UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`ARRIS GROUP, INC.
`Petitioner
`
` v.
`
`TQ DELTA, LLC
`Patent Owner
`
`
`
`Case:
`
`
`
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 8,238,412
`
`
`
`
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`United States Patent and Trademark Office
`PO Box 1450
`Alexandria, Virginia 22313–1450
`Submitted Electronically via the Patent Review Processing System
`
`

`
`
`
`TABLE OF CONTENTS
`
`
`
`INTRODUCTION ...........................................................................................14
`I.
`II. MANDATORY NOTICES – 37 C.F.R. § 42.8 ................................................. 2
`A. Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1) ..................................... 2
`B. Related Matters Under 37 C.F.R. § 42.8(b)(2) .............................................. 2
`C. Lead and Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3) ........................... 3
`D. Service Information Under 37 C.F.R. § 42.8(b)(4) ....................................... 3
`III.
`PAYMENT OF FEES – 37 C.F.R. § 42.103 ................................................. 4
`IV.
`REQUIREMENTS FOR IPR – 37 C.F.R. § 42.104 ...................................... 4
`A. Grounds for Standing Under 37 C.F.R. § 42.104(a) ...................................... 4
`B.
`Identification of Challenge Under 37 C.F.R. § 42.104(b) and Relief
`Requested ............................................................................................................... 4
`C. Claim Construction Under 37 C.F.R. §§ 42.100(b), 42.104(b)(3) ................ 5
`D. Supporting Evidence under 37 C.F.R. § 42.104(b)(5) ................................... 6
`V. SUMMARY AND TECHNICAL BACKGROUND of the ‘412 Patent .......... 7
`A. The Alleged Invention of the ‘412 Patent ...................................................... 7
`B. Level of Ordinary Skill in the Art .................................................................. 8
`DETAILED EXPLANATION UNDER 37 C.F.R. § 42.104(b) ................... 8
`VI.
`A. Overview of Publications Being Used for Grounds of Rejection ................. 8
`1. Technical Overview of US Patent 4,679,227 ............................................ 8
`2. Technical Overview of US Patent 4,438,511 ..........................................10
`3. Technical Overview of US Patent 5,838,268 ..........................................11
`4. Technical Overview of US Patent 6,219,378 ..........................................12
`5. Technical Overview of TR-024 Reference ..............................................13
`B. Claims 1, 3, 5, 7, 9, 11, and 16-21 are obvious under 35 U.S.C. § 103(a)
`over the combination of US Patent 4,679,227, US Patent 4,438,511, and US
`5,838,268 ..............................................................................................................15
`1. Claim 1 .....................................................................................................16
`a. Preamble: A transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation comprising: ..........16
`
`
`
`

`
`b. Limitation [A]: a transmitter portion capable of transmitting a message
`
`18
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................18
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................20
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information. ..................................................................................................22
`2. Claim 3 .....................................................................................................24
`a. Preamble: A transceiver capable of receiving test information over a
`communication channel using multicarrier modulation comprising: ..........24
`b. Limitation [A]: a receiver portion capable of receiving a message ......24
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................25
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................25
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information. ..................................................................................................25
`3. Claim 5 .....................................................................................................25
`a. Preamble: In a transceiver capable of transmitting test information over
`a communication channel using multicarrier modulation, a method
`comprising: ...................................................................................................25
`b. Limitation [A]: transmitting a message ................................................25
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................26
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................26
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information. ..................................................................................................26
`
`
`
`

`
`4. Claim 7 .....................................................................................................26
`a. Preamble: In a transceiver capable of receiving test information over a
`communication channel using multicarrier modulation, a method
`comprising: ...................................................................................................26
`b. Limitation [A]: receiving a message .....................................................26
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................26
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................26
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information. ..................................................................................................26
`5. Claim 9 .....................................................................................................27
`a. Preamble: A non-transitory computer-readable information storage
`media having stored thereon instructions that, if executed, cause a
`transceiver to perform a method comprising: ..............................................27
`b. Limitation [A]: transmitting a message ................................................27
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................27
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................28
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information. ..................................................................................................28
`6. Claim 11 ...................................................................................................28
`a. Preamble: A non-transitory computer-readable information storage
`media having stored thereon instructions that, if executed, cause a
`transceiver to perform a method comprising: ..............................................28
`b. Limitation [A]: receiving a message .....................................................28
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................28
`
`
`
`

`
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................28
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information. ..................................................................................................28
`7. Claim 16 ...................................................................................................29
`a. Preamble: A communications system for DSL service comprising a
`first DSL transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation and a second DSL
`transceiver capable of receiving the test information over the
`communication channel using multicarrier modulation comprising: ..........29
`b. Limitation [A]: a transmitter portion capable of transmitting a message
`
`30
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................30
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................30
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing frequency domain received
`idle channel noise information; and .............................................................31
`f. Limitation [E]: a receiver portion capable of receiving the message ...33
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................34
`h. Limitation [G]: wherein the bits in the message were modulated onto
`DMT symbols using Quadrature Amplitude Modulation (QAM) with more
`than 1 bit per subchannel and ......................................................................34
`i. Limitation [H]: wherein at least one data variable of the one or more
`data variables comprises the array representing frequency domain received
`idle channel noise information. ....................................................................34
`8. Claim 17 ...................................................................................................34
`a. Preamble: In a communications system for DSL service with a first
`DSL transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation and a second DSL
`transceiver capable of receiving the test information over the
`
`
`
`

`
`communication channel using multicarrier modulation, a method
`comprising: ...................................................................................................34
`b. Limitation [A]: transmitting a message ................................................34
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................34
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................34
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing frequency domain received
`idle channel noise information; and .............................................................35
`f. Limitation [E]: receiving the message” ................................................35
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................35
`h. Limitation [G]: wherein the bits in the message were modulated onto
`DMT symbols using Quadrature Amplitude Modulation (QAM) with more
`than 1 bit per subchannel and ......................................................................35
`i. Limitation [H]: wherein at least one data variable of the one or more
`data variables comprises the array representing frequency domain received
`idle channel noise information. ....................................................................35
`9. Claim 18 ...................................................................................................35
`a. Preamble: One or more non-transitory computer-readable information
`storage media having stored thereon instructions that, if executed, cause a
`communications system for DSL service to perform a method comprising:
`
`35
`b. Limitation [A]: transmitting a message ................................................36
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................36
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................36
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing frequency domain received
`idle channel noise information; and .............................................................37
`f. Limitation [E]: receiving the message ..................................................37
`
`
`
`

`
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................37
`h. Limitation [G]: wherein the bits in the message were modulated onto
`DMT symbols using Quadrature Amplitude Modulation (QAM) with more
`than 1 bit per subchannel and ......................................................................37
`i. Limitation [H]: wherein at least one data variable of the one or more
`data variables comprises the array representing frequency domain received
`idle channel noise information. ....................................................................37
`10. Claim 19 ................................................................................................37
`a. Preamble: A communications system for DSL service comprising a
`first DSL transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation and a second DSL
`transceiver capable of receiving the test information over the
`communication channel using multicarrier modulation comprising: ..........37
`b. Limitation [A]: a transmitter portion capable of transmitting a message
`
`38
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................38
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................38
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information; and ...........................................................................................38
`f. Limitation [E]: a receiver portion capable of receiving the message ...38
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................38
`h. Limitation [G]: wherein the bits in the message were modulated onto
`DMT symbols using Quadrature Amplitude Modulation (QAM) with more
`than 1 bit per subchannel and ......................................................................38
`i. Limitation [H]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information; and ...........................................................................................38
`11. Claim 20 ................................................................................................39
`
`
`
`

`
`a. Preamble: In a communications system for DSL service with a first
`DSL transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation and a second DSL
`transceiver capable of receiving the test information over the
`communication channel using multicarrier modulation, a method
`comprising: ...................................................................................................39
`b. Limitation [A]: transmitting a message ................................................39
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................39
`d. Limitation [C]: “herein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................39
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information; and ...........................................................................................39
`f. Limitation [E]: receiving the message ..................................................39
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................40
`h. Limitation [G]: wherein the bits in the message were modulated onto
`DMT symbols using Quadrature Amplitude Modulation (QAM) with more
`than 1 bit per subchannel and ......................................................................40
`i. Limitation [H]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information; and ...........................................................................................40
`12. Claim 21 ................................................................................................40
`a. Preamble: One or more non-transitory computer-readable information
`storage media having stored thereon instructions that, if executed, cause a
`communications system for DSL service to perform a method comprising:
`
`40
`To the extent that the Claim 21 preamble is held to be limiting, see the
`discussion of the preamble of claim 9. ........................................................40
`b. Limitation [A]: transmitting a message ................................................40
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................40
`
`
`
`

`
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................40
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information; and ...........................................................................................40
`f. Limitation [E]: receiving the message ..................................................40
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................41
`h. Limitation [G]: wherein the bits in the message were modulated onto
`DMT symbols using Quadrature Amplitude Modulation (QAM) with more
`than 1 bit per subchannel and ......................................................................41
`i. Limitation [H]: wherein at least one data variable of the one or more
`data variables comprises an array representing power level per subchannel
`information; and ...........................................................................................41
`C. Claims 2, 4, 6, 8, 10, and 12 are obvious under 35 U.S.C. § 103(a) over the
`combination of US Patent 4,679,227, US Patent 4,438,511, US 5,838,268, and
`US 6,219,378 ........................................................................................................41
`1. Claim 2 .....................................................................................................42
`a. Limitation [A]: The transceiver of claim 1, wherein the power level per
`subchannel information is based on a Reverb signal. ..................................42
`2. Claims 4, 6, 8, 10, and 12 ........................................................................42
`a. Limitation [A]: wherein the power level per subchannel information is
`based on a Reverb signal..............................................................................42
`D. Claims 13-15 are obvious under 35 U.S.C. § 103(a) over the combination
`of US Patent 4,679,227, US Patent 4,438,511, US 5,838,268, and TR-024
`Reference .............................................................................................................43
`1. Claim 13 ...................................................................................................43
`a. Preamble: A communications system for DSL service comprising a
`first DSL transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation and a second DSL
`transceiver capable of receiving the test information over the
`communication channel using multicarrier modulation comprising: ..........43
`b. Limitation [A]: a transmitter portion of the first transceiver capable of
`transmitting a message .................................................................................45
`
`
`
`

`
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................45
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................45
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing Signal to Noise ratio per
`subchannel during Showtime information; and ...........................................45
`f. Limitation [E]: a receiver portion of the second transceiver capable of
`receiving the message ..................................................................................57
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................58
`h. Limitation [G]: wherein the bits in the message were modulated onto
`the DMT symbols using Quadrature Amplitude Modulation (QAM) with
`more than 1 bit per subchannel and .............................................................58
`i. Limitation [H]: wherein the at least one data variable of the one or
`more data variables comprises the array representing Signal to Noise ratio
`per subchannel during Showtime information .............................................58
`For Limitations [F]-[H], see discussions of Claim 13, Limitation [B]-[D]. 58
`2. Claim 14 ...................................................................................................58
`a. Preamble: In a communications system for DSL service with a first
`DSL transceiver capable of transmitting test information over a
`communication channel using multicarrier modulation and a second DSL
`transceiver capable of receiving the test information over the
`communication channel using multicarrier modulation, a method
`comprising: ...................................................................................................58
`b. Limitation [A]: transmitting a message from the first transceiver .......58
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................58
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................58
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing Signal to Noise ratio per
`subchannel during Showtime information; and ...........................................58
`
`
`
`

`
`f. Limitation [E]: receiving the message at the second transceiver .........58
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................59
`h. Limitation [G]: wherein the bits in the message were modulated onto
`the DMT symbols using Quadrature Amplitude Modulation (QAM) with
`more than 1 bit per subchannel and .............................................................59
`i. Limitation [H]: wherein the at least one data variable of the one or
`more data variables comprises the array representing Signal to Noise ratio
`per subchannel during Showtime information .............................................59
`3. Claim 15 ...................................................................................................59
`a. Preamble: One or more non-transitory computer-readable information
`storage media having stored thereon instructions that, if executed, cause a
`communications system for DSL service to perform a method comprising:
`
`59
`b. Limitation [A]: transmitting a message from the first transceiver .......59
`c. Limitation [B]: wherein the message comprises one or more data
`variables that represent the test information ................................................59
`d. Limitation [C]: wherein bits in the message are modulated onto DMT
`symbols using Quadrature Amplitude Modulation (QAM) with more than 1
`bit per subchannel and .................................................................................59
`e. Limitation [D]: wherein at least one data variable of the one or more
`data variables comprises an array representing Signal to Noise ratio per
`subchannel during Showtime information; and ...........................................60
`f. Limitation [E]: receiving the message at the second transceiver .........60
`g. Limitation [F]: wherein the message comprises the one or more data
`variables that represent the test information ................................................60
`h. Limitation [G]: wherein the bits in the message were modulated onto
`the DMT symbols using Quadrature Amplitude Modulation (QAM) with
`more than 1 bit per subchannel and .............................................................60
`i. Limitation [H]: wherein the at least one data variable of the one or
`more data variables comprises the array representing Signal to Noise ratio
`per subchannel during Showtime information .............................................60
`Conclusion ...............................................................................................................60
`CERTIFICATE OF SERVICE
`
`
`
`

`
`PETITIONER’S EXHIBIT LIST
`
`Ex.
`Brief Description
`No.
`1001 U.S. Patent No. 8,238,412 to Krinsky (“‘412 Patent”)
`1002 Declaration of Lance McNally
`1003 Curriculum Vitae of Lance McNally
`1004 US Patent 4,679,227, “Ensemble modem structure for imperfect
`transmission media” to Dirk Hughes-Hartogs (“‘227 Patent”)
`1005 US Patent 4,438,511, “Packetized ensemble modem” to Paul Baran
`(“‘511 Patent”)
`1006 US Patent 5,838,268, “Apparatus and Methods for Modulation and
`Demodulation of Data” to Liron Frenkel (“‘268 Patent”)
`1007 US Patent 5,961,589, “Emulation of Analog Modem Signaling Over
`ISDN for Translation-Less Interoperability with PSTN Based H.324
`System” to Carl C. Hansen (“‘589 Patent”)
`1008 US Patent 6,219,378, “Digital Subscriber Line Modem Initialization”
`to Song Wu (“‘378 Patent”)
`1009 US Patent 4,833,706, “Ensemble modem structure for imperfect
`transmission media” to Dirk Hughes-Hartogs (division of 4,731,816,
`which is a division of 4,679,227) (“’706 Patent”)
`1010 US Patent 6,324,212, “Apparatus using low spectrum selectively for
`providing both ADSL and POTS service” to Robert Jenness (“‘212
`Patent)
`1011 Technical Report TR-024, “DMT Line Code Specific MIB” by
`Asymmetric Digital Subscriber Line (ADSL) Forum, published in June
`1999
`Internet Archive Capture of ADSL Forum “Technical Information”
`web page, Sept. 22, 1999
`(http://web.archive.org/web/19990922064604/http://www.adsl.com/tec
`h_info.html)
`1013 ANSI T1.413-1995 – Network and Customer Installation Interfaces –
`Asymmetric Digital Subscriber Line (ADSL ) Metallic Interface (Aug.
`18, 1995)
`“Telebit introduces asynchronous error correcting modem,”
`Computerworld, 19:29, July 22, 1985, pp. 63, 68.
`
`1012
`
`1014
`
`
`
`

`
`Ex.
`Brief Description
`No.
`“Modem Adapts to Phone Quality,” Byte, 19:9, Sept. 1985, p. 42.
`1015
`1016 M. David Stone, “Fastlink[:] Communicating at 10,000 BPS and Up,”
`PC Magazine, 4:25, Dec. 10, 1985, pp. 251-254, 257.
`Jim Schefter, “Fast-lane modems,” Popular Science, Nov. 1985, pp. 44,
`1017
`46.
`1018 Douglas Comer, “Internetworking with TCP/IP, Vol. I, 3rd Ed.” 1995.
`1019 William Stallings, “SNMP, SNMPv2 and RMON, 2nd Ed.” 1996.
`Jodi Mardesich, “Users Turn to SNMP to Fulfill Dreams of
`1020
`Simplicity,” InfoWorld, 13:2, Jan. 14, 1991, pp. S9-S12.
`
`
`
`
`
`

`
`I.
`
`INTRODUCTION
`
`ARRIS GROUP, Inc. petitions for Inter Partes Review (“IPR”) under 35
`
`U.S.C. §§ 311-319 and 37 C.F.R., Part 42 of all claims 1 - 21 of U.S. Patent No.
`
`8,238,412 (“the ’412 Patent”) and shows herein that there is a reasonable
`
`likelihood that it will prevail by proving those claims are invalid.
`
`The systems and methods of “exchanging diagnostic and test information,”
`
`Ex. 1001 at 1:60, based on various communication characteristics recited in claims
`
`1 - 21 were well known to those having ordinary skill in the art by the January 7,
`
`2000 priority date of the ’412 Patent. The claimed features relating to exchanging
`
`diagnostic and test information have been combined in only predictable manners
`
`according to their known functionalities as would have been understood by a
`
`person of ordinary skill in the art. See KSR Int’l Co. v. Teleflex Inc., 550 U.S. 395,
`
`417 (2007)(“[A] court must ask whether the improvement is more than the
`
`predictable use of prior art elements according to their established functions.”).
`
`Simply put, challenged claims 1, 3, 5, 7, 9, 11, and 16-21 are invalid under §
`
`103(a) as being obvious over US Patent 4,679,227 (“‘227 Patent”, Ex. 1004), US
`
`Patent 4,438,511 (“‘511 Patent,” Ex. 1005), and US 5,838,268 (“‘268 Patent”, Ex.
`
`1006). Challenged claims 2, 4, 6, 8, 10, and 12 are invalid under § 103(a) as being
`
`obvious over US Patent 4,679,227 (“‘227 Patent”, Ex. 1004), US Patent 4,438,511
`
`(“‘511 Patent,” Ex. 1005), US 5,838,268 (“‘268 Patent”, Ex. 1006), and US
`
`
`
`

`
`6,219,378 (“‘378 Patent,” Ex. 1008). Additionally