`
`
`Yeong Hyeon Kwon, et al.
`In re Patent of:
`8,218,481 Attorney Docket No.: 00035-0010IP2
`U.S. Patent No.:
`July 10, 2012
`
`Issue Date:
`
`Appl. Serial No.: 12/303,947
`
`Filing Date:
`July 7, 2010
`Title:
`Method of Transmitting Data in a Mobile Communication
`System
`
`
`
`
`PETITION FOR INTER PARTES REVIEW OF UNITED STATES PATENT
`NO. 8,218,481 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`
`
`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`
`TABLE OF CONTENTS
`
`I. MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1) ........................... 1
`
`A. Real Parties-In-Interest Under 37 C.F.R. § 42.8(b)(1) ............................. 1
`B. Related Matters Under 37 C.F.R. § 42.8(b)(2) ......................................... 1
`C. Lead And Back-Up Counsel And Service Information ............................ 2
`PAYMENT OF FEES – 37 C.F.R. § 42.103 ................................................... 3
`
`II.
`
`III. REQUIREMENTS FOR IPR UNDER 37 C.F.R. § 42.104 ............................ 3
`
`A. Grounds for Standing Under 37 C.F.R. § 42.104(a)................................. 3
`B. Challenge Under 37 C.F.R. § 42.104(b) and Relief Requested ............... 4
`IV. SUMMARY OF THE ’481 PATENT ............................................................. 4
`
`A. Brief Description ....................................................................................... 4
`B. Summary of the Prosecution History of the ’481 Patent .......................... 5
`C. Claimed Priority Date ............................................................................... 6
`D. Background of Technology ...................................................................... 6
`1.
`Person of Ordinary Skill in the Art ................................................. 6
`2.
`Technical Background ..................................................................... 7
`3.
`State of the Art ................................................................................ 9
`CLAIM CONSTRUCTION UNDER 37 C.F.R. §§ 42.104(b)(3) ................ 11
`
`V.
`
`VI. PRIOR ART REFERENCES ........................................................................ 13
`
`A. Panasonic 792 (Ex. 1002) ....................................................................... 13
`B. Panasonic 114 (Ex. 1003) ....................................................................... 15
`C. Chu (Ex. 1004) ........................................................................................ 16
`D. “Printed Publication” Status ................................................................... 17
`1.
`Panasonic References .................................................................... 18
`2.
`Chu ................................................................................................ 23
`VII. MANNER OF APPLYING CITED PRIOR ART TO EVERY CLAIM FOR
`
`WHICH AN IPR IS REQUESTED, THUS ESTABLISHING A
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`REASONABLE LIKELIHOOD THAT AT LEAST ONE CLAIM OF THE
`
`‘481 PATENT IS UNPATENTABLE .......................................................... 24
`
`A. Ground 1: Claims 1-2 and 8-9 are invalid based on Panasonic 792 ....... 24
`1.
`Independent Claim 1 ..................................................................... 24
`2. Dependent Claim 2 ........................................................................ 28
`3.
`Independent Claim 8 ..................................................................... 29
`4. Dependent Claim 9 ........................................................................ 31
`B. Ground 2: Claims 3, 4, 10, and 11 are invalid based on Panasonic 792
`and Panasonic 114 .................................................................................. 32
`1. Dependent Claim 3 ........................................................................ 32
`2. Dependent Claim 4 ........................................................................ 33
`3. Dependent Claim 10 ...................................................................... 34
`4. Dependent Claim 11 ...................................................................... 35
`5.
`Reasons to Combine the Panasonic References ............................ 35
`C. Ground 3: Claims 6 and 13 are invalid based on Panasonic 792,
`Panasonic 114, and Chu. ......................................................................... 38
`1. Dependent Claim 6 ........................................................................ 38
`2. Dependent Claim 13 ...................................................................... 39
`3.
`Reasons to Combine the Panasonic References and Chu ............. 40
`VIII. REDUNDANCY ........................................................................................... 41
`
`IX. CONCLUSION .............................................................................................. 42
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`ii
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
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`
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`EXHIBITS
`
`APPL-1001 U.S. Patent No. 8,218,481 to Kwon, et al. (“the ‘481 patent”)
`
`APPL-1002 “Random access burst evaluation in E-UTRA uplink,” 3GPP
`
`Tdoc R1-060792, Panasonic, TSG-RAN WG1 Meeting #44bis,
`
`Athens, Greece, March 27-31, 2006 (“Panasonic 792”)
`
`APPL-1003 “Random access design for E-UTRA uplink,” 3GPP Tdoc R1-
`
`061114, Panasonic, TSG-RAN WG1 Meeting #45, Shanghai,
`
`China, May 8-12, 2006 (“Panasonic 114”)
`
`APPL-1004 “Polyphase Codes With Good Periodic Correlation Properties,”
`
`D.C. Chu, IEEE Transactions on Information Theory, pp. 531-32,
`
`July 1972 (“Chu”)
`
`APPL-1005 File History of U.S. Patent Application No. 12/303,947, which is-
`
`sued as the 481 Patent (“481 File History”)
`
`APPL-1006 “RACH design for E-UTRA,” 3GPP Tdoc R1-060797, Huawei,
`
`TSG-RAN WG1 Meeting #44bis, Athens, Greece, March 27-31,
`
`2006 (“Huawei 797”)
`
`APPL-1007 U.S. Patent No. US 7,702,028 B2, originally assigned to Samsung
`
`Electronics Co., Ltd. (“Samsung 028”)
`
`iii
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`APPL-1008 “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 (“Motorola/TI 893”)
`
`APPL-1009 “RACH Preamble Design,” 3GPP Tdoc R1-051058, Texas Instru-
`
`ments, TSG-RAN WG1 Meeting #42bis, San Diego, USA, Octo-
`
`ber 10-14, 2005 (“TI 058”)
`
`APPL-1010 “Random Access Sequence Design,” 3GPP Tdoc R1-060884,
`
`Motorola, TSG-RAN WG1 Meeting #44-bis, Athens, Greece,
`
`March 24-26, 2006 (“Motorola 884”)
`
`APPL-1011 “On the performances of LTE RACH,” 3GPP Tdoc R1-060908,
`
`Nortel Networks, TSG-RAN WG1 Meeting #44-bis, Athens,
`
`Greece, March 27-31, 2006 (“Nortel 908”)
`
`APPL-1012 “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 (“TI
`
`867”)
`
`APPL-1013 “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 (“NTT/NEC 992”)
`
`iv
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`APPL-1014 Declaration of Paul S. Min, Ph.D (“Min Decl.”)
`
`APPL-1015 Declaration of Zuo Zhisong (“Zhisong Decl.”)
`
`APPL-1016 Affidavit of Christopher Butler (“Butler Aff.”)
`
`APPL-1017 Printout of 3GPP FAQs, available at http://www.3gpp.org/about-
`
`3gpp/3gpp-faqs (“3GPP FAQs”)
`
`APPL-1018 Printout of Delegates Corner, available at
`
`http://www.3gpp.org/specifications-groups/delegates-corner
`
`(“Delegats Corner”)
`
`APPL-1019 Printout of
`
`http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_44bis/Docs/
`
`(“44bis Docs”)
`
`APPL-1020 Printout of archived version of e-mail from Katsuhiko Hiramatsu
`
`to RAN1’s e-mail exploder list on March 21, 2006 (“3/21/06
`
`Hiramatsu E-Mail”)
`
`APPL-1021 Printout of list of Tdocs submitted at RAN1 Meeting 44bis
`
`(“Tdoclist 44bis”)
`
`APPL-1022 Printout of
`
`http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_45/Docs/
`
`(“45 Docs”)
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`v
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`APPL-1023 Printout of archived version of e-mail from Katsuhiko Hiramatsu
`
`to RAN1’s e-mail exploder list on May 2, 2006 (“5/2/06
`
`Hiramatsu E-mail”)
`
`APPL-1024 Printout of list of Tdocs submitted at RAN1 Meeting 45 (“Tdo-
`
`clist 45”)
`
`APPL-1025 Printout of IEEE Xplore Abstract (Citations) - Polyphase codes
`
`with good periodic correlation properties (Corresp.), available at
`
`http://ieeexplore.ieee.org/xpl/abstractCitations.jsp?tp=&ar-
`
`number=1054840&filter%3DAND%28p_IS_Num-
`
`ber%3A22664%29 (“Chu Citations”)
`
`APPL-1026 U.S. Patent No. 7,746,916 (“LG916”)
`
`APPL-1027 U.S. Patent No. 5,553,153 (“153 Patent”)
`
`APPL-1028 U.S. Patent App. Pub. 2004/0047284 (“284 Publication”)
`
`APPL-1029 Printout of archived version of 3GPP Frequency Asked Ques-
`
`tions, available at http://web.ar-
`
`chive.org/web/20060225053110/http://www.3gpp.org/faq/faq_20
`
`05_2.htm (“3GPP FAQs Archive”)
`
`APPL-1030 Printout of archived version of LISTSERV Archives at
`
`vi
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`LIST.ETSI.ORG, available at https://web.ar-
`
`chive.org/web/20060430104216/http://list.3gpp.org/ (“4/30/06
`
`List Archives”)
`
`APPL-1031 Printout of 3GPP Meeting Registration, available at
`
`http://webapp.etsi.org/3GPPRegistration/fView-
`
`Part.asp?mid=25517 (“44bis Participant List”)
`
`APPL-1032 Printout of 3GPP Meeting Registration, available at
`
`http://webapp.etsi.org/3GPPRegistration/fView-
`
`Part.asp?mid=25407 (“45 Participant List”)
`
`APPL-1033 Excerpts from Dahlman, Erik. 3G Evolution: HSPA and LTE for
`
`Mobile Broadband. Amsterdam: Academic, 2008 (“Dahlman”)
`
`APPL-1034 “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 (“TI 062”)
`
`
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`vii
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`Apple, Inc., Microsoft Corporation, Microsoft Mobile Oy, and Microsoft
`
`Mobile Inc. (f/k/a Nokia Inc.) (collectively “Petitioner”) petition for Inter Partes
`
`Review (“IPR”) under 35 U.S.C. §§ 311–319 and 37 C.F.R. § 42 of claims 1-4, 6,
`
`8-11 and 13 (“the Challenged Claims”) of U.S. Patent No. 8,218,481 (“the ‘481 pa-
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`tent”). This Petition substantively copies the petition filed in co-pending IPR2016-
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`00758, which was instituted on September 16, 2016. Accompanying this Petition is
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`a motion to join IPR2016-00758. Because this Petition substantively copies the
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`petition filed in co-pending IPR2016-00758 and that IPR has been instituted, evi-
`
`dence presented in this Petition establishes a reasonable likelihood Petitioner will
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`prevail with regard to at least claims 1-3, 6, 8-10 and 13 of the ‘481 patent.
`
`I. MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1)
`A. Real Parties-In-Interest Under 37 C.F.R. § 42.8(b)(1)
`Apple, Inc., Microsoft Corporation, Microsoft Mobile Oy, Microsoft Mobile
`
`
`
`Inc. (f/k/a Nokia Inc.), Microsoft Luxembourg International Mobile SARL and Mi-
`
`crosoft Luxembourg USA Mobile SARL are the real parties-in-interest. The Mi-
`
`crosoft entities have numerous affiliated and/or related entities. However, no un-
`
`named Microsoft entity is funding or controlling this Petition or any resulting IPR.
`
`B. Related Matters Under 37 C.F.R. § 42.8(b)(2)
`The ‘481 patent is the subject of the following pending petitions for inter
`
`partes review filed by other parties:
`
`
`
`1
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`
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
` Case No. IPR2016-00758 filed by ZTE (USA) Inc., HTC Corporation,
`
`and HTC America, Inc. on March 23, 2016;
`
` Case No. IPR2016-01342 filed by ZTE (USA) Inc., Samsung Electronics
`
`Co., Ltd., and Samsung Electronics America, Inc. on July 5, 2016; and
`
` Case No. IPR2016-01349 filed by ZTE (USA) Inc. on July 5, 2016.
`
`The ‘481 patent is further the subject of a pending petition for inter partes re-
`
`view filed by Apple, Inc., Microsoft Corporation, Microsoft Mobile Oy, and Mi-
`
`crosoft Mobile Inc. (f/k/a Nokia Inc.) (Case No. IPR2016-00981 filed on May 2,
`
`2016, hereinafter “Apple/Microsoft petition”). The grounds presented in this Peti-
`
`tion are substantially different from the grounds in the Apple/Microsoft petition in
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`that they involve different claim constructions and distinctive prior art references,
`
`and address the non-patentability of the Challenged Claims of the ‘481 patent from
`
`different perspectives. Moreover, the grounds presented in the Apple/Microsoft
`
`petition further address claims 15 and 16, which are not addressed in this Petition.
`
`The ‘481 patent is the subject of Civil Action Numbers 1:15-cv-00542
`
`(Del.), 1:15-cv-00543 (Del.), 1:15-cv-00544 (Del.), 1:15-cv-00545-SLR (Del.),
`
`1:15-cv-00546 (Del.), and 1:15-cv-00547- (Del.).
`
`C.
`
` Lead And Back-Up Counsel And Service Information
`Petitioner designates W. Karl Renner, Reg. No. 41, 265, as Lead Counsel
`
`and Roberto J. Devoto, Reg. No. 55,108, as Backup Counsel, both available at
`
`
`
`2
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`
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`3200 RBC Plaza, 60 South Sixth Street, Minneapolis, MN 55402 (T: 202-783-
`
`5070; F: 877- 769-7945), or electronically by e-mail at IPR00035-
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`0010IP2@fr.com (referencing No. 00035-0010IP2 and cc’ing PTABIn-
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`bound@fr.com, renner@fr.com and devoto@fr.com).
`
`II.
`
`PAYMENT OF FEES – 37 C.F.R. § 42.103
`Petitioner authorizes the Patent and Trademark Office to charge Deposit Ac-
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`count No. 06-1050 for the fee set in 37 C.F.R. § 42.15(a) for this Petition and fur-
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`ther authorizes payment for any additional fees to be charged to this Deposit Ac-
`
`count.
`
`III. REQUIREMENTS FOR IPR UNDER 37 C.F.R. § 42.104
`A. Grounds for Standing Under 37 C.F.R. § 42.104(a)
`Petitioner certifies that the ’481 patent is available for inter partes review
`
`and that it is not barred or estopped from requesting an inter partes review chal-
`
`lenging the patent claims on the grounds identified in the petition.
`
`Neither Petitioner, nor any party in privity with Petitioner, has filed a civil
`
`action challenging the validity of any claim of the ’481 patent. See 35 U.S.C. §
`
`315(a)(1). While Petitioner was served with a complaint alleging infringement of
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`the ’481 patent more than one year before the date this petition is filed, the time
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`limitation of 35 U.S.C. § 315(b) “shall not apply to a request for joinder under” 35
`
`U.S.C. § 315(c). Because this petition is accompanied by a Motion for Joinder, it
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`3
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`complies with 35 U.S.C. § 315(b). See, e.g., Dell Inc. v. Network-1 Security Solu-
`
`tions, Inc., IPR2013-00385, Paper 17 at 4-5 (granting joinder beyond the one-year
`
`window).
`
`B. Challenge Under 37 C.F.R. § 42.104(b) and Relief Requested
`Petitioner requests review and cancellation of claims 1-4, 6, 8-11, and 13 of
`
`the 481 patent on the following grounds:
`
`Ground
`Ground 1
`
`‘481 Patent Claims
`1, 2, 8, and 9
`
`Ground 2
`
`3, 4, 10, and 11
`
`Ground 3
`
`6 and 13
`
`Basis for Rejection
`§ 102(a), § 102(b), or § 103(a): Invalid
`based on Panasonic 792 (Ex. 1002)
`§ 103(a): Invalid based on Panasonic
`792 (Ex. 1002) and Panasonic 114 (Ex.
`1003).
`§ 103(a): Invalid based on Panasonic
`792 (Ex. 1002), Panasonic 114 (Ex.
`1003), and Chu (Ex. 1004).
`
`
`IV. SUMMARY OF THE ’481 PATENT
`A. Brief Description
`The ’481 patent relates to “a method of expanding a code sequence, a struc-
`
`ture 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:
`1. repeating a specific sequence, having a length (L), N
`
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`4
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`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 se-
`quence to a receiving side.
`8. A transmitter for transmitting a preamble sequence in a mo-
`bile communication system, the transmitter comprising:
`a preamble generation unit configured to generate said pream-
`ble 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 consec-
`utive sequence;
`a transmission unit configured to transmit, on a random access
`channel, said preamble sequence to a receiving side.
`B.
`Summary of the Prosecution History of the ’481 Patent
`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
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`June 26, 2006 (“KR 488”).
`
`On September 16, 2011, the examiner issued a non-final office action reject-
`
`ing every pending claim under 35 U.S.C. § 102(b) based on U.S. Patent Applica-
`
`tion No. 2006/0153282 (“Jung”). (Ex. 1005, 481 File History, at 1005-0374 – 380.)
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`On December 16, 2011, in response to the office action, the applicant
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`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
`
`manner, and argued that the as-amended claims are patentable over Jung.
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`
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`(Id. at 1005-0541 – 548.)
`
`On March 6, 2012, the examiner issued a notice of allowance, leading to the
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`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.
`
`D. Background of Technology
`1.
`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 expe-
`
`rience in cellular communication systems, and would have been aware of the ef-
`
`forts of the Third Generation Partnership Project (“3GPP”) and its various groups.
`6
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`(Ex. 1014, Min Decl., at ¶ 34.) Alternatively, that person would have had a Ph.D.
`
`in electrical engineering with the same familiarity with the work of the 3GPP and
`
`its various groups. (Id.)
`
`2.
`Technical Background
`In 2006, before the ’481 patent’s claimed priority date, the telecommunica-
`
`tions industry was developing the cellular standard now known as Long Term Evo-
`
`lution (“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 com-
`
`pany or organization in the world. (Id.)
`
`3GPP had several groups. (Id. at ¶ 36.) Relevant here is Technical Specifica-
`
`tion 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 cel-
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`lular 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.)
`
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`Finally, the RACH would allow the UE to become time-synchronized with the net-
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`work. (Id.) This was all well-known in WG1 before the 481 patent’s claimed prior-
`
`ity 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 differ-
`
`ent 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 se-
`
`lects, often randomly, a RACH preamble among the multitude of RACH preambles
`
`available for the eNodeB. (Id.) Because the UEs do not communicate among them-
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`selves, when two or more UEs happen to use the same RACH preamble sequence
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`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 ac-
`
`cess procedure at the same time. (Id.) To correctly perform the random access pro-
`
`cedure, 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
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`(2) cross-correlation. (Id. at ¶ 39.) The auto-correlation function compares a signal
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`to a time-shifted version of itself. (Id.) The cross-correlation function compares a
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`signal to a time-shifted version of a different signal. (Id.) For both functions, a re-
`
`sult of zero is ideal, while a higher value typically indicates a higher probability of
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`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
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`cross-correlation of that signal is called a circular cross-correlation; and the time
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`shift of that signal is called a cyclic shift. (Id.)
`
`WG1 members knew these properties well. (Id. at ¶ 40.) WG1 members also
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`knew that the RACH preamble sequence they were designing should have excel-
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`lent auto-correlation and cross-correlation properties so that the eNodeB can per-
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`form time estimation accurately without RACH preamble sequences interfering
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`with one another. (Id.) Finally, WG1 members knew that sequences called Con-
`
`stant Amplitude Zero Auto Correlation (“CAZAC”) sequences were well-suited to
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`be used as RACH preamble sequences. (Id.)
`
`3.
`State of the Art
`The challenged claims are directed to a RACH preamble that includes a sin-
`
`gle 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, 13).)
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`9
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`Before the 481 patent’s claimed priority date, this concept was well-known to per-
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`sons of ordinary skill in the art. (Id.)
`
`First, it was well-known that the RACH preamble could include a CAZAC
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`sequence. (Id. at ¶ 42.) In July 1972, David C. Chu authored an IEEE article that
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`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, sev-
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`eral companies proposed to WG1 that the RACH preamble include a Zadoff-Chu
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`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, Sam-
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`sung 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
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`CAZAC sequence. (Id. at ¶ 43.) For example, in May 2006, Panasonic employees
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`studied cyclic-shifted Zadoff-Chu sequences (which are CAZAC sequences) and
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`concluded that the RACH preamble should use those cyclic-shifted sequences. (Id.
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`(citing Ex. 1003, Panasonic 114, at 1).)
`
`Those skilled in the art also knew that the RACH preamble could be con-
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`structed using a repeating code, including a repeating CAZAC sequence. (Id. at ¶
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`44.) In 1999, Motorola and Texas Instruments proposed a RACH preamble struc-
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`ture formed of 256 repeated codes. (Id. (citing Ex. 1008, Motorola/TI 893, at 3).)
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`10
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`In August 2005, citing to the 1999 paper, Texas Instruments proposed that same
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`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 pro-
`
`posed a RACH preamble with a repeating CAZAC sequence. (Id. (citing Ex. 1013,
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`NTT/NEC 992, at 1).) Similarly, Panasonic proposed that the RACH preamble
`
`contain repetitions of a Zadoff-Chu CAZAC sequence. (Id. (citing Ex. 1002, Pana-
`
`sonic 792, at 2).) Panasonic also proposed that the RACH preamble contain repeti-
`
`tions of a cyclic-shifted Zadoff-Chu CAZAC sequence. (Id. (citing Ex. 1003, Pana-
`
`sonic 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 pre-
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`amble contain a cyclic prefix followed by repetitions of a Zadoff-Chu CAZAC se-
`
`quence. (Id. (citing Ex. 1002, Panasonic 792, at 2).)
`
`V. CLAIM CONSTRUCTION UNDER 37 C.F.R. §§ 42.104(b)(3)
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`The claims of an unexpired patent subject to inter partes review receive the
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`“broadest reasonable construction in light of the specification of the patent in
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`which it appears.” 37 C.F.R. § 42.100(b). Under this standard, the Board should
`
`read the claims in light of the specification and consult the patent’s prosecution
`
`
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`11
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`history. Microsoft Corp. v. Proxyconn, Inc., 789 F.3d 1292, 1298 (Fed. Cir. 2015).
`
` Claims 1 and 8 recite “repeating a specific sequence, having a length (L), N
`
`times to generate a consecutive sequence having a length (N*L).” (Ex. 1001, 481
`
`patent, at 18:35-37, 18:63-65.) Under the broadest reasonable interpretation stand-
`
`ard, the Board should interpret “a consecutive sequence having a length (N*L)” as
`
`a consecutive sequence, having a length (N*L), that is entirely within one frame.
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`As discussed in Section IV.B, supra, the applicant made claim amendments
`
`and arguments during prosecution to overcome the applied Jung reference and se-
`
`cure allowance. The applicant’s arguments make it clear that “a consecutive se-
`
`quence” is limited to a consecutive sequence within one frame.
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`In particular, the applicant argued that Jung’s preamble sequence #2 is not a
`
`“consecutive sequence” because Jung’s preamble sequence #2 is split between
`
`multiple frames:
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`12
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`As illustrated in annotated FIG. 2 of Jung, the preamble sequences do
`not form a consecutive sequence, rather, the preamble sequences are
`repeated in different frames. For example, the preamble sequence #2
`is split between two frames, and therefore, since the preamble se-
`quence #2 is split between two frames, the preamble sequence #2 is
`not a consecutive sequence.
`(Ex. 1005, 481 File History, at 1005-0546.) Through this argument, the applicant
`
`made it clear that the claimed “consecutive sequence” does not span multiple
`
`frames. Therefore, even under the broadest reasonable interpretation standard, the
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`Board should interpret “a consecutive sequence having a length (N*L)” as a con-
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`secutive sequence, having a length (N*L), that is entirely within one frame.
`
`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,
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`Min Decl., at ¶ 46 (citing Ex. 1002, Panasonic 792, at 1).) Panasonic 792 is pro-
`
`vided as Exhibit 1002. Panasonic submitted Panasonic 792 to WG1 for Meeting
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`44bis, held on March 27-31, 2006, in Athens, Greece. (Id. (citing Ex. 1002, Pana-
`
`sonic 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 pa-
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`tent.
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`13
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`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 be-
`
`cause 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” un-
`
`der § 102 for the reasons in Section VI.D, infra.
`
`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 be-
`
`low.
`
`
`
`(Ex. 1002, Panasonic 792, at 2.) The preamble structure consists of M repeti-
`
`tions 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
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`the following diagram. (Id.).
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`14
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
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`
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`(Ex. 1002, Panasonic 792, at 5.)
`
`B.
`Panasonic 114 (Ex. 1003)
`“Panasonic 114” refers to a meeting contribution document titled “Random
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`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).)
`
`Panasonic 114 was not cited to the Patent Office or considered by the exam-
`
`iner 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
`
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`15
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`Attorney Docket No. 00035-0010IP2
`IPR of U.S. Patent No. 8,218,481
`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.
`
`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 CA-
`
`ZAC 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 [cy-
`
`clic-shifted CAZAC sequence] twice (i.e. 800 usec) can be used.” (Id. (quoting Ex.
`
`1003, Panasonic 114, at 2-3).)
`
`C. Chu (Ex. 1004)
`“Chu” refers to a publication titled “Polyphase Codes with Good Periodic
`
`Correlation Properties” in the July 1972 i