UNITED STATES PATENT AND TRADEMARK OFFICE
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`___________________
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`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`___________________
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`
`ROKU, INC.,
`Petitioner,
`
`v.
`
`UNIVERSAL ELECTRONICS, INC.,
`Patent Owner.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Case IPR2019-01612
`U.S. Patent 7,589,642
`_____________________
`
`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 7,589,642
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`

`

`
`
`
`
`
`
`
`I.
`II.
`III.
`
`IV.
`V.
`
`VI.
`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`TABLE OF CONTENTS
`
`B.
`
`C.
`
`Introduction .................................................................................................... 1
`Grounds for the Unpatentability of the ’642 patent ....................................... 3
`Overview of the ’642 patent .......................................................................... 4
`A.
`Embodiment 1 – Transmitting a Key Code from a Key Code
`Generator to a Remote Control Device ................................................... 6
`Embodiment 2 – Transmitting a Key Code from a Key Code
`Generator to an Electronic Consumer Device ......................................... 8
`The Examiner Provided No Rationale for Allowance During
`Prosecution of the ’642 Patent ................................................................ 9
`The Previously Filed Petition Was Deficient For Not
`Adequately Explaining the Well-Known Technique of Signal
`Modulation ............................................................................................11
`Level of ordinary skill in the art .................................................................. 12
`Claim Construction ...................................................................................... 13
`A.
`“Key code” and “Keystroke indicator signal” ......................................13
`B.
`“Key code signal” ..................................................................................14
`C.
`“Key code generator device” .................................................................14
`GROUND 1: Claims 1, 3, 4, 6, 8, and 9 of the ’642 Patent are
`Unpatentable under 35 U.S.C. § 103 Over Mishra In view of Dubil .......... 16
`A. Overview of Mishra...............................................................................16
`B.
`Overview of Dubil .................................................................................18
`C.
`Independent Claim 1 .............................................................................20
`[1.P]: “A method comprising:” ..................................................................20
`1.
`
`2.
`[1.1]: “receiving a keystroke indicator signal from a remote control device,
`
`wherein the keystroke indicator signal indicates a key on said remote
`control device that a user has selected;” ....................................................22
`[1.2] “generating a key code within a key code generator device using the
`keystroke indictor signal;” .........................................................................22
`
`D.
`
`3.
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`4.
`
`
`5.
`
`
`E.
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`[1.3] “modulating said key code onto a carrier signal, thereby generating a
`key code signal; and” .................................................................................24
`[1.4] “transmitting said key code signal from said key code generator
`device to said remote control device.” .......................................................26
`D.
`Claim 3: “The method of claim 1, wherein said key code
`consists of a binary number.” ................................................................26
`Claim 4: “The method of claim 1, wherein said key code
`comprises a binary number and timing information, and
`wherein said timing information defines how said binary
`number is modulated in (c) onto said carrier signal.” ...........................27
`Claim 6 ..................................................................................................29
`F.
`[6.P]: “The method of claim 1, wherein said carrier signal is in a radio
`1.
`
`frequency band, wherein said key code signal is received by said remote
`control device, and wherein said method further comprises:” ..................29
`[6.1] “modulating said key code onto a second carrier signal, thereby
`generating a second key code signal, said modulating being performed on
`said remote control device wherein said second carrier signal is in an
`infrared frequency band; and” ...................................................................30
`[6.2]: “transmitting said second key code signal from said remote control
`device to an electronic consumer device.” ................................................31
`G.
`Claim 8: “The method of claim 1, wherein said key code
`generated in (b) is part of a codeset, and wherein said remote
`control device does not store said codeset.”..........................................32
`Claim 9: “The method of claim 8, wherein said codeset
`comprises timing information and a plurality of key codes, and
`wherein said timing information describes a digital one and a
`digital zero.” ..........................................................................................33
`GROUND 2: Claims 2 and 22-25 of the ’642 Patent are
`Unpatentable under 35 U.S.C. § 103 Over Rye In view of Dubil ............... 34
`A. Overview of Rye ...................................................................................34
`B.
`Independent Claim 2 .............................................................................35
`[2.P] “A method comprising:” ...................................................................35
`1.
`
`
`2.
`
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`3.
`
`
`H.
`
`VII.
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`- ii -
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`
`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`
`
`2.
`
`
`3.
`
`
`4.
`
`
`5.
`
`
`[2.1] “receiving a keystroke indicator signal from a remote control device,
`wherein the keystroke indicator signal indicates a key on said remote
`control device that a user has selected;” ....................................................36
`[2.2] “generating a key code within a key code generator device using the
`keystroke indictor signal;” .........................................................................37
`[2.3] “modulating said key code onto a carrier signal, thereby generating a
`key code signal; and” .................................................................................39
`[2.4] “transmitting said key code signal from said key code generator
`device to an electronic consumer device.” ................................................41
`C.
`Claim 22: “The method of claim 2, wherein said key code
`consists of a binary number.” ................................................................41
`Claim 23: “The method of claim 2, wherein said key code
`comprises a binary number and timing information, and
`wherein said timing information defines how said binary
`number is modulated in (c) onto said carrier signal.” ...........................42
`Claim 24: “The method of claim 2, wherein said key code
`generated in (b) is part of a codeset, and wherein said remote
`control device does not store said codeset.”..........................................44
`Claim 25: “The method of claim 24, wherein said codeset
`comprises timing information and a plurality of key codes, and
`wherein said timing information describes a digital one and a
`digital zero.” ..........................................................................................45
`VIII. Ground 3: Claims 1, 2, 3, 4, 6, 8, 9, and 22-25 of the ’642 Patent are
`Unpatentable under 35 U.S.C. § 103 over Caris In View of Skerlos. ......... 47
`A. Overview of Caris .................................................................................48
`B.
`Overview of Skerlos ..............................................................................50
`C.
`Independent claim 1 ..............................................................................52
`[1.P] “A method comprising:” ...................................................................52
`1.
`
`2.
`[1.1]: “receiving a keystroke indicator signal from a remote control device,
`
`wherein the keystroke indicator signal indicates a key on said remote
`control device that a user has selected” .....................................................53
`[1.2]: “generating a key code within a key code generator device using the
`keystroke indictor signal” ..........................................................................54
`
`D.
`
`E.
`
`F.
`
`3.
`
`
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`- iii -
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`

`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`
`
`
`
`
`
`4.
`
`
`5.
`
`
`[1.3]: “modulating said key code onto a carrier signal, thereby generating
`a key code signal” ......................................................................................55
`[1.4]: “transmitting said key code signal from said key code generator
`device to said remote control device.” .......................................................58
`D.
`Claim 3: “The method of claim 1, wherein said key code
`consists of a binary number.” ................................................................59
`Claim 4: “The method of claim 1, wherein said key code
`comprises a binary number and timing information, and
`wherein said timing information defines how said binary
`number is modulated in (c) onto said carrier signal.” ...........................59
`Claim 6 ..................................................................................................62
`F.
`[6.P]: “The method of claim 1, wherein said carrier signal is in a radio
`1.
`
`frequency band, wherein said key code signal is received by said remote
`control device, and wherein said method further comprises:” ..................62
`[6.1]: “modulating said key code onto a second carrier signal, thereby
`generating a second key code signal, said modulating being performed on
`said remote control device wherein said second carrier signal is in an
`infrared frequency band; and” ...................................................................62
`[6.2]: “transmitting said second key code signal from said remote control
`device to an electronic consumer device.” ................................................64
`G.
`Claim 8: “The method of claim 1, wherein said key code
`generated in (b) is part of a codeset, and wherein said remote
`control device does not store said codeset.”..........................................64
`Claim 9: “The method of claim 8, wherein said codeset
`comprises timing information and a plurality of key codes, and
`wherein said timing information describes a digital one and a
`digital zero.” ..........................................................................................65
`Independent Claim 2 .............................................................................66
`[2.P] “A method comprising:” ...................................................................66
`[2.1] “receiving a keystroke indicator signal from a remote control device,
`wherein the keystroke indicator signal indicates a key on said remote
`control device that a user has selected;” ....................................................67
`[2.2] “generating a key code within a key code generator device using the
`keystroke indictor signal;” .........................................................................68
`
`E.
`
`2.
`
`
`3.
`
`
`H.
`
`I.
`1.
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`2.
`
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`3.
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`- iv -
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`

`J.
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`K.
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`L.
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`IX.
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`
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`
`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
`
`
`
`4.
`
`
`5.
`
`
`[2.3] “modulating said key code onto a carrier signal, thereby generating a
`key code signal; and” .................................................................................70
`[2.4] “transmitting said key code signal from said key code generator
`device to an electronic consumer device.” ................................................71
`Claim 22: “The method of claim 2, wherein said key code
`consists of a binary number.” ................................................................72
`Claim 23: “The method of claim 2, wherein said key code
`comprises a binary number and timing information, and
`wherein said timing information defines how said binary
`number is modulated in (c) onto said carrier signal.” ...........................72
`Claim 24: “The method of claim 2, wherein said key code
`generated in (b) is part of a codeset, and wherein said remote
`control device does not store said codeset.”..........................................73
`M. Claim 25: “The method of claim 24, wherein said codeset
`comprises timing information and a plurality of key codes, and
`wherein said timing information describes a digital one and a
`digital zero.” ..........................................................................................73
`Patent Owner is unaware of any secondary considerations of non-
`obviousness .................................................................................................. 73
`Conclusion ................................................................................................... 73
`X.
`Standing (37 C.F.R. § 42.104(a)) ................................................................ 74
`XI.
`XII. Mandatory Notices (37 C.F.R. § 42.8(a)(1)) ............................................... 74
`A.
`Real Party In Interest (37 C.F.R. § 42.8(b)(1)) .....................................74
`B.
`Related Matters (37 C.F.R. § 42.8(b)(2)) ..............................................74
`C.
`Lead and Back-up Counsel (37 C.F.R. § 42.8(b)(3)) ............................75
`D.
`Service Information (37 C.F.R. § 42.8(b)(4)) .......................................75
`
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`
`Exhibit No.
`1001
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`1007
`1008
`1009
`1010
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
`
`1016
`
`1017
`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`PETITIONER’S EXHIBIT LIST
`
`Description
`U.S. Patent No. 7,589,642 to Mui (“’642 Patent”)
`Prosecution History of U.S. Patent No. 7,589,642 (“Prosecution
`History”)
`Declaration of Dr. Samuel Russ in Support of Petition for Inter
`Partes Review of U.S. Patent No. 7,589,642
`Curriculum Vitae of Dr. Samuel Russ
`U.S. Patent Publication No. 2001/0005197 to Mishra et al.
`(“Mishra”)
`U.S. Patent No. 8,132,105 to Dubil et al. (“Dubil”)
`U.S. Patent Publication No. 2004/0080428 to Rye et al. (“Rye”)
`U.S. Patent No. 7,562,128 to Caris et al. (“Caris”)
`U.S. Patent No. 4,426,662 to Skerlos et al. (“Skerlos”)
`Markman Order SACV 18-01580 JVS (Dated August 8, 2019)
`“Device Specification for Infrared Detecting unit for Remote
`Control GP1UV70QS series,” Sharp Corporation Electronic
`Components Group, Opto-Electronic Devices Division (Dated
`December 27, 2002) (“GP1UV70”)
`“Data Formats for IR Remote Control,” Vishay Semiconductors
`(Dated August 27, 2003) (“Vishay”)
`“User Interface – Infrared Learner (Remote Control) AN2092”
`Project Guide, Cypress Semiconductor Corporation (Dated
`November 11, 2002) (“Cypress”)
`“VCR Commander Service User’s Guide,” Scientific-Atlanta, Inc.,
`(Dated September 2000) (“VCR Commander”)
`U.S. Patent No. 5,469,152 to Yamamoto et al. (“Yamamoto”)
`“Infrared Remote Control Transmitter RC5 Product Specification,”
`Philips Semiconductors (Dated June 15, 1999)
`“AT2400 AllTouch Remote Control User’s Guide,” Scientific-
`Atlanta, Inc. (Dated February 2002)
`
`
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`- vi -
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`

`
`
`Exhibit No.
`
`1018
`
`1019
`1020
`1021
`1022
`1023
`1024
`1025
`1026
`1027
`
`1028
`
`1029
`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`Description
`“EXPLORER 2100 or 3100 Digital Home Communications
`Terminals User’s Installation Guide,” Scientific-Atlanta, Inc.
`(Dated July 2000)
`U.S. Patent No. 6,909,471 to Bayley (“Bayley”)
`U.S. Patent No. 5,745,192 to Bialobrzewski (“Bialobrzewski”)
`U.S. Patent No. 5,365,282 to Levine (“Levine”)
`U.S. Patent No. 6,225,873 to Hill (“Hill”)
`U.S. Patent No. 7,149,474 to Mikhak (“Mikhak”)
`U.S. Patent No. 6,122,010 to Emelko (“Emelko”)
`U.S. Patent No. 7,151,575 to Landry et al. (“Landry”)
`U.S. Patent No. 6,930,730 to Maxon et al. (“Maxon”)
`U.S. Patent No. 6,993,134 to Epstein (“Epstein”)
` Infringement Contentions Exhibit B-1, Universal Electronics Inc.
`v. Roku, Inc., 8:18-cv-01580 (C.D. Cal.)
`Infringement Contentions Exhibit A-1, Universal Electronics Inc.
`v. Roku, Inc., 8:18-cv-01580 (C.D. Cal.)
`
`- vii -
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`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`Roku Inc. petitions for inter partes review of claims 1, 2, 3, 4, 6, 8, 9, and
`
`22-25 of United States Patent No. 7,589,642 to Mui, titled “Relaying Key Code
`
`Signals Through a Remote Control Device.” EX1001, ’642 patent. The Petition
`
`demonstrates that claims 1, 2, 3, 4, 6, 8, 9, 22-25 of the ’642 patent are
`
`unpatentable.
`
`I.
`
`INTRODUCTION
`
`The ’642 patent allegedly solved problems related to programming remote
`
`control devices to control electronic consumer devices. But, the ’642 patent does
`
`not propose any novel or nonobvious solutions. Rather, its use of key code
`
`generator devices—such as set-top boxes, or the like—to facilitate the transmission
`
`of key codes to control electronic consumer devices was already well-known in the
`
`art. EX1003, ¶¶39-102.
`
`The ’642 patent describes the problem of remote control devices having
`
`insufficient memory to store thousands of codesets related to different electronic
`
`consumer devices. EX1001, 1:47-50. For example, the codesets may include
`
`different key codes corresponding to different functions such as “power on, power
`
`off, volume up, volume down, play, stop, select, channel up, channel down, etc.”
`
`Id., 1:25-28. To solve this alleged problem, the ’642 patent proposes two well-
`
`known solutions.
`
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`First, the ’642 patent proposes transmitting a key code from a key code
`
`generator device to a remote control device so that the remote control can re-
`
`transmit the key code to an electronic consumer device. See Section III.A. Second,
`
`the ’642 patent proposes transmitting a key code from a key code generator device
`
`directly to an electronic consumer device in response to receiving a command from
`
`the remote control. See Section III.B. Not only were these solutions trivial, but they
`
`were also explicitly disclosed by U.S. Patent Publication Nos. 2001/0005197
`
`(EX1005, “Mishra”), 2004/0080428 (EX1007, “Rye”) and U.S. Patent No.
`
`7,562,128 (EX1008, “Caris”). Additionally, U.S. Patent Nos. 4,426,662 (EX1009,
`
`“Skerlos”), and 8,132,105 (EX1006, “Dubil”) disclose other well-known and
`
`simple claimed communication techniques that are not central to the invention and
`
`would have been known to a person of ordinary skill in the art (“POSA”), such as
`
`modulation techniques for modulating a key code onto a carrier signal, the binary
`
`format of key codes, and timing parameters associated with key codes.
`
`Accordingly, there is at least a reasonable likelihood that at least one claim
`
`of the ’642 patent is unpatentable, as shown herein. Petitioner respectfully requests
`
`that the Board Institute trial on the grounds set forth herein and determine that
`
`claims 1, 2, 3, 4, 6, 8, 9, and 22-25 of the ’642 patent are unpatentable.
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
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`II. GROUNDS FOR THE UNPATENTABILITY OF THE ’642 PATENT
`
`Roku, Inc. (“Roku”) requests inter partes review of claims 1, 2, 3, 4, 6, 8, 9,
`
`and 22-25 of the ’642 patent and a determination that those claims are unpatentable
`
`based on the following grounds:
`
`Ground Prior Art
`
`Basis
`
`1
`
`2
`
`3
`
`
`
`Mishra (EX1005)
`Dubil (EX1006)
`Rye (EX1007)
`Dubil (EX1006)
`Caris (EX1008)
`Skerlos (EX1009)
`
`35 U.S.C. § 103
`
`35 U.S.C. § 103
`
`35 U.S.C. § 103
`
`Claims
`Challenged
`1, 3, 4, 6, 8, 9
`
`2, 22-25
`
`1, 2, 3, 4, 6, 8,
`9, 22-25
`
`The earliest priority date of the ’642 patent, on its face, is December 16,
`
`2003. See EX1001, (22). The prior art references cited for each ground above
`
`qualify as prior art to the ’642 patent for the following reasons:
`
`• Mishra (EX1005) is prior art under at least pre-AIA 35 U.S.C. §§ 102(a),
`102(b), and 102(e) because it was filed on February 17, 2001 and
`published on June 28, 2001, both dates being before the earliest priority
`date of the ’642 patent.
`• Dubil (EX1006) is prior art under at least pre-AIA 35 U.S.C. § 102(e)
`because it was filed on October 10, 2000, more than one year before the
`earliest priority date of the ’642 patent.
`• Rye (EX1007) is prior art under at least pre-AIA 35 U.S.C. § 102(e)
`because it was filed on October 25, 2002, more than one year before the
`earliest priority date of the ’642 patent.
`
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`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`
`
`• Caris (EX1008) is prior art under at least pre-AIA 35 U.S.C. § 102(e)
`because it was filed on September 1, 2000, more than one year before the
`earliest priority date of the ’642 patent.
`• Skerlos (EX1009) is prior art under at least pre-AIA 35 U.S.C. §§ 102(a),
`102(b), and 102(e) because it was filed on January 18, 1982 and
`published January 17, 1984, both dates being before the earliest priority
`date of the ’642 patent.
`III. OVERVIEW OF THE ’642 PATENT
`
`The ’642 patent generally relates to conventional remote control devices and
`
`controlling electronic consumer devices using key codes corresponding to device
`
`functions. See EX1001, Abstract, 1:6-9. As described in the Background section of
`
`the ’642 patent, these well-known key codes correspond to functions such as
`
`“power on, power off, volume up, volume down, play, stop, select, channel up,
`
`channel down, etc.” Id., 1:25-28. As admitted by the ’642 patent, it was well-
`
`known to group key codes into codesets having different bit patterns and timing
`
`information corresponding to different functions of the electronic consumer device.
`
`See id., 1:28-38. It was also well-known to use the timing information to modulate
`
`the key codes onto carrier signals to generate key code signals. See id., 1:34-38.
`
`According to the ’642 patent, one limitation of the widespread use of
`
`codesets was the existence of “thousands of codesets” used to control electronic
`
`consumer devices. Id., 1:45-47. The ’642 patent explains that manufacturers of
`
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`
`
`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`
`remotes may wish to limit the memory on their remote control devices to a size
`
`that is insufficient to store the thousands of existing codesets. Id., 1:47-50.
`
`In response, the ’642 patent describes and claims two well-known solutions
`
`using a “key code generator device” to manage codesets and generate key codes as
`
`depicted in FIG. 1. See id., 1:62-2:6. This Petition describes these solutions as
`
`Embodiment 1 and Embodiment 2.
`
`EX1001, FIG. 1 (annotated).
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
`
`
`
`A. Embodiment 1 – Transmitting a Key Code from a Key Code
`Generator to a Remote Control Device
`
`Embodiment 1 describes the well-known process of transmitting a key code
`
`from a key code generator (e.g., a set top box) to a remote control device. The
`
`remote control device then re-transmits the key code to an electronic consumer
`
`device. See EX1001, 1:59-2:15.
`
`To initiate this process, a user presses a key on the remote control. Id., 3:36-
`
`37. Pressing a key causes the remote control device to transmit a “keystroke
`
`indicator signal 16” corresponding to the pressed key to the key code generator
`
`device 12. See id., 3:46-50. As admitted by the ’642 patent, the remote control uses
`
`one of a number of “commonly used modulation techniques” to modulate an
`
`identification code onto the keystroke indicator signal. Id., 4:8-14. In response to
`
`receiving the keystroke indicator signal from remote control device, key code
`
`generator device 12 returns a key code to the remote control device. Id., 4:15-26.
`
`According to the ’642 patent, the key code generator device is a set-top box
`
`that is capable of communicating with a database of codesets via the Internet. See
`
`id., 8:28-43. The set-top box downloads new codesets and stores them on a mass
`
`storage hard disk within the set-top box. See id., 8:38-43.
`
`After determining the key code, the key code generator device modulates the
`
`key code onto a carrier signal to generate a “first key code signal 19.” See id., 4:35-
`
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
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`37. Figure 5 depicts a key code signal generated from the well-known technique of
`
`pulse width modulation. See id., 4:42-47, 4:66-5:5.
`
`EX1001, FIG. 5.
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`
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`After modulating the key code onto a carrier signal to generate a first key
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`code signal, the key code generator device transmits the first key code signal to the
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`remote control device. See EX1001, 5:37-40. The remote control device then
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`receives the first key code signal and transmits the key code to the electronic
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`consumer device in the form of a second key code signal. Id., 5:41-44. The ’642
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`patent depicts the waveform diagram of the second key code signal as being the
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`same as the well-known waveform diagram shown in Figure 5 for key code signal
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`19. Id., 5:60-63. The electronic consumer device then receives the second key
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`code signal 22, recovers the key code, and performs the function desired by the
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`user. See id., 5:64-6:2. In this way, the remote control device can be used to
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
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`control a new electronic consumer device using key codes transmitted from key
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`code generator device 12. See id., 8:43-48.
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`B.
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`Embodiment 2 – Transmitting a Key Code from a Key Code
`Generator to an Electronic Consumer Device
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`Embodiment 2 describes a key code generator device controlling an
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`electronic consumer device in response to receiving a command from the remote
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`control device and sending a key code signal directly to the electronic consumer
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`device. EX1001, 6:7-9.
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`In particular, a user presses a key on the remote control, and the remote
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`control transmits a keystroke indicator signal to the key code generator device 12.
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`Id., 6:19-23. The key code generator device then determines which key code of the
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`identified codeset corresponds to the pressed key. Id., 6:24-30. The key code
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`generator device then performs the same conventional modulation of the key code
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`onto a carrier signal as described in Embodiment 1 to generate a key code signal.
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`Id., 6:24-30.
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`In contrast to Embodiment 1, here, the key code generator device then
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`transmits this key code signal directly to the electronic consumer device. Id., 6:36-
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`38; EX1003, ¶¶36-38. Upon receiving the key code signal, the electronic consumer
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`device performs the corresponding instruction. See EX1001, 6:38-42.
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
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`C. The Examiner Provided No Rationale for Allowance During
`Prosecution of the ’642 Patent
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`The Examiner did not provide any rationale or explanation for allowing the
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`’642 patent. The Examiner initially rejected the claims with a Non-Final Office
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`Action mailed on June 6, 2006 and a Final Office Action mailed October 19, 2006.
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`In response to the Final Office Action, the Applicant submitted a response leading
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`to an Advisory Action mailed on February 7, 2007. Throughout this period, the
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`Examiner indicated that certain claims were allowable.1 These claims were
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`particularly narrow as seen from claim 11 (reproduced below). EX1002, 63. The
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`other broader claims, such as claims 1 and 2, were rejected.
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`1 Claims 11-12 and 17 based on the original numbering were allowed.
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`EX1002, 63.
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`EX1002, 43-55.
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
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`The Applicant continued to pursue the other broader claims via an appeal to
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`the Board. While the Board reversed the Examiner’s rejection of claims 1 and 2 for
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`not demonstrating a sufficient teaching of modulating a key code onto a carrier
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`signal, the Board supplied another rejection adding an additional reference. See
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`EX1002, 308-11.
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`In response to the Board’s decision, the Applicant amended the claims,
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`including claim 1, but did not amend or provide arguments related to claim 2. See
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`id., 315. These amendments are displayed below.
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`EX1002, 315.
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
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`In view of these amendments, the Examiner reasserted the Board’s rejection
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`of claim 1 with the same references, but indicated that claim 2 was allowable
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`without providing any additional explanation. See EX1002, 327-28. Further, the
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`Examiner did not provide any additional rationale in the Notice of Allowance. See
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`id., 344-50. In view of this silence, the Examiner provided no explanation for
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`suddenly allowing claim 2 despite the same claim being present throughout the
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`entirety of prosecution. In view of this apparently erroneous allowance, the
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`Applicant amended claim 2 to include the elements of claim 1 resulting in the
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`current version of claim 1 as listed in the ’642 patent. See id., 333.
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`D. The Previously Filed Petition Was Deficient For Not
`Adequately Explaining the Well-Known Technique of Signal
`Modulation
`A past petition for Inter Partes Review was filed in IPR2014-01082. The
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`petition presented several grounds of unpatentability directed to claims 2, 5, 22,
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`and 23 of the ’642 patent. See Universal Remote Control v. Universal Electronics,
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`IPR2014-01082, Decision on Institution, 4-5 (P.T.A.B., December 18, 2014). The
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`Board denied institution, stating that the petition did not adequately describe the
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`teaching of a modulation of a key code onto a carrier signal. See id. at 6-8.
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`Rather than citing to references that teach the modulation of a key code onto
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`a carrier signal, the Petition relied on an apparent inherency argument. See id. at 5.
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`The Petition argued that “[t]ransmission of a wireless signal, and in particular, an
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`
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`
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`IR signal necessarily requires modulation of the code data on a carrier signal.
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`Indeed, this is acknowledged in the ’642 patent itself.” See id. at 6 (citing
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`Universal, Pet., 30; EX1001, 4:34-38). In response to this inherency argument, the
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`Board determined that “Petitioner’s argument and evidence do not show
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`sufficiently that transmission of a key code via an infrared link necessarily requires
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`modulation of the key code.” See Universal, DI, 6. The Board also determined that
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`the Petitioner’s Expert Declaration provided “only a conclusory statement []
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`without factual or evidentiary support” and that this statement was “insufficient to
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`support Petitioner’s contention that transmission of a key code via an infrared link
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`requires modulation of the code onto a carrier signal.” See id. at 7.
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`While a POSITA would have understood that modulation of a key code onto
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`a carrier signal was well-known, due to deficiencies in the Petition in adequately
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`providing proof, the Board denied institution. The instant Petition provides this
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`proof as well as several references rendering obvious the modulation of a key code
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`onto a carrier signal. Further, in addition to claims 2 and 23, the instant Petition
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`demonstrates the unpatentability of claims 1, 3, 6, 24, and 25–claims not
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`considered by the Board in IPR2014-01082.
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`IV. LEVEL OF ORDINARY SKILL IN THE ART
`A person of ordinary skill in the art, at the time the ’642 patent was filed,
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`would have a bachelor’s degree in electrical engineering or equivalent degree with
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`Petition for Inter Partes Review of
`U.S. Patent No. 7,589,642
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`two years of work experience relating to communications and consumer
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`electronics. EX1003, ¶¶15-18.
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`V. CLAIM CONSTRUCTION
`The claim construction standard set forth in Phillips v. AWH Corp., 415 F.3d
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`1303 (Fed. Cir. 2005) applies to this proceeding. See 83 Fed. Reg. 51340, 51340-
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`51359 (Oct. 11, 2018); 37 C.F.R. 42.100. Under this standard, words in a claim are
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`given their plain meaning, which is the meaning understood by a person of
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`ordinary skill in the art