IPR2018- 01476
`U.S. Patent 7,764,711
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`APPLE INC.,
`HTC CORPORATION AND HTC AMERICA, INC.,
`ZTE (USA) INC.
`Petitioners
`
`v.
`
`INVT SPE LLC
`Patent Owner
`____________
`
`
`Case No. IPR2018-01476
`U.S. Patent No. 7,764,711
`____________
`
`
`
`
`
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 7,764,711
`
`
`
`
`
`
`U.S. Patent 7,764,711
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`
`APPLE INC.,
`HTC CORPORATION AND HTC AMERICA, INC.,
`ZTE (USA) INC.
`Petitioners
`
`v.
`
`INVT SPE LLC
`Patent Owner
`____________
`
`
`Case No. IPR2018-01476
`U.S. Patent No. 7,764,711
`____________
`
`
`
`
`
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 7,764,711
`
`
`
`
`
`
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`IPR2018-01476
`U.S. Patent No. 7,764,711
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`TABLE OF CONTENTS
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`I. INTRODUCTION ............................................................................................. 1
`II. SUMMARY OF THE ’711 PATENT .............................................................. 1
`A. DESCRIPTION OF THE ALLEGED INVENTION OF THE ’711 PATENT ..................... 1
`B. SUMMARY OF THE PROSECUTION HISTORY OF THE ’711 PATENT ...................... 4
`C. BACKGROUND OF THE TECHNOLOGY ................................................................ 5
`D. LEVEL OF SKILL OF A PERSON HAVING ORDINARY SKILL IN THE ART ................. 7
`III. REQUIREMENTS FOR INTER PARTES REVIEW UNDER 37 C.F.R.
`§ 42.104 .................................................................................................................... 8
`A. GROUNDS FOR STANDING UNDER 37 C.F.R. § 42.104(A) .................................. 8
`B. IDENTIFICATION OF CHALLENGE UNDER 37 C.F.R. § 42.104(B) AND RELIEF
`REQUESTED ............................................................................................................ 8
`C. CLAIM CONSTRUCTION UNDER 37 C.F.R. § 42.104(B)(3) ................................. 9
`IV. THERE IS A REASONABLE LIKELIHOOD THAT THE
`CHALLENGED CLAIMS OF THE ’711 PATENT ARE UNPATENTABLE
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`12
`A. GROUND 1: PAULRAJ, HUANG, AND WALTON RENDER CLAIMS 1-6 OBVIOUS .... 12
`C. GROUND 2: WALLACE AND WALTON RENDER CLAIMS 1-6 OBVIOUS ................. 44
`V. CONCLUSION ................................................................................................ 66
`VI. MANDATORY NOTICES UNDER 37 C.F.R. § 42.8(A)(1) ..................... 67
`A. REAL PARTY-IN-INTEREST ............................................................................. 67
`B. RELATED MATTERS ........................................................................................ 67
`C. LEAD AND BACK-UP COUNSEL ...................................................................... 68
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`IPR2018-01476
`U.S. Patent No. 7,764,711
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`I.
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`INTRODUCTION
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`Petitioners Apple Inc., HTC Corporation, HTC America, Inc., and ZTE
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`(USA), Inc. (collectively, “Petitioners”) request an Inter Partes Review (“IPR”) of
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`claims 1-6 (collectively, the “Challenged Claims”) of U.S. Patent No. 7,764,711
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`(“the ’711 Patent”). Despite having a priority date of 2003, the Challenged Claims
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`are broadly directed
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`to combining Multi-Input/Multi-Output
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`(“MIMO”)
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`communication techniques that were known for decades prior to the alleged
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`invention of the ’711 Patent. The over-breadth of the patent claims is especially
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`notable in view of the fact that the ’711 Patent did not face even a single prior art
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`rejection during prosecution. As shown below, the claimed combination of
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`conventional MIMO communication techniques was already well known in the art.
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`As such, the Challenged Claims are invalid and should be cancelled.
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`II.
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`SUMMARY OF THE ’711 PATENT
`A. Description of the alleged invention of the ’711 Patent
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`The ’711 Patent generally describes transmitting wireless signals “from a
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`plurality of transmission antennas like a[] MIMO…communication and adopts a
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`CDMA (Code Division Multiple Access) scheme.” ’711 Patent (Ex. 1001), at
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`1:10-14. However, the ’711 Patent “is not limited to the MIMO communication
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`and is also applicable to a case where different items of data are transmitted in
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`parallel from a plurality of antennas.” Id. at 5:66-6:3.
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`1
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`U.S. Patent No. 7,764,711
`The ’711 Patent acknowledges that prior MIMO communication techniques
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`were known in the art. Id. at 1:18-67. For example, the ’711 Patent describes one
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`preexisting MIMO communication
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`technique where “different
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`items of
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`transmission data (substreams) are transmitted from a plurality of antennas on a
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`transmitting side.” Id. at 1:20-23. This form of MIMO data transmission allows
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`for “a high-speed, high-volume communication” and was known in the art as
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`“spatial multiplexing.” Id. at 1:42-47; see also, Singer Decl. (Ex. 1003), at ¶35.
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`The ’711 Patent also describes a prior art MIMO technique “of transmitting
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`specific data assigned to only one antenna and a method of transmitting the same
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`data assigned to a plurality of antennas are available,” which was known in the
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`prior art as “transmit diversity.” Id. at 1:60-64; see also, Singer Decl. (Ex. 1003),
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`at ¶33. Transmit diversity reduces the error rate, but also has the effect of reducing
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`the data transmission rate/efficiency. Id. at 1:60-67. The alleged invention of the
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`’711 Patent is combining known spatial multiplexing and transmit diversity
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`techniques “to improve reception performance of specific data on a receiving side
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`while maintaining the transmission efficiency of a communication system.” Id. at
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`2:3-6.
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`In an exemplary embodiment, a data transmission signal is input to a control
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`section 110, which performs data recognition processing. Id. at 2:57-63. The data
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`recognition processing involves “recognizing and distinguishing data to which the
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`2
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`CDMA transmission apparatus according to this embodiment gives higher priority
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`in transmission (hereinafter referred to as ‘specific data’) from other data.” Id. at
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`3:55-60. The “specific data” may be control data or “data whose retransmission is
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`requested by the receiving side,” for example. Id. at 3:60-4:7. The control section
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`110 outputs a control signal, which identifies which data is the “specific data.” Id.
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`at 3:66-4:3.
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`The transmission and control signals are output to a serial to parallel (“S/P”)
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`converter 101, which splits the transmission signal into a plurality of substreams
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`D1 to D2N. Id. at 3:6-10, Fig. 1. The S/P converter maps the substreams to
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`spreading sections 102-1 to 102-N, 103-1 to 103-N and their respective antennas
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`106-1, 106-2 based on the information from the control signals. Id. at 4:11-14, Fig.
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`1. In particular, the S/P converter maps the lower-priority transmission data items
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`“substantially equally to the respective spreading sections to improve the
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`transmission efficiency.” Id. at 4:14-18. The higher priority “specific data” is
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`replicated by being read from the buffer at least twice and is then “apportioned so
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`as to be transmitted using both of the first transmission system and second
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`transmission system or more transmission systems (at least two transmission
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`systems when there are three or more transmission systems).” Id. at 4:18-24.
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`As shown in the diagram below, lower priority DATA 1 is multiplexed with
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`the higher priority retransmission data (i.e., “specific data”) and transmitted via
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`3
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`ANTENNA 1 while lower priority DATA 2 is multiplexed with the same
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`retransmission data and simultaneously transmitted from ANTENNA 2:
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`Id. at Fig. 4; see also, id. at 4:57-5:1.
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`Thus, the lower priority data items are transmitted according to spatial
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`multiplexing while the high priority “specific data” is simultaneously transmitted
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`from multiple antennas according to transmit diversity techniques.
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`B.
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`Summary of the prosecution history of the ’711 Patent
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`The application that resulted in the ’711 Patent was filed on June 22, 2007 as
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`a continuation of a U.S. Patent No. 7,251,469, which claims priority to a Japanese
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`patent application filed on May 9, 2003. ’711 Patent (Ex. 1001), at Foreign
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`Application Priority Data. At this time, Petitioners apply the May 9, 2003 date as
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`the priority date of the Challenged Claims. The ’711 Patent did not face a single
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`prior art rejection during prosecution, and there is no indication that the examiner
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`substantively considered even a single prior art reference. ’711 Patent File History
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`(Ex. 1002), at 53-57, 113-118, 137-139.
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`4
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`U.S. Patent No. 7,764,711
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`C. Background of the technology
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`Electrical communication systems send information from a source to one or
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`more destinations and primarily consist of, among other things, a transmitter, a
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`physical channel, and a receiver. Singer Decl. (Ex. 1003), at ¶28. The physical
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`channel is the physical medium that is used to send the signal from the transmitter
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`to the receiver. Id. at ¶29. In a wireless communications system, the physical
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`channel is the atmosphere. Id. In radio communications, a transmitting antenna
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`radiates electromagnetic energy into the atmosphere in a specified frequency range
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`and a receiving antenna detects this energy. Id.
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`Noise in the atmosphere can degrade the quality of the signal. Id. at ¶30.
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`One form of degradation in radio communications is called multipath propagation.
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`Id. Multipath propagation occurs when the transmitted signal arrives at the
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`receiver via multiple propagation paths at different delays. Id. In mobile cellular
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`transmissions, for example, signal transmissions between the base station and the
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`subscriber unit can be reflected from buildings, hills and other obstructions. Id.
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`This causes the signal to arrive at the receiver via multiple propagation paths at
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`different delays. Id. As a result, multipath propagation can cause interference and
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`signal fading. Id.
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`Antenna diversity was developed many decades ago (i.e., WWII) to combat
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`the signal fading caused by multipath propagation. Id. at ¶32. Diversity can be
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`5
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`U.S. Patent No. 7,764,711
`achieved using multiple antennas at the transmitting node (i.e., transmit diversity),
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`multiple antennas at the receiving node (i.e., “receive diversity”), or a combination
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`of both. Id. at ¶33. One of the simplest ways to implement transmit diversity is to
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`transmit replicas of the same information symbol from multiple antennas. Id.
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`Receive diversity is using “multiple antennas at the receiver and performing
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`combining or selection and switching in order to improve the quality of the
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`received signal.” Id. (citing Alamouti (Ex. 1014), at 1451). “By sending signals
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`that carry the same information through different paths, multiple independently
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`faded replicas of the data symbol can be obtained at the receiver end; hence more
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`reliable reception is achieved.” Id. (citing Zheng (Ex. 1013), at 2).
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`By the early 1990s, researchers realized that multiple antenna systems could
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`also be used to increase the data rate in a wireless communication link. Id. at ¶34.
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`In 1992, Dr. Arogyaswami Paulraj and his advisor, Dr. Thomas Kailath filed the
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`application that became U.S. Patent No. 5,345,599. Id. (citing Paulraj ’599 Patent
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`(Ex. 1015)). Dr. Paulraj’s invention was to increase a channel’s data rate by
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`splitting a high data rate signal into several lower rate substreams that are
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`simultaneously transmitted from a plurality of transmitting antennas and received
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`by a plurality of receiving antennas. Id. This concept of transmitting independent
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`information streams in parallel though multiple spatial channels became known as
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`in the art as “spatial multiplexing.” Id. at ¶35 (citing Zheng (Ex. 1013), at 2).
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`6
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`By 2003, the term MIMO (“multiple-input-multiple-output”) had evolved
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`into a term referring to a wireless communication link where both the transmitting
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`and receiving nodes are equipped with multiple antennas. Id. at ¶36 (citing
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`Gesbert (Ex. 1016), at 281). At that time, MIMO systems could apply spatial
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`multiplexing and/or diversity techniques. Id. at ¶37. For example, MIMO
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`schemes had been developed that would switch between diversity and spatial
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`multiplexing modes depending on the instantaneous channel conditions. Id.; see
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`also, infra at Section IV.C. MIMO schemes that simultaneously implemented
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`diversity and spatial multiplexing techniques were also known. Id. at ¶38. Indeed,
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`such a scheme is disclosed by another patent to Dr. Paulraj, U.S. Patent No.
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`6,067,290, which for the reasons explained below, renders claims of the ’711
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`Patent obvious. Infra at Section IV.A. Therefore, by May 2003, MIMO systems
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`utilizing both diversity and spatial multiplexing techniques to improve both signal
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`reliability and data rates were well known. Singer Decl. (Ex. 1003), at ¶39.
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`D. Level of skill of a person having ordinary skill in the art
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`A person having ordinary skill in the art (“PHOSITA”) at the filing of the
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`’711 Patent would have been a person having a Bachelor’s degree in electrical
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`engineering or the equivalent plus 3 years of experience working with multi-
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`antenna wireless communication systems or a Master’s degree in electrical
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`engineering with an emphasis on communication systems or the equivalent plus 1
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`7
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`U.S. Patent No. 7,764,711
`year of experience working with multi-antenna wireless communication systems.
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`Id., at ¶41.
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`III. REQUIREMENTS FOR INTER PARTES REVIEW UNDER 37 C.F.R.
`§ 42.104
`A. Grounds for standing under 37 C.F.R. § 42.104(a)
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`Petitioners certify that the ’711 Patent is available for IPR and that the
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`Petitioners are not barred or estopped from requesting IPR challenging the claims
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`of the ’711 Patent.
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`B.
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`Identification of challenge under 37 C.F.R. § 42.104(b) and relief
`requested
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`In view of the prior art and evidence presented, claims 1-6 of the ’711 Patent
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`are unpatentable and should be cancelled. 37 C.F.R. § 42.104(b)(1). Further,
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`based on the prior art references identified below, IPR of the Challenged Claims
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`should be granted. 37 C.F.R. § 42.104(b)(2).
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`Proposed Grounds of Unpatentability
`Ground 1: Claims 1-6 are obvious under § 103(a) over U.S. Patent
`No. 6,067,290 to Paulraj et al. (“Paulraj”) in view of “Achieving
`High Data Rates in CDMA Systems Using BLAST Techniques” by
`Howard Huang, Harish Viswanathan, and G.J. Foschini (“Huang”)
`in further view of U.S. Patent No. 7,095,709 to Walton et al.
`(“Walton”)
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`Exhibits
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`1005, 1006,
`1008
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`8
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`Exhibits
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`Proposed Grounds of Unpatentability
`Ground 2: Claims 1-6 are obvious under § 103(a) over U.S. Patent
`Application Publication No. 2002/0193146A1 to Wallace et al.
`(“Wallace”) in view of Walton
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`1008, 1009
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`Section IV identifies where each element of the Challenged Claims is found
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`in the prior art. 37 C.F.R. § 42.104(b)(4). The exhibit numbers of the supporting
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`evidence relied upon to support the challenges are provided above and the
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`relevance of the evidence to the challenges raised are provided in Section IV. 37
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`C.F.R. § 42.104(b)(5). Exhibits 1001– 1019 are also attached.
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`C. Claim construction under 37 C.F.R. § 42.104(b)(3)
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`In this proceeding, claim terms of an unexpired patent should be given their
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`“broadest reasonable construction in light of the specification.” 37 C.F.R.
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`§ 42.100(b); Cuozzo Speed Techs., LLC v. Lee, 136 S. Ct. 2131, 2144-46 (2016).
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`Petitioners understand that the Patent Trial and Appeal Board (“PTAB”) may soon
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`apply the standard applied by Article III courts (i.e., the Phillips standard).
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`Petitioners propose all claim terms not specifically discussed below should be
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`given their plain and ordinary meaning in light of the specification. For those terms
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`addressed below, Petitioners believe the proposed constructions are consistent with
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`both the broadest reasonable interpretation (“BRI”) and Phillips standards. These
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`assumptions are not a waiver of any argument in any litigation that claim terms in
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`U.S. Patent No. 7,764,711
`the ’711 Patent are indefinite or otherwise invalid nor do Petitioners waive their
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`rights to raise additional issues of claim construction in any future litigation.
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`i. MIMO (multi-input/multi-output) scheme
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`Claims 1 and 6 each recite the phrase “MIMO (multi-input/multi-output)
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`scheme.” The claims further require “transmitting a plurality of data items for a
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`same receiving apparatus using a plurality of antennas in parallel” and “a
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`transmitting section that transmits a plurality of data items using the at least one of
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`the plurality of antennas to the receiving apparatus.” ’711 Patent (Ex. 1001), at
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`7:29-30, 8:20-21. The ’711 Patent specification further describes MIMO
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`communications as involving a transmitting apparatus having multiple transmit
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`antennas transmitting data to a receiving apparatus having multiple receive
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`antennas:
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`In the MIMO communication, a signal transmitted from a
`transmission apparatus is actually received by at least the same
`number of antennas as
`transmission apparatuses and
`characteristics of propagation paths between the antennas are
`estimated based on pilot signals inserted in the signals received
`by the respective antennas. When, for example, there are two
`antennas on the transmitting side and two reception antennas,
`this estimated propagation path characteristic H is expressed by
`a matrix with 2 rows×2 columns.
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`Id. at 1:28-36.
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`U.S. Patent No. 7,764,711
`This is also consistent with the well-known meaning of the term “MIMO” at
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`the time of the ’711 Patent. Singer Decl. (Ex. 1003), at ¶36 (citing Gesbert (Ex.
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`1016), at 281). As such, the term “MIMO (multi-input/multi-output) scheme”
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`must at least include a transmitting apparatus having multiple transmit antennas
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`used to transmit signals to a receiving apparatus having multiple receive antennas.
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`ii. user data requiring a better communication quality than
`other user data
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`Claim 2 recites the phrase “wherein the specific data item comprises user
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`data requiring a better communication quality than other user data.” ’711 Patent
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`(Ex. 1001), at 8:7-9. The ’711 Patent’s written description describes “a
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`transmission signal including data D1, D2, . . ., DN, DN+1, . . . D2N to be sent to users
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`1, 2, . . ., N, N+1, . . ., 2N.” Id. at 2:57-59. The transmission signal includes
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`different types of data including data given “higher priority in transmission
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`(hereinafter referred to as ‘specific data’) from other data.” Id. at 3:55-60.
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`Examples of such higher priority data include “a control signal for controlling a
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`communication with the receiving side or data to be transmitted now to the
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`receiving side having poor channel quality (channel quality of a predetermined
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`level or lower) or the receiving side having a higher moving speed (moving speed
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`of a predetermined level or higher).” Id. at 3:60-66. Therefore, the limitation
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`“user data requiring a better communication quality than other user data” must at
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`least include the data given “higher priority in transmission . . . from other data”
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`U.S. Patent No. 7,764,711
`including, for example, “a control signal for controlling a communication with the
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`receiving side or data to be transmitted now to the receiving side having poor
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`channel quality (channel quality of a predetermined level or lower) or the receiving
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`side having a higher moving speed (moving speed of a predetermined level or
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`higher).”
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`IV. THERE IS A REASONABLE LIKELIHOOD THAT THE
`CHALLENGED CLAIMS OF THE ’711 PATENT ARE
`UNPATENTABLE
`A. Ground 1: Paulraj, Huang, and Walton render claims 1-6 obvious
`Paulraj issued on May 23, 2000 and thus qualifies as prior art with regard to
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`the ’711 Patent under 35 U.S.C. §102(b) (pre-AIA). Paulraj (Ex. 1005). Paulraj
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`was not cited or considered during prosecution of the ’711 Patent. ’711 Patent File
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`History (Ex. 1002). Paulraj describes a transmitter equipped with M antennas
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`transmitting data to a receiver having N antennas. Paulraj (Ex. 1005), at 6:7-10.
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`The transmitter implements “spatial multiplexing in conjunction with the one or
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`more multiple access protocols during the broadcast of information in a wireless
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`network.” Id. at Abstract. Paulraj’s transmitter uses spatial multiplexing to
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`increase the bit rate in a wireless radio link with no additional power or bandwidth
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`consumption while also using “[a]dditional antennas . . . for diversity purposes and
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`further improve the link reliability by improving, for example, the signal-to-noise
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`ratio or allowing for smaller fading margins, etc.” Id. at 6:7-13; see also, id. at
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`U.S. Patent No. 7,764,711
`5:38-42, 19:45-48. Therefore, like the ’711 Patent, Paulraj also discloses a
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`transmitter using spatial multiplexing and diversity techniques to improve both the
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`data rate and link reliability.
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`The ’711 Patent defines the field of invention as “a transmission apparatus
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`and transmission method which transmits signals from a plurality of transmission
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`antennas like an [sic] MIMO . . . communication and adopts a CDMA (Code
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`Division Multiple Access) scheme.” ’711 Patent (Ex. 1001), at 1:10-14.
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`However, the Challenged Claims are not limited to CDMA transmissions and are
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`instead more broadly directed to a transmitting apparatus/method “employing a
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`MIMO (multi-input/multi-output) scheme of transmitting a plurality of data items
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`for a same receiving apparatus using a plurality of antennas in parallel.” Id. at
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`7:29-32, 8:20-23. As such, the field of endeavor of the ’711 Patent must at least
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`include “a transmission apparatus and transmission method which transmits signals
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`from a plurality of transmission antennas like an MIMO communication.”
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`Paulraj similarly relates to a transmission apparatus/method for transmitting
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`signals from a plurality of transmission antennas using MIMO communication
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`techniques. Paulraj (Ex. 1005), at Abstract (“The present invention provides
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`methods and apparatus for implementing spatial multiplexing in conjunction with
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`the one or more multiple access protocols during the broadcast of information in a
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`wireless network.”), 5:44-55 (“Assuming, for example, N=3 antennas are used at
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`U.S. Patent No. 7,764,711
`the transmitter and receiver, the stream of possibly coded information symbols is
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`split into three independent substreams. . . . The substreams are applied separately
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`to the N transmit antennas and launched into the radio channel.”). As such,
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`Paulraj is in the same field of endeavor and is analogous to the claimed invention
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`of the ’711 Patent. To the extent the field of endeavor is interpreted narrowly to
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`further require CDMA transmissions, Paulraj’s transmission apparatus/method can
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`be applied to several multiple access protocols including CDMA. Paulraj (Ex.
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`1005), at 5:47-54, 7:40-49, 29:15-16, Fig. 11A.
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`Huang was published in Vol. 5 of 1999 IEEE Globecom by the Institute of
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`Electrical and Electronics Engineers, Inc. (IEEE) and includes a copyright date of
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`1999. Huang (Ex. 1006), at 5. The determination of whether a given reference
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`qualifies as a prior art “printed publication” involves a case-by-case inquiry into
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`the facts and circumstances surrounding the reference’s disclosure to members of
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`the public, and the key inquiry is whether the reference was made sufficiently
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`publicly accessible before the priority date. EMC Corp. v. PersonalWeb Techs.,
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`Inc. et al., IPR2013-00087, 2014 WL 2090666, at *16 (PTAB May 15, 2014)
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`(citing In re Klopfenstein, 380 F.3d 1345, 1350 (Fed. Cir. 2004) and In re Cronyn,
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`890 F.2d 1158, 1160 (Fed. Cir. 1989)).
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`A copyright notice generally is regarded as indicating the date of first
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`publication. Ford Motor Co., et al. v. Cruise Control Techs., LLC, IPR2014-
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`00291, slip op. at 9-10 (PTAB June 29, 2015) (Paper 44). In addition to the
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`copyright date of 1999, Huang also include numerous other indicia of its public
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`accessibility, including an ISBN number, a Library of Congress Cataloging-in-
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`Publication Data, and publisher information. See SAP America, Inc. v. Realtime
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`Data, LLC, IPR2016-00783, 2016 WL 667819 (PTAB Oct. 5, 2016) (noting
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`sufficient indicia of public availability included copyright date, ISBN number, and
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`Library of Congress Cataloging-in-Publication Data).
`
`Petitioner also provides a declaration from Jacob Munford, a librarian with a
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`Masters in Library and Information Sciences and ten years of experience. Munford
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`Decl. (Ex. 1007), at ¶2. Mr. Munford obtained Huang (Ex. 1006) from the
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`Michigan State University (MSU) Library. Id. at ¶6. Mr. Munford also obtained a
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`copy of the MSU Library MARC (Machine Readable Catalog) record, and
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`explained that field code 008 of the MARC record identified the date Huang was
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`publicly available at the MSU Library on August 29, 2000. Id. at ¶7; see also,
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`Symantec Corp. v. Finjin, Inc., IPR2015-01892, 2017 WL 1041718, at *13 (Mar.
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`15, 2017) (finding librarian’s declaration regarding MARC records as evidence of
`
`public availability sufficient).
`
`For these reasons, Huang qualifies as a printed publication and is prior art
`
`with regard to the ’711 Patent under 35 U.S.C. §102(b) (pre-AIA). Huang was not
`
`cited or considered during prosecution of the ’711 Patent. ’711 Patent File History
`
`
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`15
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`(Ex. 1002). Huang generally describes the application of “a family of transmission
`
`techniques which combine transmit diversity and multicode transmission” in a
`
`cellular CDMA system “where the transmitters use multiple antennas.” Huang
`
`(Ex. 1006), at Abstract. In particular, Huang describes a transmission technique
`
`for a transmitter having M transmit antennas. Id. at 2316. A single datastream is
`
`demultiplexed into G substreams and a spatial multiplexing technique is applied
`
`where “different substreams could be transmitted from up to M antennas using
`
`either the same code or different codes.” Id. Huang also describes a transmit
`
`diversity technique where “the same substream is simultaneously transmitted from
`
`more than one antenna.” Id. Therefore, Huang also describes a transmitter
`
`utilizing MIMO spatial multiplexing and transmit diversity techniques. Since
`
`Huang discloses a CDMA transmission apparatus/method for transmitting signals
`
`from a plurality of transmission antennas using MIMO communication techniques,
`
`Huang is therefore in the same field of endeavor and is analogous to the claimed
`
`invention of the ’711 Patent and Paulraj.
`
`Walton was filed on June 24, 2002 and thus qualifies as prior art with regard
`
`to the ’711 Patent under 35 U.S.C. §102(e) (pre-AIA). Walton (Ex. 1008). Walton
`
`was not cited or considered during prosecution of the ’711 Patent. ’711 Patent File
`
`History (Ex. 1002). Walton describes a MIMO communication system employing
`
`“techniques for transmitting data using a number of diversity transmission modes
`
`
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`16
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`
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`to improve reliability.” Walton (Ex. 1008), at Abstract; see also, id. at 1:7-10
`
`(“The present invention relates . . . to techniques for transmitting data using a
`
`number of diversity transmission modes in MIMO OFDM systems.”). In
`
`particular, a transmitting unit employs NT antennas to transmit one or more data
`
`streams to a receiving unit employing NR antennas. Id. at 4:31-35 (“For the
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`downlink, the access point employs NT antennas and each terminal employs 1 or
`
`NR antennas for reception of one or more data streams from the access point. In
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`general, NR can be different for different multi-antenna terminals and can be any
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`integer.”), Figs. 1-2. Therefore, Walton relates to “a transmission apparatus and
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`transmission method which transmits signals from a plurality of transmission
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`antennas like an MIMO communication” and is therefore in the same field of
`
`endeavor and is analogous to the claimed invention of the ’711 Patent, Paulraj, and
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`Huang. To the extent the field of endeavor is interpreted narrowly to further
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`require CDMA transmissions, Walton’s transmission apparatus/method “may also
`
`be designed to implement one or more multiple access schemes such as code
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`division multiple access (CDMA).” Id. at 23:66-24:1.
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`17
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`i. Claim 1
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`
`1. A transmitting apparatus employing a MIMO (multi-input/multi-output)
`scheme of transmitting a plurality of data items for a same receiving apparatus
`using a plurality of antennas in parallel, the transmitting apparatus comprising:
`
`To the extent the preamble is limiting, Paulraj teaches “a transmission
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`technology which exploits multiple antennas at both the base station(s) and at the
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`subscriber units.” Paulraj (Ex. 1005), at 5:38-40. For the reasons discussed
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`above, the term “MIMO (multi-input/multi-output) scheme” must at least include
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`“a transmitting apparatus having multiple transmit antennas used to transmit
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`signals to a receiving apparatus having multiple receive antennas.” Supra at III.C.
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`Paulraj teaches a MIMO scheme where a transmitter having a plurality of antennas
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`transmits signals to a receiver also having a plurality of antennas. See e.g., Paulraj
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`(Ex. 1005), at Fig. 3. In one embodiment, “the transmitter is equipped with M
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`antennas, while the receiver has N antennas.” Id. at 6:7-10.
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`The transmitter is incorporated into both the base station (“BTS”) and the
`
`subscriber unit (“SU”). In the embodiment depicted in the figure below, the BTS
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`includes a transmitting apparatus 310 having two transmit antennas 134T, 136T
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`that transmit signals to the receiving apparatus of the SU, which includes two
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`receive antennas 140R, 142R. Additionally, the SU includes a transmitting
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`apparatus 350 having two transmit antennas 140T, 142T that transmit signals to the
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`
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`18
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`receiving apparatus of the BTS, which includes two receiving antennas 134R,
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`136R:
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`
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`Id. at Fig. 3; see also, id. at 12:39-47.
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`A stream of coded information symbols is split into a plurality of
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`independent substreams (i.e., “a plurality of data items”). Id. at 5:44-47
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`(“Assuming, for example, N=3 antennas are used at the transmitter and receiver,
`
`the stream of possibly coded information symbols is split into three independent
`
`substreams.”). These substreams are then transmitted to the same receiving
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`apparatus. With regard to the BTS transmitter, for example, a datastream 176 is
`
`parsed into a plurality of substreams (e.g., 450, 452). Id. at 17:7-9. The
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`
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`19
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`IPR2018-01476
`U.S. Patent No. 7,764,711
`substreams 450, 452 are transmitted to the SU 150’s receiver (i.e., “a same
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`receiving apparatus”). Id. at 17:36-38 (“The substreams are then passed to the
`
`final transmission stage 316A for transmission to the subscriber unit 150 (see FIG.
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`6).”), Figs. 3, 4A, 6. Similarly, the SU’s transmitter parses a datastream into a
`
`plurality of substreams, which are transmitted to the receiver 330 of the BTS (i.e.,
`
`“a same receiving apparatus”). Id. at 13:52-58, 14:11-18, Fig. 3.
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`Paulraj’s transmitting apparatus “implement[s] spatial multiplexing in
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`conjunction with the one or more multiple access protocols during the broadcast of
`
`information in a wireless network.” Id. at Abstract. In particular, the transmitter
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`transmits the independent substreams in parallel using N antennas to the receiving
`
`unit, which uses signal-processing techniques to recover the original substreams
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`and merge the symbols back into the original datastream:
`
`Spatial multiplexing (SM) is a transmission technology which
`exploits multiple antennas at both the base station(s) and at the
`subscriber units to increase the bit rate in a wireless radio link
`with no additional power or bandwidth consumption. Under
`certain conditions, spatial multiplexing offers a linear increase
`in spectrum efficiency with the number of antennas. Assuming,
`for example, N=3 antennas are used at the transmitter and
`receiver, the stream of possibly coded information symbols is
`split into three independent substreams. . . . The substreams are
`applied separately to the N transmit antennas and launched into
`the radio channel. . . . [¶] At the receive array, the spatial
`20
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`IPR2018-01476
`U.S. Patent No. 7,7
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