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`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`ZTE (USA) Inc.
`
`Petitioner
`
`v.
`
`Bell Northern Research LLC,
`
`Patent Owner.
`
`
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 8,416,862 B2
`
`Case No. IPR2019-01438
`
`
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`

`

`
`
`
`
`TABLE OF CONTENTS
`
`I.
`
`Mandatory Notices (37 C.F.R. § 42.8) ............................................................ 1
`
`A.
`
`Real Parties-in-Interest (§ 42.8(b)(1)) ................................................... 1
`
`B.
`
`C.
`
`Related Matters (§ 42.8(b)(2)) .............................................................. 1
`
`Counsel Information (§ 42.8(b)(3)) ....................................................... 2
`
`D.
`
`Service Information ............................................................................... 2
`
`II.
`
`Payment of Fees (§ 42.15(a)) .......................................................................... 3
`
`III. Grounds for Standing (§ 42.104(a)) ................................................................ 3
`
`IV.
`
`’862 Patent Background .................................................................................. 3
`
`A.
`
`Summary ............................................................................................... 3
`
`B.
`
`C.
`
`Prosecution History ............................................................................... 4
`
`Priority Date .......................................................................................... 5
`
`V.
`
`Technology Background .................................................................................. 6
`
`A.
`
`Person of Ordinary Skill in the Art ....................................................... 6
`
`B.
`
`State of the Art ...................................................................................... 6
`
`1.
`
`2.
`
`Beamforming .............................................................................. 6
`
`Singular Value Decomposition (SVD) .....................................10
`
`VI. Claim Construction (§ 42.104(b)(3)) .............................................................10
`
`VII. Grounds of Rejection (§ 42.104(b)(1)-(2), (4)) .............................................12
`
`A. Ground 1: Li anticipates claims 9-12. .................................................13
`
`3.
`
`4.
`
`Li ...............................................................................................13
`
`Application of Li to claims 9-12 ...............................................17
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`Patent 8,416,862 B2
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`B.
`
`Ground 2: Li and Maltsev render obvious claims 9-12. .....................38
`
`1. Maltsev ......................................................................................38
`
`2.
`
`Application of Li and Maltsev to claims 9-12 ..........................42
`
`C.
`
`Ground 3: Tong anticipates claims 9-12. ............................................54
`
`1.
`
`2.
`
`Tong ..........................................................................................55
`
`Application of Tong to claims 9-12 ..........................................58
`
`D. Ground 4: Tong and Reinhardt render obvious claim 10....................72
`
`1.
`
`2.
`
`Reinhardt ...................................................................................73
`
`Application of Tong and Reinhardt to claim 10 .......................77
`
`VIII. Conclusion .....................................................................................................79
`
`
`
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`EXHIBIT LIST
`
`
`Exhibit Description
`
`1001
`
`U.S. Patent 8,416,862 B2
`
`Short Name
`
`’862 patent
`
`1002
`
`File History of U.S. Patent 8,416,862
`
`’862 file history
`
`1003
`
`U.S. Provisional Application 60/673,451
`
`’451 provisional
`
`1004
`
`U.S. Provisional Application 60/698,686
`
`’686 provisional
`
`1005
`
`U.S. Patent Application Publication No.
`2006/0068718 A1
`
`Li
`
`1006
`
`U.S. Patent 7,570,696
`
`1007
`
`U.S. Patent Application Publication No.
`2008/0108310 A1
`
`Maltsev
`
`Tong
`
`1008
`
`U.S. Provisional Application 60/581,356
`
`Tong ’356 provisional
`
`1009
`
`U.S. Provisional Application 60/582,298
`
`Tong ’298 provisional
`
`1010
`
`U.S. Provisional Application 60/601,178
`
`Tong ’178 provisional
`
`1011
`
`U.S. Provisional Application 60/614,621
`
`Tong ’621 provisional
`
`1012
`
`U.S. Provisional Application 60/619,461
`
`Tong ’461 provisional
`
`1013
`
`U.S. Provisional Application 60/642,697
`
`Tong ’697 provisional
`
`1014
`
`U.S. Patent 5,541,607
`
`Reinhardt
`
`1015
`
`Declaration of Paul Min, Ph.D.
`
`Min
`
`1016
`
`1017
`
`Gene H. Golub & Charles F. Van Loan,
`“Matrix Computations” (3ed. 1996)
`
`Golub and Van Loan
`
`Herbert Taub & Donald L. Schilling,
`“Principles of Communication Systems”
`(1971)
`
`Taub and Schilling
`
`Patent 8,416,862 B2
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`Exhibit Description
`
`Plaintiff’s Opposition to Defendant’s
`Joint Motion for Summary Judgment on
`Indefiniteness, Case No. 3:18-cv-1786-
`CAB-BLM (S.D. Cal. Jun 14, 2019),
`ECF. No. 99
`
`Appendix A: Joint Claim Construction
`Worksheet, Case No. 3:18-cv-1786-
`CAB-BLM (S.D. Cal. Apr. 19, 2019),
`ECF. No. 79-1
`
`1018
`
`1019
`
`
`
`Short Name
`
`Ex. 1018
`
`Ex. 1019
`
`Patent 8,416,862 B2
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`Petitioner, ZTE (USA) Inc. requests inter partes review (“IPR”) of claims 9-
`
`12 of U.S. Patent No. 8,416,862 (the “’862 patent”). As explained below, there is a
`
`reasonable likelihood that Petitioner will prevail on at least one claim challenged in
`
`this petition.
`
`I. Mandatory Notices (37 C.F.R. § 42.8)
`
`A. Real Parties-in-Interest (§ 42.8(b)(1))
`
`ZTE Corporation, ZTE (USA) Inc., and ZTE (TX), Inc., are the real parties-
`
`in-interest. No other parties had access to or control over the present Petition prior
`
`to its filing and no other parties funded the present Petition.
`
`B. Related Matters (§ 42.8(b)(2))
`
`The ’862 patent is the subject of Civil Action Nos. 3:18-cv-01783-CAB-
`
`BLM, 3:18-cv-01784-CAB-BLM, 3:18-cv-01785-CAB-BLM, 3:18-cv-01786-
`
`CAB-BLM, and 3:18-cv-02864-CAB-BLM, which are pending in the U.S. District
`
`Court for the Southern District of California. Petitioner is unaware of any other
`
`pending matter that would affect, or by affected by, a decision in this proceeding.
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`C. Counsel Information (§ 42.8(b)(3))
`
`Petitioners provide the following designation of counsel.
`
`Lead Counsel
`Amol A. Parikh
`Reg. No. 60,671
`MCDERMOTT WILL & EMERY
`444 West Lake Street
`Chicago, IL 60606-0029
`Phone: 312-984-6477
`Fax: 312-984-7700
`amparikh@mwe.com
`jrbaker@mwe.com
`
`
`
`Back-Up Counsel
`Charles M. McMahon
`Reg. No. 44,926
`MCDERMOTT WILL & EMERY
`444 West Lake Street
`Chicago, Illinois 60606-0029
`Phone: 312-984-7641
`cmcmahon@mwe.com
`
`Thomas M. DaMario
`Reg. No. 77,142
`MCDERMOTT WILL & EMERY
`444 West Lake Street
`Chicago, Illinois 60606-0029
`Phone: 312-984-7527
`tdamario@mwe.com
`
`Jiaxiao Zhang
`Reg. No. 63,235
`MCDERMOTT WILL & EMERY
`18565 Jamboree Road, Suite 250
`Irvine, California 92612-2565
`Phone: 949-757-6398
`jiazhang@mwe.com
`
`
`D.
`
`Service Information
`
`Please address all correspondence to the address above. Petitioner consents
`
`to electronic service by email at ZTEBNR-PTAB@mwe.com (referencing No.
`
`IPR2019-01438).
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`II.
`
`Payment of Fees (§ 42.15(a))
`
`Petitioner authorizes the Office to charge the filing fee and any other
`
`necessary fee to Deposit Account 50-0417.
`
`III. Grounds for Standing (§ 42.104(a))
`
`Petitioner certifies that: (i) the ’862 patent is available for IPR and
`
`(ii) Petitioner is not barred or estopped from requesting an IPR challenging the
`
`’862 patent’s claims.
`
`IV.
`
`’862 Patent Background
`
`A.
`
`Summary
`
`The ’862 patent is directed to aspects of a wireless communication system
`
`and specifically to “[a] method for feeding back transmitter beamforming
`
`information from a receiving wireless communication device to a transmitting
`
`wireless communication device.” ’862 patent (Ex. 1001) at Abst. The ’862 patent
`
`has 20 claims. Independent claim 9 is provided below.
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`9. A wireless communication device comprising:
`
`a plurality of Radio Frequency (RF) components operable to receive
`an RF signal and to convert the RF signal to a baseband signal; and
`
`a baseband processing module operable to:
`
`receive a preamble sequence carried by the baseband signal;
`
`estimate a channel response based upon the preamble sequence;
`
`determine an estimated transmitter beamforming unitary matrix
`(V) based upon the channel response and a receiver
`beamforming unitary matrix (U);
`
`decompose the estimated transmitter beamforming unitary matrix
`(V) to produce the transmitter beamforming information; and
`
`form a baseband signal employed by the plurality of RF
`components to wirelessly send the transmitter beamforming
`information to the transmitting wireless device.
`
`
`B.
`
`Prosecution History
`
`The ’862 patent issued from U.S. Patent Application No. 11/237,341, which
`
`was filed on September 28, 2005. During prosecution, the examiner rejected the
`
`then-pending claims based on the combination of U.S. Patent Application
`
`Publication Nos. 2002/0187753 (“Kim”) and 2004/0042558 (“Huang”). Ex. 1002
`
`(’862 file history) at 0155. In response, the applicant argued that the claim element
`
`“[a mechanism for decomposing] the estimated transmitter beamforming unitary
`
`matrix (V)” in the independent claims was missing from the prior art references.
`
`Ex. 1002 (’862 file history) at 0149.
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`The examiner also rejected issued claim 10 of the ’862 patent based on U.S.
`
`Patent No. 5,541,607 (“Reinhardt”) (Ex. 1014). Ex. 1002 (’862 file history) at
`
`0161-63. The examiner indicated that Reinhardt disclosed “converting parameters
`
`from Cartesian to polar coordinates.” Ex. 1002 (’862 file history) at 0162.
`
`Applicants traversed the rejection by identifying differences between the prior art
`
`an elements of the underlying independent claims, but never disputed that
`
`Reinhardt discloses conversion from Cartesian to polar coordinates in a transmitter
`
`beamforming system. See Ex. 1002 (’862 file history) at 0149-50.
`
`The examiner issued a final rejection based on Kim and Huang. Ex. 1002
`
`(’862 file history) at 0133. In response, the Applicant appealed to the Patent Trial
`
`and Appeal Board, which overturned the examiner’s rejections, leading to
`
`allowance and issuance of the ’862 patent on April 9, 2013. See Ex. 1002 (’862
`
`file history) at 0120, 0037.
`
`C.
`
`Priority Date
`
`The ’862 patent is a continuation-in-part of U.S. Patent Application No.
`
`11/168,793, filed on June 28, 2005, which issued as U.S. Patent No. 7,738,583.
`
`Application No. 11/237,341 also claims priority to two U.S. Provisional Patent
`
`Applications, Nos. 60/673,451 (the “’451 provisional”) (Ex. 1003), filed on April
`
`21, 2005 and 60/698,686 (the “’686 provisional”) (Ex. 1004), filed on July 13,
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`2005. The grounds in this petition apply even if the claims are entitled to the April
`
`21, 2005 filing date.
`
`V. Technology Background
`
`A.
`
`Person of Ordinary Skill in the Art
`
`The person of ordinary skill in the art (POSITA) of the subject matter of the
`
`’862 patent would have had a Bachelor’s degree in Electrical Engineering,
`
`Computer Engineering, Computer Science, or a related field, and at least 2 to 4
`
`years of experience in the field of wireless communication, or a person with
`
`equivalent education, work, or experience in this field. Along with this petition,
`
`Petitioner submits the declaration of Paul Min, Ph.D. (“Min”) (Ex. 1015), who has
`
`been a POSITA since at least the ’862 patent’s claim priority date. Ex. 1015 (Min)
`
`at ¶ 36.
`
`B.
`
`State of the Art
`
`1. Beamforming
`
`As of April 2005, POSITAs would understand that in wireless
`
`communications, a transmitter transmits radio frequency (RF) signals over a
`
`wireless medium (e.g., air). Ex. 1015 (Min) at ¶ 48. Generally, radio frequency
`
`signals relate to the signals utilizing frequencies greater than the audible signals
`
`and less than the visible signals. Ex. 1015 (Min) at ¶ 48. In this way, an RF signal
`
`may be in tens of kilohertz (khz = 103 cycles per second) to tens of gigahertz (Ghz
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`= 109 cycles per second). Ex. 1015 (Min) at ¶ 48. For example, in the United
`
`States, broadcast AM radio utilizes between about 530 khz and 1600 khz, and
`
`broadcast FM radio utilizes between about 88 megahertz (Mhz = 106 cycles per
`
`second) and 108 Mhz. Ex. 1015 (Min) at ¶ 48.
`
`When a transmitter transmits a sine wave (or tone) to a receiver at a
`
`particular frequency, the amplitude of the received sine wave varies depending on
`
`the distance between the transmitter and the receiver. Ex. 1015 (Min) at ¶ 49. At
`
`any given time, the wave creates peaks and troughs, similar to waves on the
`
`surface of a body of water, which occur at different locations. Ex. 1015 (Min) at
`
`¶ 49. In wireless communication, an RF signal propagates as an electromagnetic
`
`wave, which travels in the wireless medium at the speed of light. Ex. 1015 (Min)
`
`at ¶ 50. As fast as the speed of light may be, it is still finite and for different
`
`distances away from the transmitter, it takes different amounts of time before the
`
`RF signal is received. Ex. 1015 (Min) at ¶ 50.
`
`In the scenario of two transmitters, each generating a sine wave at the same
`
`frequency, a POSITA would understand that a receiver located a certain distance
`
`away from the two transmitters receives two different sine waves from the
`
`transmitters and, depending on the distance from each transmitter, the receiver
`
`observes a different amplitude of the received signal from the individual
`
`transmitter. Ex. 1015 (Min) at ¶ 51.
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`If the two sine waves from the transmitters happen to coincide in phase at
`
`the receiver, the combined wave has an amplitude equaling the sum of the two sine
`
`wave amplitudes. Ex. 1015 (Min) at ¶ 52. For example, if the received signal from
`
`the first transmitter is A1sin(ωt) and the received signal from the second transmitter
`
`is A2sin(ωt), then the combined signal at the receiver becomes (A1 + A2)sin(ωt).
`
`Ex. 1015 (Min) at ¶ 52. If, conversely, the two sine waves coincide in opposite
`
`phase, the combined wave has the magnitudes equaling the difference of the two
`
`sine wave amplitudes. Ex. 1015 (Min) at ¶ 52.
`
`
`
`Thus, if the received signal from the first transmitter is A1sin(ωt) and the
`
`received signal from the second transmitter is A2sin(ωt + 180°) = -A2sin(ωt), then
`
`the combined signal at the receiver becomes (A1 - A2)sin(ωt). Ex. 1015 (Min) at
`
`¶ 52. The combination of two sine waves in phase is referred to as a constructive
`
`combination and the combination of the two sine waves in opposite phase is
`
`referred to as a destructive combination. Ex. 1015 (Min) at ¶ 52.
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`When a transmitter transmits an RF signal, the strength of the signal
`
`received by the receiver depends on the distance the receiver is from the
`
`transmitter. Ex. 1015 (Min) at ¶ 54. This is because the transmitter emits the RF
`
`signal radially much like how a rock generates a wave when striking the water’s
`
`surface. Ex. 1015 (Min) at ¶ 54. Given that a receiver is located at different
`
`distances away from multiple transmitters, the sine waves from the transmitters
`
`arrive at the receiver with different time delays. Ex. 1015 (Min) at ¶ 54. A
`
`POSITA would understand that with both transmitters transmitting on the same
`
`transmitter frequency, the time delays can be translated into the phases of the
`
`received signals, which can be used to create a constructive or destructive
`
`combination for the receiver. Ex. 1015 (Min) at ¶ 54.
`
`Utilizing the concept illustrated above, when multiple transmitters are
`
`located at carefully designed distances apart, it is possible to take advantage of the
`
`channel condition and pre-code the transmit signal to generate a combined signal
`
`that can be received and decoded with a large amplitude at some locations, while at
`
`other locations, the combined signals may be received with a small to no
`
`amplitude, which cannot be decoded. Ex. 1015 (Min) at ¶ 55.
`
`When multiple transmitters cooperate to deliver RF signals to a location
`
`focused around the intended receiver, it is like forming a beam of light to shine
`
`only at the intended area, thus the term “beamforming.” This concept of the
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`“beamforming” in wireless communication was known by POSITAs before the
`
`effective date of the ’862 patent. Ex. 1015 (Min) at ¶ 56.
`
`2. Singular Value Decomposition (SVD)
`
`Singular value decomposition is a concept used in linear algebra and is
`
`described in the textbook “Matrix Computations” by Gene H. Golub and Charles
`
`F. Van Loan (“Golub and Van Loan”) (Ex. 1016). Ex. 1015 (Min) at ¶ 57. Golub
`
`and Van Loan states the following theorem on page 70:
`
`Theorem 2.5.2 (Singular Value Decomposition (SVD)) If A is a real
`
`m-by-n matrix, then there exist orthogonal matrices
`
`U = [ u1,…, um ] ∈ Rmxm and V = [ v1,…, vn ] ∈ Rnxn
`
`such that
`
`UTAV = diag (σ1,…, σp) ∈ Rmxn p = min {m, n}
`
`where σ1 ≥ σ1 ≥ … ≥ σp ≥ 0.
`
`Ex. 1015 (Min) at ¶ 58.
`
`In comparison with the equation H = UDV* given in the ’862 patent at 3:31,
`
`m-by-n matrix A is a simple substitution of notation for H, and U* = UT and V* =
`
`VT for the real values for U and V (for real valued matrices, both “*” and “T”
`
`represent a transpose of the matrices). Ex. 1015 (Min) at ¶ 61. Finally, diag (σ1, …,
`
`σp) equates to the diagonal matrix D. Ex. 1015 (Min) at ¶ 61.
`
`VI. Claim Construction (§ 42.104(b)(3))
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`The following constructions were used in the analysis provided below.
`
`Claim Term
`“decompose the estimated transmitter
`beamforming unitary matrix (V) to produce the
`transmitter beamforming information”
`“a baseband processing module operable to:
`receive a preamble sequence carried by the
`baseband signal; estimate a channel response
`based upon the preamble sequence; determine an
`estimated transmitter beamforming unitary
`matrix (V) based upon the channel response and
`a receiver beamforming unitary matrix (U);
`decompose the estimated transmitter
`beamforming unitary matrix (V) to produce the
`transmitter beamforming information; and form a
`baseband signal employed by the plurality of RF
`components to wirelessly send the transmitter
`beamforming information to the transmitting
`wireless device.”
`“the baseband processing module is operable to:
`produce the estimated transmitter beamforming
`unitary matrix (V) in Cartesian coordinates; and
`convert the estimated transmitter beamforming
`unitary matrix (V) to polar coordinates.”
`
`Construction
`Plain and ordinary meaning
`
`Not a means-plus-function
`term and not subject to 35
`USC 112 ¶ 6.
`
`Not a means-plus-function
`term and not subject to 35
`USC 112 ¶ 6.
`
`The term “decompose the estimated transmitter beamforming unitary matrix
`
`(V) to produce the transmitter beamforming information” was analyzed under its
`
`plain and ordinary meaning according to the Phillips standard. Phillips v. AWH
`
`Corp., 415 F.3d 1303, 1321 (Fed. Cir. 2005) (“Properly viewed, the ‘ordinary
`
`meaning’ of a claim term is its meaning to the ordinary artisan after reading the
`
`entire patent.”). The analysis would not change, however, under Petitioner’s
`
`alternate constructions argued in district court proceeding, “factor the estimated
`
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`transmitter beamforming unitary matrix (V) to produce a reduced set of angles.”
`
`C.f. Ex. 1019 at 0015. As provided in more detail below, there is sufficient
`
`disclosure in the prior art references to teach both the plain and ordinary meaning
`
`of the terms and Petitioner’s alternate construction requiring production of a
`
`reduced set of angles.
`
`For the remaining 112 ¶ 6 terms, the analysis below applies whether or not
`
`35 U.S.C. 112 ¶ 6 applies to the terms because Petitioner has identified both a
`
`structure and a function for the disputed terms in the prior art references, which is
`
`sufficient to prove invalidity whether or not 112 ¶ 6 applies. See IPCom GmbH &
`
`Co. v. HTC Corp., 861 F.3d 1362, 1369-70 (Fed. Cir. 2017) (“§ 112 ¶ 6 sets a limit
`
`on how broadly the PTO may construe means-plus-function language”) (citations
`
`omitted).
`
`VII. Grounds of Rejection (§ 42.104(b)(1)-(2), (4))
`
`Petitioner requests that the Board review and cancel claims 9-12 of the ’862
`
`patent on the following grounds.
`
`Ground Claims
`1
`9-12
`2
`9-12
`3
`9-12
`4
`10
`
`Reference(s)
`Basis
`pre-AIA 35 U.S.C. § 102(e) Li
`pre-AIA 35 U.S.C. § 103(a) Li and Maltsev
`pre-AIA 35 U.S.C. § 102(e) Tong
`pre-AIA 35 U.S.C. § 103(a) Tong and Reinhardt
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`A. Ground 1: Li anticipates claims 9-12.
`
`Claims 9-12 of the ’862 patent are anticipated by U.S. Patent Application
`
`Publication No. 2006/0068718 (“Li”) (Ex. 1005). Li was not cited to the Patent
`
`Office or considered by the examiner during the prosecution of the application that
`
`issued as the ’862 patent.
`
`3.
`
`Li
`
`a.
`
`Prior art status
`
`Under pre-AIA 35 U.S.C. § 102(e), Li is prior art to claims 9-12 of the ’862
`
`patent. Li’s effective filing date, September 28, 2004, predates the ’862 patent’s
`
`earliest claimed priority date, April 21, 2005.
`
`b.
`
`Li overview
`
`Li discloses a multiple input multiple output (MIMO) radio communication
`
`technique where both a transmitter and a receiver use multiple antennas to
`
`“wirelessly communicate” with each other. Ex. 1015 (Min) at ¶ 74; Li at [0002].
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`Figure 1 of Li (below) shows “a block diagram illustrating an example wireless
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`communication link 10 in a MIMO-based wireless system.” Li at [0009].
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`Li explains that “a wireless transmitter 12 is communicating with a wireless
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`receiver 14 via a wireless channel.” Li at [0009].
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`To take advantage of the benefits of a MIMO system, Li describes various
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`methods by which beamforming information may be exchanged between the
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`transmitter and receiver in order to adjust for the quality of the wireless channel.
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`Ex. 1015 (Min) at ¶ 77. Specifically, the transmitter may send training information
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`to the receiver, after which the receiver may derive an estimate of the channel and
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`the “channel-related information is fed back from the receiver to the transmitter to
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`allow the transmitter to precondition transmit signals before they are transmitted to
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`better match the present channel state.” Li at [0002]. Li acknowledges that “[t]he
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`amount of feedback information that is delivered from a receiver to a transmitter in
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`a system [] can be very large. [Thus, there] is a general need for strategies to
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`reduce the overall amount of feedback used in a [] MIMO system.” Li at [0002].
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`Li describes the process for generating and decomposing feedback
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`information at the receiver such that only a subset of the channel estimate is sent
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`back to the transmitter. Ex. 1015 (Min) at ¶ 78. One such technique is known as
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`singular value decomposition (SVD) and “[u]sing SVD, the channel matrix H may
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`be decomposed as follows: H=UDVH, where U and V are unitary matrices (i.e.,
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`matrices with orthonormal columns and unit amplitude), D is a diagonal matrix,
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`and VH is the Hermitian of matrix V.” Li at [0010-11].
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`Li explains the general problem with transmitting the full beam forming
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`matrix V, that is “[i]n a straightforward SVD implementation, a relatively large
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`amount of feedback information is delivered from the receiver to the transmitter.
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`[E]ach complex element of the beam forming matrix V needs to be fed back for
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`each subcarrier (in a multicarrier embodiment). . . . As will be appreciated, this
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`large amount of feedback data can have a deleterious effect on overall system
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`throughput.” Li at [0013]. In order to solve this problem, Li suggests methods for
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`reducing the amount of feedback information, while still allowing reconstruction of
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`V at the transmitter. Ex. 1015 (Min) at ¶ 80; Li at [0013].
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`c.
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`Analogous art
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`For obviousness purposes, “[t]wo separate tests define the scope of
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`analogous prior art: (1) whether the art is from the same field of endeavor,
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`regardless of the problem addresses, and (2) if the reference is not within the field
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`of the inventor’s endeavor, whether the reference still is reasonably pertinent to the
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`particular problem with which the inventor is involved.” In re Bigio, 381 F.3d
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`1320, 1325 (Fed. Cir. 2004). A reference is analogous art if it meets either of these
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`tests. See id. Li is analogous art to the ’862 patent under either test.
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`First, Li is from the same field of endeavor as the ’862 patent. For example,
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`Li addresses beamforming systems and the reduction of feedback information in
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`such systems. Li at [0009] (“FIG. 1 is a block diagram illustrating an example
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`wireless communication link 10 in a MIMO-based wireless system . . . . The
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`wireless link 10 of FIG. 1 may utilize ‘closed loop’ MIMO techniques. That is, the
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`receiver 14 may transmit channel-related feedback information to the transmitter
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`12 for use by the transmitter 12 in developing transmit signals.”); see ’862 patent at
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`1:20-22 (“The invention relates generally to wireless communication systems and
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`more particularly to wireless communications using beamforming.”).
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`Second, Li is at least reasonably pertinent to the particular problem with
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`which the named inventors of the ’862 patent were involved. For example, Li
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`explains the general problem with transmitting the full beam forming matrix V,
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`that is “[i]n a straightforward SVD implementation, a relatively large amount of
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`feedback information is delivered from the receiver to the transmitter. . . . As will
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`be appreciated, this large amount of feedback data can have a deleterious effect on
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`overall system throughput.” Li at [0013]; see ’862 patent at 3:49-51 (“a need
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`exists for a method and apparatus for reducing beamforming feedback information
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`for wireless communications.”).
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`For each of these reasons, Li is analogous art to the ’862 patent.
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`4.
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`Application of Li to claims 9-12
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`a.
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`Claim 9
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`Li anticipates claim 9 as explained below.
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`i.
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`A wireless communication device comprising
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`Li discloses a wireless communication device. Ex. 1015 (Min) at ¶ 83. FIG.
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`4 of Li shows a “communication device 70 that may be used to receive data from a
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`remote transmitter [which] is operative for, among other things, receiving data
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`from a remote transmitter via a MIMO [i.e., wireless] channel.” Li at [0016]; see
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`Ex. 1015 (Min) at ¶¶ 83-84.
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`ii.
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`A plurality of Radio Frequency (RF)
`components operable to receive an RF signal
`and to convert the RF signal to a baseband
`signal
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`
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`Li discloses that its wireless communication device contains a plurality of
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`Radio Frequency (RF) components operable to receive an RF signal and to convert
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`the RF signal to a baseband signal. Ex. 1015 (Min) at ¶ 85. Li explains that the
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`communication device includes “a wireless receiver 72, a wireless transmitter 74, a
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`controller 76 [and] is operative for, among other things, receiving data from a
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`remote transmitter via a MIMO channel. Li at [0016]. These components may be
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`implemented within cellular telephones and other handheld wireless
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`communicators. Li at [0031].
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`A POSITA would understand that in order to communicate wirelessly
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`between devices, it is necessary to convert a received wireless RF signal into a
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`baseband signal that can be processed by the wireless communication device. Ex.
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`1015 (Min) at ¶ 85. This functionality was common in cellular telephones and
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`other wireless devices well before the priority date of the ’862 patent. Ex. 1015
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`(Min) at ¶ 86. In order for a signal (which may be composed of data representing,
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`for example, voice or music) to be transmitted wirelessly, the signal may be
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`modulated using, for example Amplitude Modulation (AM), in which the signal is
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`mixed with a carrier frequency to form the resulting RF signal that is transmitted
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`over the device’s antenna. Ex. 1015 (Min) at ¶¶ 86-90. The original data signal is
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`the baseband signal. Ex. 1015 (Min) at ¶ 86. In order to recover the baseband
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`signal, it is necessary to filter out the carrier via RF components standard in
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`wireless devices, including cellular telephones. Ex. 1015 (Min) at ¶¶ 87-89.
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`Thus, a POSITA would understand that in order to communicate wirelessly,
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`the wireless device must contain a plurality of Radio Frequency (RF) components
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`operable to receive an RF signal and to convert the RF signal to a baseband signal.
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`Ex. 1015 (Min) at ¶ 91.
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`iii. A baseband processing module operable to:
`receive a preamble sequence carried by the
`baseband signal
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`Li discloses a baseband processing module. Ex. 1015 (Min) at ¶ 92. As
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`shown in FIG. 4, Li’s wireless communication device discloses multiple functional
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`components including: controller 76, channel matrix determination unit 78, an
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`SVD unit 80, and a parameter extraction unit 82. Li at [0016]; id. at FIG. 4
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`Li explains that these “individual blocks . . . may be functional in nature and
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`do not necessarily correspond to discrete hardware elements.” Li at [0032]. Li
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`provides examples of hardware devices that may implement the functionality of the
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`baseband processing module, including “for example, a general purpose
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`microprocessor, a digital signal processor (DSP), a reduced instruction set
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`computer (RISC), a complex instruction set computer (CSIC), a field
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`programmable gate array (FPGA), an application specific integrated circuit
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`(ASIC), and/or others.” Li at [0032]. These exemplary hardware implementations
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`of a baseband processing module are the same as those described in the ’862
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`patent. ’862 patent at 8:1-9 (“The baseband processing modules 100 may be
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`implemented using one or more processing devices. Such a processing device may
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`be a microprocessor, micro-controller, digital signal processor, microcomputer,
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`central processing unit, field programmable gate array, programmable logic device,
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`state machine, logic circuitry, analog circuitry, digital circuitry, and/or any device
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`that manipulates signals (analog and/or digital) based on operational
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`instructions.”); see also Ex. 1015 (Min) at ¶¶ 92-94. Accordingly, from a
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`structural perspective, Li discloses the baseband processing module of the ’862
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`patent.
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`Li also discloses the functionality of the baseband processing module. Ex.
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`1015 (Min) at ¶¶ 95-97. Specifically, Li discloses a baseband processing module
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`operable to receive a preamble sequence carried by the baseband signal.
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`Li describes the receipt of “training data” or “training information” by the
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`wireless communication device shown in FIG. 4 of Li. Ex. 1015 (Min) at ¶ 96; Li
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`at [0016]. A POSITA would understand that the training data described in Li is the
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`preamble sequence carried by the baseband signal which is sent to the wireless
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`communication device. Ex. 1015 (Min) at ¶ 97. Not only was this functionality
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`common knowledge at the time, see Li at [0016] (“Techniques for determining a
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`MIMO channel matrix using training data are well known in the art.”), but both the
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`preamble sequence of the ’862 patent and the training data of Li are used for the
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`same purpose—to determine the channel matrix. Ex. 1015 (Min) at ¶ 97; Li at
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`[0016] (“One type of data that may be received is training data that allows the
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`communication device 70 to determine a channel matrix describing the MIMO
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`channel.”); ’862 patent at