receiving said plurality of first data units; and [c]
`
`responsive to the receiving step, constructing between
`
`one to several message fields for a second data unit, said
`
`one to several message fields including
`
`a type identifier field and
`
`at least one of
`
`a sequence number field,
`
`a length field,
`
`a content field,
`
`a plurality of erroneous sequence number fields, and
`
`a plurality of erroneous sequence number length fields,
`
`each of said plurality of erroneous sequence number
`
`-15-
`
`
`
`fields associated with a respective one of said plurality of
`
`erroneous sequence number length fields.
`
`44.
`
`Seo discloses claim elements 25[a] and 25[b] for the same reasons as
`
`claim elements l[a] and l[b] and 15[a] and l5[b]. Seo describes a system in which
`
`a transmitter (Figures 6 and 7; Transmitting Station A) in a system, such as a
`
`cellular mobile radio system, sends a plurality of first data units (frames) to a
`
`receiver, and a receiver (Figures 6 and 7, Receiving Station B) receives the first
`
`plurality of data units (frames). (Seo, 1:20-25; 2:30-3:24; 7:30-8:3, Ex. 1002).
`
`45.
`
`Seo discloses claim element 25[c], which requires a type identifier
`
`field and one of a number of other fields, including a content field, a sequence
`
`number field, or a plurality of erroneous sequence numbers field.
`
`In Seo, a
`
`feedback response is constructed with message fields; in a specific example, the
`
`system uses radio link protocol (RLP) control frames, one of which is an RLP
`
`NAK frame for negative acknowledgements.
`
`(Id. at 5:42-46; 1: 14- 2:29).
`
`46.
`
`This RLP NAK feedback response has a “type identifier field”
`
`(NAK_TYPE) as discussed above for claim 1, and a number of the different “at
`
`least one of” fields. Specifically, Seo discloses (1) a content field that can include
`
`a bitmap (NAK_Map) (Seo, Fig. 4 and 5:47-6:22; see also discussion of claim 1);
`
`(2) sequence number fields (e.g., FIRST and LAST); and (3) a plurality of
`
`-15-
`
`
`
`erroneous sequence number fields (see discussion of claim 15 above). See also
`
`discussion of claim element l5[c] at 1] 39 herein.
`
`Sco Anticipates Dependent Claims 29 and 32
`
`47.
`
`Claims 29 and 32 read as follows:
`
`29. The method of claim 25, wherein said one to several
`
`message fields include a bitmap message.
`
`32. The method of claim 25, wherein said content field
`
`comprises a bitmap.
`
`48.
`
`This RLP NAK feedback response has a “type identifier field”
`
`(NAK_TYPE), a content field that can include a bitmap (NAK_Map). (See, Fig. 4
`
`and 5:47-6:22; 9:38-48, Ex. 1002).
`
`Sen Anticipates Dependent Claim 34
`
`49.
`
`Claim 34 reads: The method of claim 25, wherein said second data
`
`unit comprises information about missing or erroneous said first data units.
`
`50.
`
`In See, the fields of the RLP NAK feedback response include Various
`
`sequence number fields (e.g., FIRST, LAST, or NAI(_Map_SEQ) of missing or
`
`erroneously received first data units. (See, Fig. 4; 5:47-6:22; 9:18-22, Ex. 1002).
`
`See Anticipates Dependent Claim 26
`
`51.
`
`Claim 26 reads: The method of claim 25, wherein said one to several
`
`message fields further comprise an acknowledgment message.
`
`-17-
`
`
`
`52.
`
`In See, the RLP NAK feedback response has a “type identifier field”
`
`(NAK_TYPE), which is a content field that can include a bitmap (NAK_Map).
`
`(Seo, Fig. 4 and 5:47—6:22,Ex. 1002). The bitmap includes an indication of PDUs
`
`that are expressly acknowledged.
`
`(Id. at 6: 13-17). That is, a bitmap with a starting
`
`sequence number (SSN) and, for example, an 8-bit bitmap of 11001 1 1 1 indicates
`
`that sequence numbers of SSN+l, +2, and +5 through +8 are acknowledged as
`
`correctly received. Further, the FIRST field indicates a first field for which
`
`retransmission is requested. This FIRST field thus acknowledges all SNs before
`
`FIRST.
`
`Seo Anticipates Independent Claim 45
`and Dependent Claims 46, 49, 52, and 54
`
`S3.
`
`Claim 45 of the ‘2 15 patent contains means—p1us—function limitations,
`
`which I understand are construed based on the structures disclosed in the ‘2 l 5
`
`patent specifications and equivalents of those structures. The ‘2 1 5 patent does not
`
`identify specific structure beyond peer ARQ entities that transmit and receive, and
`
`refers to devices that communicate over cellular networks.
`
`It is well-known to
`
`those of ordinary skill in the art that such transmitting and receiving entities (in the
`
`‘2 1 5 patent and also in the prior art) that implement RLP or ARQ protocols and
`
`algorithms would inherently include processors that are programmed to create
`
`messages that can include fields that are specified by the programming. The level
`
`of detail in the ‘2l5 patent and Sec is substantially the same in that they each
`
`-13-
`
`
`
`disclose a box with a transmitting or receiving station and then describe how they
`
`form messages with fields.
`
`54.
`
`Claim 45 reads as follows:
`
`45. A system for minimizing feedback responses in an
`
`ARQ protocol, comprising: [a] a first peer entity; [b] a
`
`second peer entity; and [c] a communication link coupled
`
`between said first peer entity and said second peer entity
`
`for communicating data therebetween;
`
`[(1] said first peer entity including means for sending a
`
`plurality of first data units over said communication link
`
`to said second peer entity;
`
`[e] said second peer entity including
`
`means for receiving said plurality of first data units, and
`
`constructing one to several message fields for a second
`
`data unit, said one to several message fields including
`
`[i] a type identifier field and
`
`[ii] at least one of
`
`a sequence number field,
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`-19-
`
`
`
`a length field,
`
`a content field,
`
`a plurality of erroneous sequence number fields, and
`
`a plurality of erroneous sequence number length fields,
`
`each of said plurality of erroneous sequence number
`
`fields associated with a respective one of said plurality of
`
`erroneous sequence number length fields.
`
`55.
`
`Claim 45 and dependent claims 46, 49, 52, and 54 generally relate to
`
`the same types of fields discussed above in conjunction with claim 22 (which
`
`essentially combined the options of claims 1 and 15).
`
`S6.
`
`Seo discloses elements 45 [a] through 45[d]. More specifically, Seo
`
`describes a system in which a first peer entity (Figures 6 and 7; Transmitting
`
`Station A) in a cellular mobile radio system sends a plurality of first data units, and
`
`a second peer entity (Receiving Station B) receives the first plurality of data units
`
`in a CDMA mobile radio communications system (Seo, Figures 6 and 7; 1:14-19).
`
`In Seo, the first peer entity (Transmitting Station A) has a transmitter as a means
`
`for sending the first data units. (Seo, Figures 6 and 7). See also discussion of claim
`
`elements 1[a] and 1[b], 15[a] and 15[b], and 25[a] and 25[b].
`
`-20-
`
`
`
`57.
`
`Seo discloses element 45[e]. In Seo, the system inherently has a
`
`processor that constructs radio link protocol (RLP) control frames, one of which is
`
`an RLP NAK frame for negative acknowledgements. (Sec, 5: 42-46; 1:14-2:29,
`
`Ex. 1002). This RLP NAK feedback response has a “type identifier field”
`
`(NAK_TYPE). Seo also discloses (1) a content field that can include a bitmap
`
`(NAK_Map). (Seo, Figure 4 and 5:47-6:22); (2) sequence number fields (e.g.,
`
`FIRST, LAST and NAK_Map_SEQ), and (3) fields of erroneously received
`
`sequence numbers (FIRST, LAST), as discussed above in conjunction with claim
`
`15. (Sec, Figure 4, 5:42-6:22, Ex. 1002)
`
`58.
`
`Dependent claims 46, 49, 52, and 54 are substantially the same as
`
`dependent claims 26, 29, 32, and 34, and are anticipated for the same reasons.
`
`59.
`
`Seo discloses dependent claim 46. This RLP NAK feedback response
`
`has a “type identifier field” (NAK_TYPE), a content field that can include a
`
`bitmap (NAK_l\/lap). (Seo, Fig. 4; 5:47-6:22; 9:38-48, Ex. 1002). The bitmap
`
`includes an indication of PDUS that are expressly acknowledged.
`
`(Id. at 6:13-17;
`
`see also discussion of claim 26).
`
`60.
`
`Sec discloses dependent claims 49 and 52, which relate to use of a
`
`bitmap in a message field or content field. This RLP NAK feedback response has
`
`a “type identifier field” (NAK_TYPE), a content field that can include a bitmap
`
`-21-
`
`
`
`(NAK_Map).
`
`(Seo, Fig. 4 and 5:47-6:22; 9:38-48, Ex. 1002; see also discussion
`
`of claims 29 and 32).
`
`61.
`
`Seo discloses dependent claim 54. The fields include various sequence
`
`number fields (e.g., FIRST, LAST, or NAK_Map_SEQ) of missing or erroneously
`
`received first PDUs. (Fig. 4 and 5:47-6:22; see also discussion of claim 34).
`
`62. While I understand that the preamble — “for minimizing feedback
`
`responses in an ARQ protocol” -- should not be considered a substantive part of
`
`the claims, the discussion above with respect to the example of Seo in operation (at
`
`Seo, 6:26-59), indicates that Seo can select one of a plurality of types of NAK
`
`based on the nature of the missing frames, and allows selection a more efficient
`
`method for transmitting the feedback. Further, Seo discloses that a goal of his
`
`invention is to reduce the number of the total NAK control frames and increase
`
`throughout per unit of time. (Seo, Abstract; 3:66-4:2).
`
`Patent 0wner’s Prior Response to Seo
`
`63.
`
`I have reviewed an expert report that I understand the Patent Owner
`
`submitted (“Report”, Ex. 1006) in a prior litigation to rebut the contention that Seo
`
`anticipates the claims.
`
`64.
`
`The Report addressed only the common limitation of a “type identifier
`
`field.” It did not distinguish any other element of the claims, did not distinguish
`
`-22-
`
`
`
`any of the independent claims separately from each other, and did not distinguish
`
`any dependent claim separately from the independent claim from which it depends.
`
`(Report, Ex. 1006, 1111 600-605).
`
`65.
`
`The Report says that Seo discloses “a redundant NAK mechanism,
`
`i.e., it combines bitmaps and lists-” (Report, Ex. 1006, {l 600). However, the
`
`Report does not point out how such an alleged redundancy would distinguish what
`
`Seo discloses from any element of the claims of the ‘2 1 5 patent.
`
`66.
`
`Further, even if the use of different fields as opposed to redundant
`
`fields were relevant, Seo makes clear that certain fields exist depending on the
`
`type.
`
`It would be apparent to a person of ordinary skill that when the NAK_TYPE
`
`indicates a first type of feedback, one set of fields is used; when the NAK_TYPE
`
`indicates a second type of feedback, a second set of fields is used. This approach
`
`is to the same as that Figures 4-7 of the ‘2 1 5 patent. Further, it is well known in
`
`protocols that some form of message type can cause the fields that follow to have
`
`different meaning depending on the type.
`
`67.
`
`Seo’s claim 1 l, which depends from claim 10, indicates that the
`
`FIRST field, LAST field, and two other fields exist for NAK_TYPE = 00, and that
`
`another set of fields exists for NAK_TYPE = 01:
`
`-23-
`
`
`
`10. The method of claim 8, wherein said NAK control
`
`frame further comprises: . .. (g) a field FIRST with a
`
`length of 12 bits which is the 12-bit sequence number of
`
`a first user data frame for which the retransmission is
`
`required; (h) a field LAST with a length of 12 bits which
`
`is the 12-bit sequence number of a last user data frame
`
`for which the retransmission is required; (i) a field with a
`
`length of 16 bits which is a frame check sequence; (1') a
`
`field with a variable length which is padding bits and is
`
`required to fill the remainder of the NAK control frame;
`
`(k) a field with a length of 2 bits which indicates a
`
`number less than the number of NAK maps in the NAK
`
`control frame; .
`
`. ..
`
`11. The method of claim 10, wherein said (g), [h], [i]
`
`and (1') fields exist‘ when a value of said [d] field is
`
`"00", said gk) field exists when the value of said [d]
`
`field is "01", and said [11 and [m[ fields exist when the
`
`value of said [kt field+1 exists.
`
`-24-
`
`
`
`68.
`
`The Report suggests that the meaning of “exist” is unclear (Report,
`
`Ex. 1006, 1] 603) but I believe it is clear, and that it would be clear to a person of
`
`ordinary skill in the art.
`
`69.
`
`The Report states that NAK_TYPE is not “fully defined” since Seo
`
`does not disclose what to do with values 10 and l l of NAK_TYPE. (Report, Ex.
`
`1006, '|] 604). The ‘2l5 patent claims do not require all the Values of a type field to
`
`be assigned. Moreover, it is well—known to those of ordinary skill in the art that
`
`values of fields are often reserved, such as for future use or expansion. One of
`
`ordinary skill in the art would assume that Seo envisioned that further types of
`
`feedback could be defined.
`
`70.
`
`The Report asserts that Seo is not enabling. (Report, Ex. 1006, 1] 605).
`
`I disagree. One of ordinary skill in the art reading Seo would understand generally
`
`how to use different types of feedback, even without all details being stated. For
`
`example, the Report asserts that one of ordinary skill would not understand what it
`
`means for NAK_Map_Count+l to exist.
`
`(1d.) However, the description indicates
`
`that this field indicates how many maps there are, and that a Value of l or more
`
`indicates multiple bitmaps. Further, the Report comments that the length of
`
`NAK_Map is unclear, but it is apparent in context that there are 8-bit bitmaps.
`
`Thus, there would be one or more 8-bit bitmaps, with the number of bitmaps
`
`-25-
`
`
`
`indicated by NAK_Map_Count, and a starting sequence number at
`
`NAK_Map_SEQ. The first bitmap would start at a number identified by fields
`
`SEQ and L_SEQ_HI. (See See, Figure 4, 5:57-67, 6:6-22). Even if some
`
`implementation detail like these were missing or unclear, one of ordinary skill in
`
`the art would understand how to create fields as taught by Seo to provide both a
`
`First/Last Approach and a Bitmap Approach using a NAK_TYPE field to
`
`distinguish the two approaches.
`
`The Challenged Claims Are Unpatentable Over Gong
`
`71.
`
`I have reviewed and understand the description of Fengmin Gong et
`
`al., “An Application-Oriented Error Control Scheme for High-Speed Networks,”
`
`IEEE/ACM Transactions on Networking, Vol. 5, No. 5 (1996) (“Gong”, Ex. 1003)
`
`set forth in Section V[(B) of the Petition and believe it accurately summarizes
`
`Gong’s disclosure.
`
`In my opinion, a person of ordinary skill in the art would find
`
`Gong to be an enabling disclosure of the subject matter it discusses. A chart
`
`summarizing citations in Gong is at the end of this document, and may include
`
`more references than are specifically provided below.
`
`72.
`
`Gong is an IEEE article by a professor and graduate student at
`
`Washington University. The paper describes an error control scheme for a high-
`
`speed network. (Ex. 1003, Title). The stated objective was to satisfy the
`
`-25-
`
`
`
`application error tolerance with minimum transmission overhead, and to achieve
`
`high throughput. (Ex. 1003, 571).
`
`73.
`
`Gong discloses a system for transmitting and receiving high speed
`
`data in a network. (Gong, Title). The Gong system inherently has transmitters and
`
`receivers, and these transmitters and receivers would necessarily be peer entities
`
`with processors for implementing protocols and algorithms, including sending
`
`control data and user data in fields.
`
`74.
`
`Gong discloses an ARQ protocol wi
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