UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`ZTE (USA) Inc.,
`HTC Corporation, and
`HTC America, Inc.,
`
`Petitioner
`
`v.
`
`Evolved Wireless LLC,
`
`Patent Owner
`
`
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 8,218,481
`
`Case No. IPR2016-00758
`
`
`
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`

`
`
`
`
`
`TABLE OF CONTENTS
`
`I.
`
`Mandatory Notices (37 C.F.R. § 42.8) ............................................................ 1
`
`A.
`
`B.
`
`C.
`
`Real Parties-in-Interest (§ 42.8(B)(1)) .................................................. 1
`
`Related Matters (§ 42.8(B)(2)) .............................................................. 1
`
`Counsel Information (§ 42.8(b)(3)) ....................................................... 2
`
`II.
`
`Payment of Fees (37 C.F.R. § 42.15(A)) ......................................................... 2
`
`III. Grounds for Standing (37 C.F.R. § 42.104(A)) ............................................... 2
`
`IV. Background of 481 Patent ............................................................................... 3
`
`A.
`
`B.
`
`C.
`
`Summary ............................................................................................... 3
`
`Prosecution History ............................................................................... 4
`
`Claimed Priority Date ............................................................................ 5
`
`V.
`
`Background of Technology ............................................................................. 5
`
`A.
`
`B.
`
`C.
`
`Person of Ordinary Skill in the Art ....................................................... 5
`
`Technical Background ........................................................................... 6
`
`State of the Art ...................................................................................... 8
`
`VI. Prior Art References ......................................................................................10
`
`A.
`
`B.
`
`C.
`
`D.
`
`Panasonic 792 (Ex. 1002) ....................................................................10
`
`Panasonic 114 (Ex. 1003) ....................................................................12
`
`Chu (Ex. 1004) ....................................................................................14
`
`“Printed Publication” Status ................................................................15
`
`1.
`
`2.
`
`Panasonic References ................................................................15
`
`Chu ............................................................................................20
`
`Patent 8,218,481
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`
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`VII. Claim Construction (37 C.F.R. § 42.104(B)(3)) ...........................................21
`
`VIII. Grounds of Rejection (37 C.F.R. § 42.104(B)(1)-(2), (4)) ............................23
`
`A. Ground 1: Claims 1-2 and 8-9 are invalid based on Panasonic 792. ..24
`
`1.
`
`2.
`
`3.
`
`4.
`
`Independent Claim 1 .................................................................24
`
`Dependent Claim 2....................................................................28
`
`Independent Claim 8 .................................................................28
`
`Dependent Claim 9....................................................................31
`
`B.
`
`Ground 2: Claims 3, 4, 10, and 11 are invalid based on Panasonic
`792 and Panasonic 114. .......................................................................32
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Dependent Claim 3....................................................................32
`
`Dependent Claim 4....................................................................33
`
`Dependent Claim 10 .................................................................34
`
`Dependent Claim 11 .................................................................35
`
`Reasons to Combine the Panasonic References .......................36
`
`C.
`
`Ground 3: Claims 6 and 13 are invalid based on Panasonic 792,
`Panasonic 114, and Chu. .....................................................................39
`
`1.
`
`2.
`
`3.
`
`Dependent Claim 6....................................................................39
`
`Dependent Claim 13 .................................................................40
`
`Reasons to Combine the Panasonic References and Chu .........41
`
`D. No ground is redundant. ......................................................................41
`
`IX. Conclusion .....................................................................................................43
`
`
`
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`
`
`Exhibit No. Short Name
`
`Description
`
` EXHIBIT LIST
`
`1001
`
`1002
`
`481 Patent
`
`Panasonic 792
`
`1003
`
`Panasonic 114
`
`1004
`
`Chu
`
`1005
`
`481 File History
`
`1006
`
`Huawei 797
`
`1007
`
`Samsung 028
`
`1008
`
`Motorola/TI 893
`
`U.S. Patent No. 8,218,481
`
`“Random access burst evaluation in E-UTRA
`uplink,” 3GPP Tdoc R1-060792, Panasonic,
`TSG-RAN WG1 Meeting #44bis, Athens,
`Greece, March 27-31, 2006
`
`“Random access design for E-UTRA uplink,”
`3GPP Tdoc R1-061114, Panasonic, TSG-RAN
`WG1 Meeting #45, Shanghai, China, May 8-12,
`2006
`
`“Polyphase Codes With Good Periodic
`Correlation Properties,” D.C. Chu, IEEE
`Transactions on Information Theory, pp. 531-
`32, July 1972
`
`File History of U.S. Patent Application No.
`12/303,947, which issued as the 481 Patent
`
`“RACH design for E-UTRA,” 3GPP Tdoc R1-
`060797, Huawei, TSG-RAN WG1 Meeting
`#44bis, Athens, Greece, March 27-31, 2006
`
`U.S. Patent No. US 7,702,028 B2, originally
`assigned to Samsung Electronics Co., Ltd.
`
`“Proposal for RACH Preambles,” 3GPP Tdoc
`TSGR1#6(99)893, Motorola and Texas
`Instruments, TSG-RAN WG1 Meeting #6,
`Espoo, Finland, July 13-16, 1999
`
`
`Patent 8,218,481
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`IPR2016-00758
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`
`
`
`Exhibit No. Short Name
`
`Description
`
`1009
`
`TI 058
`
`1010
`
`Motorola 884
`
`1011
`
`Nortel 908
`
`1012
`
`TI 867
`
`1013
`
`NTT/NEC 992
`
`Min Decl.
`
`Zhisong Decl.
`
`Butler Aff.
`
`1014
`
`1015
`
`1016
`
`1017
`
`1018
`
`“RACH Preamble Design,” 3GPP Tdoc R1-
`051058, Texas Instruments, TSG-RAN WG1
`Meeting #42bis, San Diego, USA, October 10-
`14, 2005
`
`“Random Access Sequence Design,” 3GPP
`Tdoc R1-060884, Motorola, TSG-RAN WG1
`Meeting #44-bis, Athens, Greece, March 24-26,
`2006
`
`“On the performances of LTE RACH,” 3GPP
`Tdoc R1-060908, Nortel Networks, TSG-RAN
`WG1 Meeting #44-bis, Athens, Greece, March
`27-31, 2006
`
`“A new preamble shape for the Random Access
`preamble in E-UTRA,” 3GPP Tdoc R1-060867,
`Texas Instruments, TSG-RAN WG1 Meeting
`#44-bis, Athens, Greece, March 27-31, 2006
`
`“Investigations on Random Access Channel
`Structure for E-UTRA Uplink,” 3GPP Tdoc R1-
`060992, NTT DoCoMo and NEC, TSG-RAN
`WG1 Meeting #44bis, Athens, Greece, March
`27-31, 2006
`
`Declaration of Paul S. Min, Ph.D
`
`Declaration of Zuo Zhisong
`
`Affidavit of Christopher Butler
`
`3GPP FAQs
`
`Printout of 3GPP FAQs, available at
`http://www.3gpp.org/about-3gpp/3gpp-faqs
`
`Delegates Corner Printout of Delegates Corner, available at
`http://www.3gpp.org/specifications-
`groups/delegates-corner
`
`Patent 8,218,481
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`
`
`Exhibit No. Short Name
`
`Description
`
`1019
`
`44bis Docs
`
`1020
`
`3/21/06 Hiramatsu
`E-Mail
`
`1021
`
`Tdoclist 44bis
`
`1022
`
`45 Docs
`
`1023
`
`5/2/06 Hiramatsu
`E-Mail
`
`1024
`
`Tdoclist 45
`
`1025
`
`Chu Citations
`
`LG 916
`
`1026
`
`1027
`
`1028
`
`1029
`
`Printout of http://www.3gpp.org/ftp/tsg_ran/
`WG1_RL1/TSGR1_44bis/Docs/
`
`Printout of archived version of e-mail from
`Katsuhiko Hiramatsu to RAN1’s e-mail
`exploder list on March 21, 2006
`
`Printout of list of Tdocs submitted at RAN1
`Meeting 44bis
`
`Printout of http://www.3gpp.org/ftp/tsg_ran/
`WG1_RL1/TSGR1_45/Docs/
`
`Printout of archived version of e-mail from
`Katsuhiko Hiramatsu to RAN1’s e-mail
`exploder list on May 2, 2006
`
`Printout of list of Tdocs submitted at RAN1
`Meeting 45
`
`Printout of IEEE Xplore Abstract (Citations) -
`Polyphase codes with good periodic correlation
`properties (Corresp.), available at
`http://ieeexplore.ieee.org/xpl/abstractCitations.js
`p?tp=&arnumber=1054840&filter%3DAND%2
`8p_IS_Number%3A22664%29
`
`U.S. Patent No. 7,746,916
`
`153 Patent
`
`U.S. Patent No. 5,553,153
`
`284 Publication
`
`U.S. Patent App. Pub. 2004/0047284
`
`3GPP FAQs
`Archive
`
`
`Printout of archived version of 3GPP Frequency
`Asked Questions, available at
`http://web.archive.org/web/20060225053110/htt
`p://www.3gpp.org/faq/faq_2005_2.htm
`
`
`Patent 8,218,481
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`
`
`Exhibit No. Short Name
`
`Description
`
`1030
`
`1031
`
`1032
`
`1033
`
`1034
`
`4/30/06 List
`Archives
`
`
`44bis Participant
`List
`
`
`Printout of archived version of LISTSERV
`Archives at LIST.ETSI.ORG, available at
`https://web.archive.org/web/20060430104216/ht
`tp://list.3gpp.org/
`
`Printout of 3GPP Meeting Registration,
`available at http://webapp.etsi.org/
`3GPPRegistration/fViewPart.asp?mid=25517
`
`45 Participant List Printout of 3GPP Meeting Registration,
`available at http://webapp.etsi.org/
`3GPPRegistration/fViewPart.asp?mid=25407
`
`Excerpts from Dahlman, Erik. 3G Evolution:
`HSPA and LTE for Mobile Broadband.
`Amsterdam: Academic, 2008
`
`“On Uplink Pilot in EUTRA SC-FDMA,” 3GPP
`Tdoc R1-051062, Texas Instruments, TSG-RAN
`WG1 Ad Hoc on LTE, San Diego, USA,
`October 10-14, 2005
`
`Dahlman
`
`TI 062
`
`Patent 8,218,481
`
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`
`
`
`Petitioner, ZTE (USA) Inc., HTC Corporation, and HTC America, Inc.,
`
`requests inter partes review of claims 1-4, 6, 8-11, and 13 of U.S. Patent No.
`
`8,218,481 (“the 481 patent”). There is a reasonable likelihood that Petitioner will
`
`prevail with respect to at least one claim challenged in this petition for the
`
`following reasons.
`
`I. Mandatory Notices (37 C.F.R. § 42.8)
`
`A. Real Parties-in-Interest (§ 42.8(B)(1))
`
`ZTE Corporation, ZTE (USA) Inc., HTC Corporation, and HTC America,
`
`Inc. are the real parties-in-interest.
`
`B. Related Matters (§ 42.8(B)(2))
`
`The 481 patent is the subject of the following pending matters, which may
`
`affect, or be affected by, a decision in this proceeding: Evolved Wireless, LLC v.
`
`Apple, Inc., C.A. 15-cv-542 (D. Del.); Evolved Wireless, LLC v. HTC Corp., C.A.
`
`15-cv-543 (D. Del.); Evolved Wireless, LLC v. Lenovo Group Ltd., C.A. 15-cv-544
`
`(D. Del.); Evolved Wireless, LLC v. Samsung Electronics Co. Ltd., C.A. 15-cv-545
`
`(D. Del.); Evolved Wireless, LLC v. ZTE Corp., C.A. 15-cv-546 (D. Del.); and
`
`Evolved Wireless, LLC v. Microsoft Corp., C.A. 15-cv-547 (D. Del.).
`
`Petitioner is unaware of any other pending judicial or administrative matter
`
`that would affect, or by affected by, a decision in this proceeding.
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`
`C. Counsel Information (§ 42.8(b)(3))
`
`Lead Counsel
`Charles M. McMahon (Reg. 44,926)
`cmcmahon@mwe.com
`MCDERMOTT WILL & EMERY
`227 W. Monroe
`Chicago, IL 60606
`Telephone: (312) 984-7764
`Fax: (312) 984-7700
`
`Back-Up Counsel
`Hersh H. Mehta (Reg. 62,336)
`hmehta@mwe.com
`MCDERMOTT WILL & EMERY
`227 W. Monroe
`Chicago, IL 60606
`Telephone: (312) 984-7764
`Fax: (312) 984-7700
`
`Stephen S. Korniczky (Reg. 34,853)
`skorniczky@sheppardmullin.com
`Martin Bader (Reg. 54,736)
`mbader@sheppardmullin.com
`Ericka J. Schulz (Reg. 60,665)
`eschulz@sheppardmullin.com
`SHEPPARD, MULLIN, RICHTER &
`HAMPTON, LLP
`12275 El Camino Real, Suite 200
`San Diego, CA 92130
`Telephone: (858) 720-8900
`Fax: (858) 720-4882
`
`Powers of attorney accompany this petition. Petitioner consents to service by
`
`e-mail. Please send all correspondence to lead and back-up counsel.
`
`II.
`
`Payment of Fees (37 C.F.R. § 42.15(A))
`
`Petitioner authorizes the Office to charge the filing fee specified by 37
`
`C.F.R. § 42.15(a), and any other necessary fee, to Deposit Account No. 50-0417.
`
`III. Grounds for Standing (37 C.F.R. § 42.104(A))
`
`Petitioner certifies that it has standing to request and is not barred from
`
`requesting an inter partes review of the 481 patent pursuant to 35 U.S.C. § 315.
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`Neither petitioner nor any privy of petitioner has filed any civil action challenging
`
`the validity of any claim of the 481 patent or previously requested inter partes
`
`review of the 481 patent. Petitioner also certifies that it files this petition less than
`
`one year after the date on which petitioner or any privy of petitioner was served
`
`with a complaint alleging infringement of the 481 patent.
`
`IV. Background of 481 Patent
`
`A.
`
`Summary
`
`The 481 patent relates to “a method of expanding a code sequence, a
`
`structure of a random access channel and a method of transmitting data in a mobile
`
`communication system.” (Ex. 1001, 481 Patent, at 1:16-20.) The 481 patent has 16
`
`claims. Independent claims 1 and 8 are provided below:
`
`
`
`1. A method of transmitting a preamble sequence in a mobile
`communication system, the method comprising:
`repeating a specific sequence, having a length (L), N times to
`generate a consecutive sequence having a length (N*L);
`generating said preamble sequence by concatenating a single cyclic
`prefix (CP) to a front end of said consecutive sequence; and
`transmitting, on a random access channel, said preamble sequence
`to a receiving side.
`
`
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`8. A transmitter for transmitting a preamble sequence in a mobile
`communication system, the transmitter comprising:
`a preamble generation unit configured to generate said preamble
`sequence by repeating a specific sequence, having a length (L),
`N times to generate a consecutive sequence having a length
`(N*L) and concatenating a single cyclic prefix (CP) to a front
`end of said consecutive sequence;
`a transmission unit configured to transmit, on a random access
`channel, said preamble sequence to a receiving side.
`
`
`
`B.
`
`Prosecution History
`
`On December 8, 2008, U.S. Patent Application No. 12/303,947 was filed as
`
`a national stage filing of International Application No. PCT/KR07/02784, filed on
`
`June 8, 2007 (“PCT 784”), which claims priority to Korean Application Nos. 10-
`
`2006-0052167, filed on June 9, 2006 (“KR 167”), and 10-2006-0057488, filed on
`
`June 26, 2006 (“KR 488”).
`
`On September 16, 2011, the examiner issued a non-final office action
`
`rejecting every pending claim under 35 U.S.C. § 102(b) based on U.S. Patent
`
`Application No. 2006/0153282 (“Jung”). (Ex. 1005, 481 File History, at 1005-
`
`0374 – 380.)
`
`On December 16, 2011, in response to the office action, the applicant
`
`amended prosecution claim 31 (which corresponds to issued claim 1) as follows,
`
`amended prosecution claim 38 (which corresponds to issued claim 8) in a similar
`
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`manner, and argued that the as-amended claims are patentable over Jung.
`
`(Id. at 1005-0541 – 548.)
`
`On March 6, 2012, the examiner issued a notice of allowance, leading to the
`
`
`
`issuance of the 481 patent. (Id. at 1005-0692 – 696.)
`
`C. Claimed Priority Date
`
`On its face, the 481 patent claims priority to KR 167, filed on June 9, 2006.
`
`V. Background of Technology
`
`A.
`
`Person of Ordinary Skill in the Art
`
`The person of ordinary skill in the art of the subject matter of the 481 patent
`
`would have had a master’s degree in electrical engineering with 2-3 years of
`
`experience in cellular communication systems, and would have been aware of the
`
`efforts of the Third Generation Partnership Project (“3GPP”) and its various
`
`groups. (Ex. 1014, Min Decl., at ¶ 34.) Alternatively, that person would have had a
`
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`Ph.D. in electrical engineering with the same familiarity with the work of the 3GPP
`
`and its various groups. (Id.)
`
`B.
`
`Technical Background
`
`In 2006, before the 481 patent’s claimed priority date, the
`
`telecommunications industry was developing the cellular standard now known as
`
`Long Term Evolution (“LTE”). (Ex. 1014, Min Decl., at ¶ 35.) Development of
`
`LTE took place in a standard-setting organization called the Third Generation
`
`Partnership Project (“3GPP”). (Id.) 3GPP had members from virtually every
`
`telecommunications company or organization in the world. (Id.)
`
`3GPP had several groups. (Id. at ¶ 36.) Relevant here is Technical
`
`Specification Group Radio Access Network (“TSG RAN”). (Id.) TSG RAN
`
`developed LTE’s radio access network, which allows user equipment (“UE”), such
`
`as a phone, to communicate with the cellular network. (Id.) TSG RAN itself had
`
`several working groups, of which Working Group 1 (“WG1”) is relevant here. (Id.)
`
`WG1 was developing the Random Access Channel (“RACH”) of LTE. (Id.
`
`at ¶ 37.) The RACH had a few purposes. (Id.) It would allow a UE to access a
`
`cellular network for the first time, for example, when the UE powers up. (Id.) The
`
`RACH would also allow the cellular network to perform a handover, a process by
`
`which the network transfers a UE from one cell of the network to another cell. (Id.)
`
`Finally, the RACH would allow the UE to become time-synchronized with the
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`network. (Id.) This was all well-known in WG1 before the 481 patent’s claimed
`
`priority date. (Id.)
`
`Also well-known was the risk of interference if multiple UEs used the same
`
`RACH sequence, called a preamble sequence. (Id. at ¶ 38.) At a given time, several
`
`UEs can perform respective random access procedures, each ideally using a
`
`different RACH preamble sequence to identify itself to a base station, or an
`
`eNodeB in the context of LTE. (Id.) There are a number of RACH preambles
`
`available for a given eNodeB, and when a UE performs a random access
`
`procedure, the UE selects, often randomly, a RACH preamble among the multitude
`
`of RACH preambles available for the eNodeB. (Id.) Because the UEs do not
`
`communicate among themselves, when two or more UEs happen to use the same
`
`RACH preamble sequence at the same time, the eNodeB cannot differentiate these
`
`UEs, and for that matter, the eNodeB may not even know there are multiple UEs
`
`performing the random access procedure at the same time. (Id.) To correctly
`
`perform the random access procedure, different UEs should use different RACH
`
`preamble sequences. (Id.) Well aware of this problem, WG1 was working on
`
`designing a sufficiently large number of preamble sequences that would be
`
`available to the UEs to reduce the probability that multiple UEs choose the same
`
`RACH preamble. (Id.)
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`Two mathematical functions guided WG1’s design: (1) auto-correlation, and
`
`(2) cross-correlation. (Id. at ¶ 39.) The auto-correlation function compares a signal
`
`to a time-shifted version of itself. (Id.) The cross-correlation function compares a
`
`signal to a time-shifted version of a different signal. (Id.) For both functions, a
`
`result of zero is ideal, while a higher value typically indicates a higher probability
`
`of interference. (Id.) When a signal is periodic, slightly different terminology
`
`applies. (Id.) An auto-correlation of a periodic signal is called a circular auto-
`
`correlation; a cross-correlation of that signal is called a circular cross-correlation;
`
`and the time shift of that signal is called a cyclic shift. (Id.)
`
`WG1 members knew these properties well. (Id. at ¶ 40.) WG1 members also
`
`knew that the RACH preamble sequence they were designing should have
`
`excellent auto-correlation and cross-correlation properties so that the eNodeB can
`
`perform time estimation accurately without RACH preamble sequences interfering
`
`with one another. (Id.) Finally, WG1 members knew that sequences called
`
`Constant Amplitude Zero Auto Correlation (“CAZAC”) sequences were well-
`
`suited to be used as RACH preamble sequences. (Id.)
`
`C.
`
`State of the Art
`
`The challenged claims are directed to a RACH preamble that includes a
`
`single cyclic prefix followed by repetitions of a cyclic-shifted CAZAC sequence.
`
`(Ex. 1014, Min Decl., at ¶ 41 (citing Ex. 1001, 481 Patent, at claims 1-4, 6, 8-11,
`
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`
`
`13).) Before the 481 patent’s claimed priority date, this concept was well-known to
`
`persons of ordinary skill in the art. (Id.)
`
`First, it was well-known that the RACH preamble could include a CAZAC
`
`sequence. (Id. at ¶ 42.) In July 1972, David C. Chu authored an IEEE article that
`
`introduced a type of CAZAC sequence now known as the Zadoff-Chu sequence.
`
`(Id. (citing Ex. 1004, Chu).) Citing to the Chu article more than 30 years later,
`
`several companies proposed to WG1 that the RACH preamble include a Zadoff-
`
`Chu sequence or other CAZAC sequence. (Id. (citing Ex. 1002, Panasonic 792, at
`
`2, 7; Ex. 1003, Panasonic 114, at 1, 4-5; Ex. 1006, Huawei 797, at 2; Ex. 1007,
`
`Samsung 028, at 8:8-11; Ex. 1010, Motorola 884, at 1; Ex. 1011, Nortel 908, at 1;
`
`Ex. 1012, TI 867, at 5).)
`
`It was also well-known that the RACH preamble could use cyclic shifts of a
`
`CAZAC sequence. (Id. at ¶ 43.) For example, in May 2006, Panasonic employees
`
`studied cyclic-shifted Zadoff-Chu sequences (which are CAZAC sequences) and
`
`concluded that the RACH preamble should use those cyclic-shifted sequences. (Id.
`
`(citing Ex. 1003, Panasonic 114, at 1).)
`
`Those skilled in the art also knew that the RACH preamble could be
`
`constructed using a repeating code, including a repeating CAZAC sequence. (Id. at
`
`¶ 44.) In 1999, Motorola and Texas Instruments proposed a RACH preamble
`
`structure formed of 256 repeated codes. (Id. (citing Ex. 1008, Motorola/TI 893, at
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`3).) In August 2005, citing to the 1999 paper, Texas Instruments proposed that
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`same preamble structure for the RACH in LTE. (Id. (citing Ex. 1009, TI 058, at
`
`1).) Motorola and Texas Instruments’ papers also disclosed multiplying the
`
`repetitions of the code with another code. (Id. (citing Ex. 1008, Motorola/TI 893, at
`
`3; Ex. 1009, TI 058, at 1).) In March 2006, NTT DoCoMo and NEC specifically
`
`proposed a RACH preamble with a repeating CAZAC sequence. (Id. (citing Ex.
`
`1013, NTT/NEC 992, at 1).) Similarly, Panasonic proposed that the RACH
`
`preamble contain repetitions of a Zadoff-Chu CAZAC sequence. (Id. (citing Ex.
`
`1002, Panasonic 792, at 2).) Panasonic also proposed that the RACH preamble
`
`contain repetitions of a cyclic-shifted Zadoff-Chu CAZAC sequence. (Id. (citing
`
`Ex. 1003, Panasonic 114, at 3).) Finally, skilled artisans knew that a RACH
`
`preamble could have a cyclic prefix followed by repetitions of a CAZAC sequence.
`
`(Id.) For example, Panasonic’s March 2006 submission to 3GPP WG1 proposed
`
`that the RACH preamble contain a cyclic prefix followed by repetitions of a
`
`Zadoff-Chu CAZAC sequence. (Id. (citing Ex. 1002, Panasonic 792, at 2).)
`
`VI. Prior Art References
`
`A.
`
`Panasonic 792 (Ex. 1002)
`
`“Panasonic 792” refers to a meeting contribution document titled “Random
`
`access burst evaluation in E-UTRA uplink” and numbered R1-060792. (Ex. 1014,
`
`Min Decl., at ¶ 46 (citing Ex. 1002, Panasonic 792, at 1).) Panasonic 792 is
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`provided as Exhibit 1002. Panasonic submitted Panasonic 792 to WG1 for Meeting
`
`44bis, held on March 27-31, 2006, in Athens, Greece. (Id. (citing Ex. 1002,
`
`Panasonic 792, at 1.) Panasonic 792 was not cited to the Patent Office or
`
`considered by the examiner during the prosecution of the application that issued as
`
`the 481 patent.
`
`Panasonic 792 is prior art to every claim of the 481 patent under pre-AIA 35
`
`U.S.C. § 102(a) and (b). Panasonic 792 is § 102(b) prior art because its publication
`
`date (on or before March 21, 2006) predates the 481 patent’s claimed U.S. filing
`
`date (June 8, 2007) by more than one year. Panasonic 792 is § 102(a) prior art
`
`because its publication date (on or before March 21, 2006) predates the 481
`
`patent’s claimed priority date (June 9, 2006). Panasonic 792 is a “printed
`
`publication” under § 102 for the reasons in Section VI.D, infra at pp. 15-21.
`
`Panasonic 792 discloses a RACH preamble structure. (Ex. 1014, Min Decl.,
`
`at ¶ 47 (citing Ex. 1002, Panasonic 792, at 2).) The preamble structure is shown
`
`below.
`
`(Ex. 1002, Panasonic 792, at 2.) The preamble structure consists of M repetitions
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`of a Zadoff-Chu CAZAC sequence. (Ex. 1014, Min Decl., at ¶ 47 (citing Ex. 1002,
`
`Panasonic 792, at 2).) A cyclic prefix (labeled “CP” in Figure 1) is added to the
`
`preamble by concatenating at the front of the repeated CAZAC sequence. (Id.) A
`
`UE transmits the RACH preamble to a Node B, for example, in the first step of the
`
`following diagram. (Id.)
`
`
`
`(Ex. 1002, Panasonic 792, at 5.)
`
`B.
`
`Panasonic 114 (Ex. 1003)
`
`“Panasonic 114” refers to a meeting contribution document titled “Random
`
`access design for E-UTRA uplink” and numbered R1-061114. (Ex. 1014, Min
`
`Decl., at ¶ 49 (citing Ex. 1003, Panasonic 114, at 1).) Panasonic 114 is provided as
`
`Exhibit 1003. Panasonic submitted Panasonic 114 to 3GPP WG1 for Meeting 45,
`
`held on May 8 to 12, 2006, in Shanghai, China. (Id. (citing Ex. 1003, Panasonic
`
`114, at 1).)
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`Panasonic 114 was not cited to the Patent Office or considered by the
`
`examiner during the prosecution of the application that issued as the 481 patent.
`
`Panasonic 114 is prior art to every claim of the 481 patent under pre-AIA 35
`
`U.S.C. § 102(a) and (b). Panasonic 114 is § 102(b) prior art because its publication
`
`date (on or before May 2, 2006) predates the 481 patent’s claimed U.S. filing date
`
`(June 8, 2007) by more than one year. Panasonic 114 is § 102(a) prior art because
`
`its publication date (on or before May 2, 2006) predates the 481 patent’s claimed
`
`priority date (June 9, 2006). Panasonic 114 is a “printed publication” under § 102
`
`for the reasons in Section VI.D, infra at pp. 15-21.
`
`Panasonic 114 discloses a RACH preamble design. (Ex. 1014, Min Decl., at
`
`¶ 50 (Ex. 1003, Panasonic 114, at 1-2).) Panasonic 114 provides test results of the
`
`performance of WCDMA sequences, CAZAC sequences, and cyclic-shifted
`
`CAZAC sequences, concluding that the “cyclic-shifted CAZAC sequence has
`
`superior performance among compared sequences.” (Id. (quoting Ex. 1003,
`
`Panasonic 114, at 2).) Panasonic 114 therefore “propose[s] to choose cyclic-shifted
`
`Zadoff-Chu CAZAC as preamble sequence mainly.” (Id. (quoting Ex. 1003,
`
`Panasonic 114, at 2).) Panasonic 114 provides “two preamble lengths, around 400
`
`usec and around 800 usec” and discloses that “[f]or supporting larger cell size,
`
`repeating this [cyclic-shifted CAZAC sequence] twice (i.e. 800 usec) can be used.”
`
`(Id. (quoting Ex. 1003, Panasonic 114, at 2-3).)
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`C. Chu (Ex. 1004)
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`“Chu” refers to a publication titled “Polyphase Codes with Good Periodic
`
`Correlation Properties” in the July 1972 issue of IEEE Transactions on
`
`Information Theory. (Ex. 1014, Min Decl., at ¶ 51 (citing Ex. 1004, Chu, at 1).)
`
`Chu is provided as Exhibit 1004.
`
`Chu was not cited to the Patent Office or considered by the examiner during
`
`the prosecution of the application that issued as the 481 patent.
`
`Chu is prior art to every claim of the 481 patent under pre-AIA 35 U.S.C.
`
`§ 102(a) and (b) because Chu’s publication date (on or before July 1972) predates
`
`the 481 patent’s claimed priority date (June 9, 2006) and claimed U.S. filing date
`
`(June 8, 2007) by more than one year. Chu is a “printed publication” under § 102
`
`for the reasons in Section VI.D, infra at pp. 15-21.
`
`Chu discloses and introduces the sequence that is now known as the Zadoff-
`
`Chu sequence. (Ex. 1014, Min Decl., at ¶ 52.) Chu teaches that sequence in the
`
`form of the following equations:
`
`𝑎𝑘=exp 𝑖𝑀𝑀𝑘2𝑁
`𝑎𝑘=exp 𝑖𝑀𝑀𝑘(𝑘+1)
`𝑁
`
`(4)
`
`(7)
`
`
`
`(Id. (citing Ex. 1004, Chu, at 1-2).) Equation (4) applies if the sequence length is
`
`an even number, while equation (7) applies if the sequence length is an odd
`
`number. (Id.) Chu also discloses that this sequence, ak, may be subjected to
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`“[t]rivial variations such as cyclic shifts” and that “certain linear phase shifts of the
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`form exp 𝑖(2𝜋𝜋𝜋/𝑁), where q is any integer, when introduced into the code also
`
`will not affect the correlation.” (Id. (quoting Ex. 1004, Chu, at 2).)
`
`D.
`
`“Printed Publication” Status
`
`Under pre-AIA 35 U.S.C. § 102, Panasonic 792, Panasonic 114, and Chu are
`
`“printed publications.” A document qualifies as a printed publication if skilled
`
`artisans exercising reasonable diligence could have located it. See MIT v. AB
`
`Fortia, 774 F.2d 1104, 1109 (Fed. Cir. 1985); Kyocera Wireless Corp. v. U.S. Int’l
`
`Trade Comm’n, 545 F.3d 1340, 1350-51 (Fed. Cir. 2008); see also In re Hall, 781
`
`F.2d 897, 898-99 (Fed. Cir. 1986); ZTE Corp. v. IPR Licensing, Inc., Case
`
`IPR2014-00525, slip op. at 14-17 (P.T.A.B. Sept. 17, 2014) (Paper 19). A skilled
`
`artisan exercising reasonable diligence could have located Panasonic 792,
`
`Panasonic 114, and Chu before the 481 patent’s claimed priority date (June 9,
`
`2006) for the following reasons.
`
`1.
`
`Panasonic References
`
`Panasonic 792 and Panasonic 114 qualify as printed publications before the
`
`481 patent’s claimed priority date for at least three independent reasons. First, they
`
`were published without restriction at a well-known location on the 3GPP website.
`
`Second, they were e-mailed without restriction to subscribers of the WG1 e-mail
`
`exploder list as attachments or embedded links to the 3GPP website. Third, they
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`were made available without restriction to participants of the relevant WG1
`
`meetings in 2006.
`
`In addition to the documents themselves, these facts are evidenced by
`
`testimony from a WG1 member who attended the relevant WG1 meetings (see Ex.
`
`1015, Zhisong Decl.), an affidavit from the Internet Archive authenticating
`
`archived, time-stamped copies of the relevant webpages (see Ex. 1016, Butler
`
`Aff.), and testimony from Dr. Paul Min based on his experience with 3GPP
`
`working groups and their documentation procedures (see Ex. 1014, Min Decl.).
`
`In particular, members of the public, including interested members, could
`
`have accessed Panasonic 792 and Panasonic 114 without restriction before the 481
`
`patent’s claimed priority date via 3GPP’s public website. (Ex. 1014, Min Decl. at
`
`¶¶ 3, 111-116, 127-131.) Panasonic 792 and Panasonic 114 were uploaded to
`
`3GPP’s website with timestamps showing the upload date and time and the
`
`associated hyperlink as shown below.
`
`Reference
`Panasonic 792
`
`Panasonic 114
`
`Hyperlink
`http://www.3gpp.org/ftp/tsg_ran/W
`G1_RL1/TSGR1_44bis/Docs/R1-
`060792.zip
`http://www.3gpp.org/ftp/tsg_ran/W
`G1_RL1/TSGR1_45/Docs/R1-
`061114.zip
`
`Timestamp
`3/21/2006, 9:04 AM
`
`5/2/2006, 7:20 AM
`
`(Ex. 1015, Zhisong Decl., at ¶¶ 7-8, 10-11, Exs. 3, 7; Ex. 1014, Min Decl. at ¶¶
`
`111-116, 127-131 (citing Ex. 1019, 44bis Docs, at 1; Ex. 1022, 45 Docs, at 1); Ex.
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`1016, Butler Aff., at ¶¶ 6-7, 1016-0009 – 0015.) By navigating 3GPP’s public
`
`website and accessing the hyperlinks above, a member of the public could have
`
`downloaded Panasonic 792 since March 21, 2006, and could have downloaded
`
`Panasonic 114 since May 2, 2006. (Ex. 1015, Zhisong Decl., at ¶¶ 7-8, 10-11; Ex.
`
`1014, Min Decl. at ¶¶ 111-116, 127-131.) Exhibits 1002 and 1003 are true and
`
`correct copies of Panasonic 792 and Panasonic 114 that Dr. Min downloaded by
`
`navigating the 3GPP website and accessing the links above without any restriction.
`
`(Ex. 1014, Min Decl. at ¶¶ 111-116, 127-131.) Mr. Zhisong downloaded identical
`
`versions by following the same steps. (Ex. 1015, Zhisong Decl., at ¶¶ 7-8, 10-11,
`
`Exs. 4, 8.)
`
`The time stamps shown above are reliable. (Ex. 1015, Zhisong Decl., at ¶¶
`
`7-8, 10-11; Ex. 1014, Min Decl. at ¶¶ 112, 115, 130 (citing Ex. 1017, 3GPP FAQs,
`
`at 9 (“time stamp of the Zip file can be relied upon to indicate when the upload
`
`occurred”)).) Documents become available on the 3GPP website and remain
`
`publicly available as of the date and time indicated by the specific time stamp
`
`reflected on the website. (Ex. 1015, Zhisong Decl., at ¶¶ 7-8, 10-11; Ex. 1014, Min
`
`Decl. at ¶¶ 113, 116, 131 (citing Ex. 1018, Delegates Corner, at 3 (“Documents are
`
`not deleted following the meeting, but are retained on the public server
`
`indefinitely.”)); Ex. 1016, Butler Aff., at 1016-0009 – 0015.) Therefore, Panasonic
`
`792 and Panasonic 114 have been available to members of the public on 3GPP’s
`
`Patent 8,218,48