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`Entered: January 6, 2015
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`By:
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`
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`Jonathan D. Link
`LATHAM & WATKINS LLP
`555 11th Street, NW, Ste. 1000
`Washington, DC 20004-1304
`Telephone: (202) 637-2200
`Facsimile: (202) 637-2201
`E-mail: jonathan.link@lw.com
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`ZTE CORPORATION AND ZTE (USA) INC.
`Petitioner
`
`V.
`
`IPR LICENSING, INC.
`Patent Owner
`____________
`
`Case IPR2014-00525
`Patent 8,380,244
`_____________
`
`
`Before SALLY C. MEDLEY, MIRIAM L. QUINN, and
`BEVERLY M. BUNTING, Administrative Patent Judges.
`
`
`DECLARATION OF DR. WAYNE E. STARK
`
`
` 2005
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`
`
` Ex. 2005-0001
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`IPR Licensing, Inc.
`Exhibit .
`ZTE Corp v. IPR Licensing, Inc.
`IPR2014-00525
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`
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`TABLE OF CONTENTS
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`Page
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`I.
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`II.
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`INTRODUCTION ........................................................................................... 1
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`QUALIFICATIONS ........................................................................................ 2
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`III.
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`SCOPE OF ENGAGEMENT .......................................................................... 4
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`IV. SUMMARY OF OPINIONS ........................................................................... 4
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`V.
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`LEGAL PRINCIPLES ..................................................................................... 5
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`A. Anticipation ........................................................................................... 5
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`B.
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`Obviousness ........................................................................................... 6
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`VI. U.S. PATENT NO. 8,380,244, THE DUAL-MODE PATENT ..................... 8
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`A.
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`B.
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`C.
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`Background and Overview of the ’244 Patent ...................................... 8
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`Relevant Prosecution History and Cited Prior Art .............................. 16
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`Level of Ordinary Skill in the Art ....................................................... 20
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`D. Date of Invention ................................................................................. 21
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`E.
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`F.
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`Claim Construction ............................................................................. 21
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`Validity of the ’244 Patent in View of the Asserted Prior Art ............ 25
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`1.
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`2.
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`3.
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`Jawanda, in Combination with GPRS, Fails to Disclose a
`“Plurality of Assigned Physical Channels” .............................. 28
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`Jawanda, through its mention of CDMA, CDPD, and
`GPRS, does not inherently disclose “a plurality of
`assigned physical channels” ...................................................... 40
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`Jawanda, alone or in combination with GPRS, does not
`disclose maintaining a “logical connection” with the
`cellular network ......................................................................... 45
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`i
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` Ex. 2005-0002
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`4.
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`Case IPR2014-00525
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`Patent 8,380,244
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`The asserted GPRS documents do not teach maintaining
`a PDP context in an absence of assigned physical
`channels. .................................................................................... 49
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`G.
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`H.
`
`I.
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`Claim 8 ................................................................................................ 52
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`Lack of Motivation to Combine .......................................................... 53
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`Secondary Considerations of Non-Obviousness ................................. 55
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`1.
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`2.
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`3.
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`4.
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`5.
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`6.
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`Licensing by others/industry acquiescence ............................... 55
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`Skepticism, failure of others, and long felt but unsolved
`need ........................................................................................... 56
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`Commercial success .................................................................. 57
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`Unexpected results .................................................................... 58
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`Teaching away .......................................................................... 59
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`Lack of simultaneous invention ................................................ 59
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`J.
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`Supplementation .................................................................................. 60
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`ii
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` Ex. 2005-0003
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`I.
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`Case IPR2014-00525
`Patent 8,380,244
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`INTRODUCTION
`1. My name is Dr. Wayne E. Stark. I have been retained by InterDigital
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`Communications, Inc., InterDigital Technology Corporation, IPR Licensing, Inc.,
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`and InterDigital Holdings, Inc. (collectively, “InterDigital”) and have been asked
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`to prepare this declaration (the “Declaration”) in connection with the Inter Partes
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`Review of U.S. Patent No. 8,380,244 (this “IPR”).
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`2.
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`I have been asked to investigate and opine on issues relating to the
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`validity of U.S. Patent No. 8,380,244 (the “’244 Patent”), including the Petition
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`filed by ZTE and the Declaration of Dr. Harry Bims in support of that Petition.
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`3.
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`I expect to be available for deposition and available to testify at the
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`evidentiary hearing in this IPR. I expressly reserve the right to offer opinions at
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`the evidentiary hearing and/or in one or more supplemental reports on subjects
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`raised in my deposition, as well as on subjects raised in the deposition of ZTE’s
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`expert or by ZTE’s expert at the evidentiary hearing.
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`4.
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`This Declaration is based on information currently available to me. I
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`reserve the right to continue my investigation and study—including but not limited
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`to reviewing documents and information produced or identified subsequent to this
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`Declaration. I further reserve the right to expand, modify, and/or supplement my
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`opinions as my investigation and study continues in response to any additional
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`information that becomes available to me, any matters raised by ZTE, and/or
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` Ex. 2005-0004
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`opinions provided by ZTE’s expert(s), or in light of any relevant orders from the
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`PTAB, or any other individual or authoritative body.
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`5.
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`Throughout this Declaration, I may cite to certain documents or
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`testimony that support my opinions. These citations are non-exhaustive examples.
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`Citation to documents or testimony is not intended to signify that my conclusions
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`or opinions are limited by or based solely on the cited sources.
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`6.
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`I reserve the right to use animations, demonstratives, demonstrations,
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`enlargements of real exhibits, physical evidence, and other devices at the
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`evidentiary hearing in this Investigation.
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`II. QUALIFICATIONS
`7.
`I received a Bachelor of Science degree in 1978, a Master of Science
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`in 1979 and a Ph.D. in 1982, all in Electrical Engineering, and all from the
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`University of Illinois. Since that time I have been at the University of Michigan
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`where I am a Professor of Electrical Engineering and Computer Science.
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`8.
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`I received the Presidential Young Investigator Award in 1985 from
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`the National Science Foundation.
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`9.
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`I was named a Fellow of the IEEE in 1997 for contributions to coding
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`and modulation for spread-spectrum systems. I received the 2002 Military
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`Communications Conference (MILCOM) Technical Achievement Award.
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`2
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` Ex. 2005-0005
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`In 2009, I received the best paper award from MILCOM and in 2010 I
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`10.
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`received the best paper award from the Journal of Communications and Networks.
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`11.
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`I have received research funding from
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`the National Science
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`Foundation, the Army Research Office, and the Defense Advanced Research
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`Projects Agency. Many of the funded research projects were related to the use of
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`error control coding in wireless communication systems. I have consulted with a
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`number of companies and have been awarded eight patents. A list of my patents
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`appears in my curriculum vitae attached as Appendix 1.
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`12. During the course of my professional career, I have authored or
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`coauthored more than 200 publications in the field of wireless communications,
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`including publications addressing various aspects of wireless communication
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`protocols and error control coding as applied to spread-spectrum systems. A
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`complete list of my publications appears in my curriculum vitae attached as
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`Appendix 1.
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`13.
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`I have served as an expert on patent litigation cases involving issues
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`relating to CDMA technology. A list of litigations in which I have been deposed
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`or testified during the last four years appears in my curriculum vitae attached as
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`Appendix 1, which is hereby incorporated by reference.
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`3
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` Ex. 2005-0006
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`III. SCOPE OF ENGAGEMENT
`14.
`I am providing this Declaration in response to opinions provided in
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`Case IPR2014-00525
`Patent 8,380,244
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`
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`the March 21, 2014, declaration of Dr. Harry Bims (ZTE Ex. 1002), who I
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`understand was retained as an expert by ZTE. I am providing my own independent
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`analysis of the references relied on by Dr. Bims.
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`15.
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`I have been asked to compare the subject matter recited in the ’244
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`Patent’s challenged claims to the references that form the basis for this IPR (the
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`“Asserted References”). In particular, I have been asked to express my opinion as
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`to whether the claims would have been obvious at the time of invention to a person
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`of ordinary skill in that art in light of these Asserted References.
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`16.
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`In performing my analysis, I have reviewed the materials identified in
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`this Declaration. In addition, I have also relied on my personal knowledge and
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`extensive experience, including my experience in the design, development, and
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`operation of relevant systems.
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`IV. SUMMARY OF OPINIONS
`17.
`It is my opinion and conclusion that each and every challenged claim
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`of the ’244 Patent is valid. In particular, it is my opinion that the Asserted
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`References do not render the challenged claims of the ’244 Patent obvious under
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`the parties’ proposed constructions. I disagree with the contrary opinions and
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`conclusions offered by Dr. Bims.
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`4
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` Ex. 2005-0007
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`V. LEGAL PRINCIPLES
`18.
`I am not an attorney and I will offer no opinions on the law. I am,
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`Patent 8,380,244
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`however, informed by InterDigital’s counsel of the legal standards regarding claim
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`construction and validity which I have used in arriving at my stated conclusions in
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`this Declaration. I have applied these legal standards to the facts, circumstances,
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`and materials considered, along with my experience, in reaching the conclusions
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`and opinions expressed in this Declaration.
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`A. Anticipation
`19.
`I understand that a prior art reference anticipates a patent claim only if
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`the reference discloses all elements of the claim arranged as in the claim, and
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`enables one skilled in the art to practice the claimed invention. I understand this
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`means that every limitation of a claim must appear in a single prior art reference
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`for the reference to anticipate a claim.
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`20.
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`I understand that a reference inherently discloses an element if that
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`element is necessarily present in the disclosure of the reference. I further
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`understand that the possibility that an element may result from a certain set of
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`circumstances – that is, an element might be present – is not sufficient to establish
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`inherency.
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`5
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` Ex. 2005-0008
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`B. Obviousness
`21.
`I have been informed by InterDigital’s counsel that a patent claim is
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`invalid as obvious if, at the time the invention was made, it would have been
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`obvious to one of ordinary skill in the art in light of the teachings of the relevant
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`prior art. I have been informed that the analysis of obviousness involves
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`determining the scope and content of the prior art, the differences between the
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`prior art and the claimed invention, the level of ordinary skill in the art at the time
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`of the invention, and whether the differences are such that the claimed invention as
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`a whole would have been obvious to one of ordinary skill in the art at the time the
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`invention was made.
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`22.
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`I have been informed that, in seeking to determine whether an
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`invention that is a combination of known elements would have been obvious to a
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`person of ordinary skill in the art at the time of the invention, one must consider
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`the references in their entirety to ascertain whether the disclosures in those
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`references would have rendered the combination obvious to skilled artisans.
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`23.
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`In addition, it is my understanding that an invention may be obvious
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`where a person of ordinary skill in the art would have been motivated to combine
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`the pieces of prior art to achieve the claimed invention. It is not enough that the
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`references can be combined; there must be a motivation to one of ordinary skill in
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`the art to arrive at the claimed invention. It is not appropriate to pick and choose
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`among the individual elements of assorted prior art references to recreate the
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`claimed invention, but rather, there must be some motivation to combine. The
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`motivation to combine prior art references may be found in the prior art references
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`themselves, in the prior art as a whole, in the nature of the problem to be solved, in
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`the knowledge of a person of ordinary skill in the art, or from common sense. I
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`understand that the motivation does not need to be explicitly articulated in the prior
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`art. But I also understand that motivation may not be gleaned from impermissible
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`hindsight reasoning. That is, the reason to combine the prior art to arrive at the
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`claimed invention cannot be based in whole or in part on the inventor’s own
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`disclosure.
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`24. Secondary Considerations of Non-Obviousness: It is also my
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`understanding
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`that an obviousness/non-obviousness analysis must address
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`secondary considerations, including the following:
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` whether the claimed invention satisfied a long-felt need;
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` whether the claimed invention was preceded by a history of failures by
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`others to solve a problem or problems solved by such invention;
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` whether the claimed invention achieved a surprising result;
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` whether the claimed invention exhibited performance superior to prior art
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`devices and/or methods;
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` evidence of industry acquiescence;
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`7
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` Ex. 2005-0010
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` licenses;
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` whether the claimed invention has been copied;
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` whether the claimed invention was commercially successful where there
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`is a nexus or connection between the commercial success and the claimed
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`invention;
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` whether the claimed invention was the subject of skepticism by the
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`industry; and
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` whether the prior art taught away from the claimed invention.
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`VI. U.S. PATENT NO. 8,380,244, THE DUAL-MODE PATENT
`A. Background and Overview of the ’244 Patent
`25. The ’244 Patent, entitled “Dual-Mode Unit for Short Range, High
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`Rate and Long Range, Lower Rate Data Communications,” describes and claims
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`key improvements to dual-mode devices. See generally ZTE Ex. 1001 (’244
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`Patent). Here, “dual-mode devices” refers to devices that can communicate over
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`two different kinds of networks, such as cellular and wireless local area networks
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`(“wireless LAN,” “WLAN,” or “Wi-Fi”).
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`26. Wireless LANs use unlicensed frequency bands and operate with a
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`bandwidth of about 20 MHz or more. This is much larger than the bandwidth
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`typically allocated for cellular transmissions, which use licensed bands and
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`typically operate with a bandwidth of about 5 MHz. In addition, the distance
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`8
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`between a Wi-Fi enabled device and an access point is typically much smaller than
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`the distance between a subscriber unit and a base station. Typically, the higher
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`bandwidth and shorter distance allow for higher data rates using Wi-Fi (when
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`available) compared to cellular. In addition, because the frequency bands for Wi-
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`Fi are unlicensed, there is typically no cost when using Wi-Fi except to purchase a
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`low cost access point. The downside of Wi-Fi is that the coverage of available
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`access points is limited and often there are significant geographic areas that are not
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`covered by access points whereas cellular generally has much wider coverage.
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`27. As of the September 21, 1999 initial filing of the application that led
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`to the ’244 Patent, very few phones had the ability to transfer data, and those that
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`did were very slow, typically 10 kbps. On the other hand WiFi that was being
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`standardized at the time had data rates closer to 1 Mbps. The ’244 Patent
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`described and claimed key improvements that enabled dual mode devices to
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`transfer data more quickly.
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`28. One key improvement described and claimed in the ’244 Patent is that
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`the subscriber unit, rather than the base station (more specifically, the cellular
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`network, via the base station) selects the physical channels that the subscriber unit
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`uses to transfer data. See, e.g., ZTE Ex. 1001 (’244 Patent) at 9:64-66; see also id.
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`at Figure 6, 9:27-28, 10:33-36. In prior art cellular standards, such as IS-95 and
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`GPRS, the base station/network, not the subscriber unit, selects the physical
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`channels. When the subscriber unit has data to transfer, it sends the base station a
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`request for physical channels. In response, the base station tells the subscriber unit
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`which channels it can use for the data transfer. This approach is relatively slow.
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`29.
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`In General Packet Radio Service (GPRS), the base station selects
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`physical channels for use by the subscriber unit. Not only is this approach required
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`by GPRS, it would be impractical to allow selection of physical channels by the
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`subscriber unit. This is because the GPRS standard uses a combination of FDMA
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`and TDMA, whereby a base station selects a frequency band and time slot(s) over
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`which each individual mobile station will transmit data. The selection of time
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`slot(s), which represent physical channels, is not done by the individual mobile
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`station because the mobile stations have no way of knowing that the selected time
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`slot is not already in use or will not be used by another mobile station. Instead, a
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`mobile station makes a request to the base station, and the base station allocates or
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`deallocates either one or multiple time slots uniquely.
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`30.
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`In the IS-95 cellular standard, the base station, as opposed to the
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`subscriber unit, selects the traffic channel used by the mobile station. In particular,
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`when the subscriber unit sends an access request Page Response Message, the base
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`station responds with a Channel Assignment Message directing the subscriber unit
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`to the traffic channel. Furthermore, in IS-95, there is only one channel that the
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`subscriber unit can use to communicate user data with the base station – the
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`Reverse Traffic Channel. Therefore, IS-95 does not include “a cellular transceiver
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`configured to communicate with a cellular wireless network via a plurality of
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`assigned physical channels,” as required by the ’244 Patent’s claims. See, e.g.,
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`ZTE Ex. 1001 (’244 Patent) at 11:7-9.
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`31. The ’244 Patent describes and claims a faster approach to selecting
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`the cellular physical channels that the device will use to transfer data. In the ’244
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`Patent, the subscriber unit, rather than the base station, selects the cellular physical
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`channels that the subscriber unit then uses to transfer data. As the patent explains,
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`describing “a subscriber unit 101 incorporating the features of the present
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`invention,” “wireless bandwidth is allocated only when there is actual data
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`present.” ZTE Ex. 1001 (’244 Patent) at Figure 6, 9:27-28, 10:33-36. This allows
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`the subscriber unit to select channels as needed to send data. It also avoids the
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`delay of the subscriber unit requesting channels from the base station, and then
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`waiting for the base station to respond. It is therefore more efficient and faster
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`than the prior art approach.
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`32. Specifically, challenged claim 1, and its dependent claims, each
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`require “a plurality of assigned physical channels” that can be used by the
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`subscriber unit to communicate with a cellular wireless network. See id. at 11:7-9.
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`A District Court judge has concluded, and Dr. Bims and I both agree, that these
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`“assigned physical channels” are cellular physical channels that are available for
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`11
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` Ex. 2005-0014
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`the subscriber unit to select for use. See ZTE Ex. 1002 (Bims Decl.) at ¶¶ 95-100;
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`Pet. at 9-10.
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`33.
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`In other words, in the claimed subscriber unit, the cellular physical
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`channels are selected for use by the subscriber unit, not the base station/network.
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`In InterDigital Communications, Inc. v. ZTE Corp., Civ. Action No. 1:13-cv-0009-
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`RGA (the “District Court Case”) the District Court judge found that the “assigned
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`physical channels” are “physical channels available for the subscriber unit to select
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`for use.” Ex. 2009 (Markman Op.) at 14-15. As the District Court noted, the
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`defendants, including ZTE, specifically argued that channels are made available
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`for use, and “a subset of those available channels are selected for use” by the
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`subscriber unit. Id. at 15. The District Court therefore construed the claims to
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`require “physical channels available for the subscriber unit to select for use.” Id. at
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`14. This is the opposite of the slower approach used in the prior art, as described
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`above, in which the network, via the base station, would receive a request from the
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`subscriber unit for cellular physical channels for the transfer of data. In response,
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`the network would select, and identify to the subscriber unit, the cellular physical
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`channels that the subscriber unit would then use to transfer data.
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`34. Notably, the specification teaches that a “subscriber unit 101
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`incorporating the features of the present invention” is shown in Figure 6. This
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`subscriber unit of “the present invention” includes the “bandwidth management
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`function 134 [that] is responsible for allocating [i.e., selecting] … CDMA radio
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`channels 160 as required.” See ZTE Ex. 1001 (’244 Patent) at 9:64-66. In other
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`words, the specification makes clear that the subscriber unit, through the
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`bandwidth management function selects physical channels for use.
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`35. A second key improvement described and claimed in the ’244 Patent
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`is maintaining a communication session with the cellular wireless network, in an
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`absence of the plurality of assigned physical channels. As the District Court found,
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`and as ZTE and Dr. Bims agree, this term is properly construed as “maintain a
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`logical connection with the cellular wireless network when none of the plurality of
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`assigned physical channels are in use by the subscriber unit.” See ZTE Ex. 1002
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`(Bims Decl.) at ¶¶ 101-02; Pet. at 13-15. Note that the claims require that while
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`this logical connection is maintained, and the cellular physical connections are
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`absent, the subscriber unit communicates packet data using the IEEE 802.11
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`WLAN.
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`36. This feature, maintaining a logical connection with the cellular
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`wireless network when the cellular physical channels are not in use, enables the
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`cellular connection to be re-established more quickly. As the patent explains, this
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`avoids “the overhead associated with having to set up an end to end connection
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`every time that data needs to be transferred.” ZTE Ex. 1001 (’244 Patent) at 4:19-
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`22. In other words, the communication parameters need not be re-negotiated each
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`time the cellular connection is to be used – instead, after the initial negotiation, the
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`parameters are preserved in the form of a logical connection.
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`37. The feature of maintaining a logical connection with the cellular
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`wireless network when the cellular physical channels are not in use was not present
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`in the existing dual-mode prior art at the time of the invention. For example, in the
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`Jawanda patent relied on by ZTE, there is no disclosure of such a logical
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`connection. In Jawanda, if the WLAN connection was being used, the cellular
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`connection was either terminated in its entirety, or maintained in its entirety. For
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`example, in Figure 4, block 122, Jawanda describes a “seamless handoff” of the
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`transfer of datagrams from the WWAN cellular connection to the WLAN
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`connection. ZTE Ex. 1003 (Jawanda) at Fig. 4. This simply means that the
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`WWAN cellular connection stops sending the datagrams, and the WWAN cellular
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`connection is terminated, while the WLAN connection takes over sending the
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`datagrams.
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`38. Block 122 also refers to “optionally maintaining” the cellular WWAN
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`connection. See id. Here, “optionally maintaining” the WWAN cellular
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`connection refers to maintaining the entire connection such that the physical
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`channels remain active, i.e., in use. This is apparent from the rest of the block
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`diagram: block 130 indicates to “establish” a connection with the WWAN cellular
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`network “if data connection is not already active.”1 Id. An “active” connection is
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`one that is in use. See, e.g., Ex. 2015 (Delaware Trial Tr.) at 1120:11-24. And the
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`WWAN cellular connection will be “active” in block 130 only if, in block 122, it
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`was “optionally maintained.” ZTE Ex. 1003 (Jawanda) at Fig. 4. Thus, the
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`“optionally maintained” WWAN connection in block 122 is an active connection –
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`one that is in use. This is further confirmed by block 110, which indicates that if
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`the session is terminated, the device will “close all active data connections” –
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`confirming that there may be more than one active data connection. Id. In other
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`words, both the WLAN and the WWAN may be active, or in use, at the same time.
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`39.
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`In short, block 122 indicates only that the WWAN connection may
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`optionally remain active, or in use, while the WLAN connection is being used to
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`transfer datagrams. Block 122 says nothing about maintaining only the logical
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`connection, while not using the physical connection. In fact, there is no suggestion
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`anywhere in Jawanda of distinguishing between a cellular logical connection and a
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`cellular physical connection.
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`40. This feature, maintaining a logical connection when the cellular
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`connection is not in use, was not present in the then-existing cellular standards,
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`such as GPRS. At the time of the invention, in the then-existing GPRS standards,
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`the PDP context was not maintained when the physical channels were not in use.
`
`1
`Emphasis added throughout, unless otherwise indicated.
`
`15
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` Ex. 2005-0018
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`
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`Case IPR2014-00525
`
`
`Patent 8,380,244
`
`
`The document that ZTE and Dr. Bims rely on is marked “Draft,” confirming that it
`
`is not part of a final approved specification. See ZTE Ex. 1005.03 (GSM 3.60 v.
`
`6.1.1) at 1. Indeed, this document, GSM 3.60 v. 6.1.1, was not part of Release 97,
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`but instead underwent multiple subsequent revisions before being finalized in the
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`standard. See Ex. 2019 (Release Version Matrix) at 8; Ex. 2020 (GSM 3.60 v.
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`6.11.0) at 1. Thus, there would be no motivation to combine it with Jawanda
`
`because this document is not part of the GPRS standard referenced in Jawanda, but
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`is instead a draft. As noted below, Jawanda teaches that “wireless signals can be
`
`transmitted according to any currently available or future” GPRS standard. See
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`ZTE Ex. 1003 (Jawanda) at 3:6-8. Therefore, combining GSM 3.60 v. 6.1.1 with
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`Jawanda would run contrary to the express teachings of Jawanda. See infra §
`
`VI.G.
`
`B. Relevant Prosecution History and Cited Prior Art
`41.
`Jawanda and versions of the various GPRS documents relied on by
`
`Dr. Bims were before the patent examiner during prosecution. ZTE Ex. 1001
`
`(’244 Patent), Cited References (listing U.S. Patent No. 6,243,581 to Jawanda,
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`GSM 2.60 v. 7.0.0, GSM 3.60 v. 6.4.0, GSM 3.64 v. 7.0.0, GSM 4.07 v. 6.1.0,
`
`GSM 4.08 v. 5.13.0, GSM 4.60 v. 7.5.0, GSM 5.01 v. 6.1.1). In fact, the ’244
`
`Patent issued after a series of Office Actions and Interviews in which Jawanda was
`
`explicitly discussed and overcome.
`
`16
`
` Ex. 2005-0019
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`
`
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`Case IPR2014-00525
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`Patent 8,380,244
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`42. The ’244 Patent issued from U.S. Application No. 12/615,098 (“the
`
`’098 application”) filed on November 9, 2009. See ZTE Ex. 1001 (’244 Patent) at
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`cover.
`
`43. The Examiner originally rejected the ’098 application’s pending
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`claims under 35 U.S.C. § 112, first paragraph, and 35 U.S.C. § 103(a). ZTE Ex.
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`1018 (ZTE Sections Prosecution History) at 64 (Office Action, July 28, 2010).
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`The Examiner was unable to find support for the “processor coupled to the first
`
`transceiver and second transceiver, and configured to maintain a communication
`
`session, above a physical layer, with the wireless network in the absence of the
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`plurality of assigned physical layer channels” limitation of pending claim 1. See
`
`id. at 64-67. In addition, the Examiner rejected the pending claims in view of
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`Sainton (2008/0274767) in combination with Kumaki (2002/0191562) and
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`Lemiläinen (U.S. Patent No. 7,502,626). See id. at 67-76.
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`44. Following an interview with the Examiner, the applicant (InterDigital)
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`amended the pending claims, and responded to the initial Office Action. See id. at
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`51-54 (Response to Office Action, January 28, 2011). The applicant explained that
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`the pending claims “are fully supported and enabled by the present specification”
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`because,