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`Paper No. ___
`Filed: February 28, 2018
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`APPLE INC.,
`Petitioner,
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`v.
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`CALIFORNIA INSTITUTE OF TECHNOLOGY,
`Patent Owner.
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`—————————————————
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`Case IPR2017-00700
`Patent 7,421,032
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`—————————————————
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`PATENT OWNER’S THIRD NOTICE OF OBJECTION TO EVIDENCE
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`Case IPR2017-00700
`Patent 7,421,032
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`I.
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`INTRODUCTION
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`Pursuant to 37 C.F.R. § 42.64(b)(1), Patent Owner California Institute of
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`Technology (“Caltech”), submits the following objections to Petitioner Apple
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`Inc.’s (“Petitioner”) 1044-1049, 1053, 1055, 1057-1061, 1065, 1067, 1068, 1071,
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`and 1072. As required by 37 C.F.R. § 42.62, Patent Owner’s objections below
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`apply the Federal Rules of Evidence (“F.R.E.”).
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`II. OBJECTIONS
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`Caltech objects to Ex. 1044, “Tanner Graph for Code Described by Fig. 2 of
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`U.S. Patent No. 7,116,710”; Ex. 1045, “Block Diagram of Accumulator”; Ex.
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`1046, “Tanner Graph for Code Described by Divsalar”; Ex. 1047, “Tanner Graph
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`for Code Described by Luby98 Code 14”; Ex. 1048, “Tanner Graph for Code
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`Described by Ping”; Ex. 1049, “Tanner Graph for Code Described by MacKay
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`Profile 93y”; Ex. 1053, “Confidential IRAsimu.cpp with metadata”; Ex. 1055,
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`“Confidential Excerpts from the Deposition of Dr. Hui Jin (Case No. 16-cv-
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`3714)”; Ex. 1057, “Tanner Graph for Code Described by Divsalar (q=5)”; Ex.
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`1058, “Tanner Graph for IRA Code”; Ex. 1059, “Systematic Version of Divsalar
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`Figure 3”; Ex. 1060, “Divsalar Figure 3 and Frey Figure 1”; Ex. 1061, “D.Divsalar,
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`S. Dolinar, J. Thorpe, and C. Jones, ‘Constructing LDPC Codes from Simple
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`Loop-Free Encoding Modules,’ IEEE International Conference on
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`Communications, Seoul, South Korea, pp. 658-662, August, 2005”; Ex. 1065,
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`Case IPR2017-00700
`Patent 7,421,032
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`“Declaration of Dr. Brendan Frey”; Ex. 1068, “Simulation of Regular and Irregular
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`Divsalar Codes”; Ex. 1071, “Block Diagram of Implementation of Code Described
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`in Ping”; and Ex. 1072, “Block Diagram of Implementation of Code Described in
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`Ping”.
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`Grounds for Objection: F.R.E. 401 (Test for Relevant Evidence); F.R.E. 402
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`(General Admissibility of Relevant Evidence); F.R.E. 403 (Excluding Relevant
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`Evidence for Prejudice, Confusion, Waste of Time, or Other Reasons).
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`Exhibits 1044-1047 and 1057-1061 are not cited in the petition that initiated
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`this proceeding or Petitioner’s reply. As such, these exhibits are not relevant to the
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`instituted ground of review or any other aspect of this proceeding as they have no
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`tendency to make a fact more or less probable than it would be without the
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`evidence. Further, to the extent any of those exhibits are deemed relevant
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`admission of the exhibit would be unduly prejudicial, misleading, and a waste of
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`time.
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`In addition, Exhibits 1044-1049, 1057-1061, 1065, 1068, 1071, and 1072 are
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`new evidence not disclosed to Patent Owner until after the filing of its Patent
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`Owner response. To the extent those exhibits were cited in Patent Owner’s reply
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`they were cited in support of arguments that were not made in the petition and are
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`therefore improper to raise for the first time in Petitioner’s reply. The exhibits that
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`were not cited in Petitioner’s reply also appear to be in support of new arguments.
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`Case IPR2017-00700
`Patent 7,421,032
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`As such, these exhibits are not relevant to the instituted ground of review. Further,
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`to the extent any of those exhibits are deemed relevant admission of the exhibit
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`would be unduly prejudicial, misleading, and a waste of time, as the prejudice to
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`Patent Owner for being surprised and unable to respond to Petitioner’s new
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`evidence outweighs the relevance of this evidence.
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`Caltech objects to Exhibits 1053 and 1055 as lacking relevance. Although
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`these exhibits are cited in Petitioner’s reply, Petitioner only cites them “for the
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`reasons set forth in its Reply in [IPR2017-00210].” However, the Reply in
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`IPR2017-00210 does not cite to or rely on the corresponding versions of Exhibits
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`1053and 1055. As such, these exhibits are not relevant to the instituted ground of
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`review or any other aspect of this proceeding as they have no tendency to make a
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`fact more or less probable than it would be without the evidence. Further, to the
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`extent any of those exhibits are deemed relevant admission of the exhibit would be
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`unduly prejudicial, misleading, and a waste of time.
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` Caltech further objects to Exhibit 1068 and the portions of Exhibit 1065 that
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`rely on Exhibit 1068 for failure to comply with 37 C.F.R. § 42.65.
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`Caltech further objects to Exhibit 1067 (“California Institute of Technology
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`v. Hughes Communications Inc., No. 2:13-cv-07245-MRP-JEM, 2015 WL
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`11089495 (C.D. Cal. May 5, 2015)”) under F.R.E. 106 (“Remainder of or Related
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`Writings or Recorded Statements”). If Exhibit 1067 is deemed admissible then
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`Patent 7,421,032
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`other writings or recorded statements in fairness ought to be considered at the same
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`time.
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`III. CONCLUSION
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`Exhibits 1044-1049, 1053, 1055, 1057-1061, 1065, 1067, 1068, 1071, and
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`1072 were filed and served on February 21, 2018. These objections are made
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`within five business days of service.
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`Date: February 28, 2018
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`Respectfully submitted,
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`/ Michael T. Rosato /
`Michael T. Rosato, Lead Counsel
`Reg. No. 52,182
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`Case IPR2017-00700
`Patent 7,421,032
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`CERTIFICATE OF SERVICE
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`I certify that the foregoing Patent Owner’s Third Notice of Objection to
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`Evidence was served on this 28th day of February, 2018, on the Petitioner at the
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`electronic service addresses of the Petitioner as follows:
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`Richard Goldenberg
`Dominic Massa
`Michael H. Smith
`James M. Dowd
`Mark D. Selwyn
`Arthur Shum
`WILMER CUTLER PICKERING HALE AND DORR LLP
`richard.goldenberg@wilmerhale.com
`dominic.massa@wilmerhale.com
`michaelh.smith@wilmerhale.com
`james.dowd@wilmerhale.com
`mark.selwyn@wilmerhale.com
`arthur.shum@wilmerhale.com
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`Date: February 28, 2018
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`Respectfully submitted,
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`/ Michael T. Rosato /
`Michael T. Rosato, Lead Counsel
`Reg. No. 52,182
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`-5-
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