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`IPRIPR2020-00466
`Declaration of Mark Lanning
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`APPLE INC.,
`Petitioner
`v.
`OPTIS WIRELESS TECHNOLOGY, LLC,
`Patent Owner.
`_________________________________________
`Case IPRIPR2020-00466
`________________________________________
`
`DECLARATION OF MARK LANNING IN SUPPORT OF
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 8,411,557
`
`APPLE 1002
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`TABLE OF CONTENTS
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`Page(s)
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`INTRODUCTION ............................................................................................. 1
`I.
`II. UNDERSTANDING OF THE LAW ................................................................ 5
`III. BRIEF DESCRIPTION OF TECHNOLOGY ............................................... 12
`IV. OVERVIEW OF THE ’557 PATENT ........................................................... 16
`A. Summary of the ’557 Patent ........................................................................ 16
`B. Prosecution History ..................................................................................... 20
`V. CLAIM CONSTRUCTION ............................................................................. 26
`VI. LEVEL OF ORDINARY SKILL ................................................................... 26
`VII. OVERVIEW OF PRIMARY PRIOR ART REFERENCES ...................... 27
`A. Sutivong ....................................................................................................... 27
`B. Harris ........................................................................................................... 28
`C. Tan ............................................................................................................... 29
`VIII. SPECIFIC GROUNDS FOR PETITION .................................................... 32
`A. Ground 1: Claims 1-10 Are Obvious Over Harris in View of Tan ............. 32
`1. Claim 1 ..................................................................................................... 32
`2. Claim 2 ..................................................................................................... 47
`3. Claim 3 ..................................................................................................... 48
`4. Claim 4 ..................................................................................................... 49
`5. Claim 5 ..................................................................................................... 51
`6. Claim 6 ..................................................................................................... 52
`7. Claim 7 ..................................................................................................... 54
`8. Claim 8 ..................................................................................................... 54
`9. Claim 9 ..................................................................................................... 55
`10. Claim 10 ................................................................................................ 55
`B. Ground 2: Claims 1-10 Are Obvious Over Sutivong in View of Tan ........ 56
`1. Claim 1 ..................................................................................................... 56
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`2. Claim 2 ..................................................................................................... 69
`3. Claim 3 ..................................................................................................... 70
`4. Claim 4 ..................................................................................................... 72
`5. Claim 5 ..................................................................................................... 73
`6. Claim 6 ..................................................................................................... 74
`7. Claim 7 ..................................................................................................... 75
`8. Claim 8 ..................................................................................................... 76
`9. Claim 9 ..................................................................................................... 77
`10. Claim 10 ................................................................................................ 77
`IX. AVAILABILITY FOR CROSS-EXAMINATION ....................................... 78
`X. RIGHT TO SUPPLEMENT ............................................................................ 79
`XI.
`JURAT ............................................................................................................ 80
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`I. INTRODUCTION
`1. My name is Mark Lanning.
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`IPRIPR2020-00466
`Declaration of Mark Lanning
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`2.
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`I am currently the President of three consulting companies: Telecom
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`Architects, Inc., I.N. Solutions, Inc., and Reticle Consulting, LLC. All three
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`companies provide professional consulting services and custom software
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`development different technical areas. Telecom Architects, Inc. was established in
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`1999 to provide specialized consulting services to fixed and wireless telecom
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`service providers and their suppliers. I.N. Solutions (Intelligent Networking
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`Solutions) was established in 1991 with an emphasis on applications design and
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`network architecture engineering for telephone-based switching and Advanced
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`Intelligent Networking systems. Reticle Consulting was created in 2009 to provide
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`specialized consulting services for forensic software analysis and software source
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`code comparison for misappropriation cases.
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`3.
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`I have over 40 years’ experience in a wide variety of communication
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`technologies including, but not limited to, paging systems and pager protocols,
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`modems and modem protocols, circuit-switched and packet-switched networks,
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`cellular networks and their components, advanced cellular network based services,
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`Public Switched Telephone Network (“PSTN”) networks, VoIP networks,
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`Advanced services that use Intelligent Networking (“AIN”) network elements, and
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`various signaling protocols (e.g., Signaling System 7 (“SS7”) and Integrated
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`Digital Services Network (“ISDN”)).
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`4.
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`For at least 30 years, I have worked with wireless communications
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`systems of different types, and have worked as either a development engineer or
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`system architect in each of the three generations of cellular systems
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`5.
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`Beginning in 1984, I was a member of a team responsible for
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`converting a PSTN switch into a cellular mobile switching center that Motorola
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`and other companies used extensively in cellular networks located the U.S. and
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`other countries. I have also been a member or manager of development teams that
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`built cellular network elements and specialized cellular applications. These
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`network element types include at least: base station; home location register; short
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`and multimedia message centers; intelligent peripherals; personal number plans;
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`and pre-paid billing systems. These applications include, but are not limited to,
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`creating, processing and delivering Short Message Service (SMS) and Multimedia
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`Message Service (MMS) messages in cellular networks and cellular phones.
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`6.
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`Since 1991, I have been responsible for the design and
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`implementation of various cellular network systems. For example, I was the
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`program manager responsible for the design and rollout of BT’s Advanced
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`Cellular Network (ACN) that used AIN functionality. BT’s ACN was one of the
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`largest cellular networks in the world and also includes advanced corporate virtual
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`private network (VPN) and pre-pay validation services. And, starting in 1998, I
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`and my team at Telecom Architects (TAI) were contracted by Nextel to design
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`their 2.5G cellular iDEN switching, VoIP dispatch network and its TDM/SONET
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`transmission networks. After completion of the 2.5G network design, I and the
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`TAI team performed a large part of the qualification, testing and rollout phases for
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`new equipment suppliers and their applicable products into Nextel’s network.
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`7.
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`I am a member of the Institute of Electrical and Electronics Engineers
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`(IEEE), including the IEEE Standards Association. I am also a member of the
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`Association for Computing Machinery (ACM). I was also a member of the
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`American National Standards Institute (ANSI) T1 and T1X1 standard groups
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`responsible for the definition and standardization of the Advanced Intelligent
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`Network (AIN) and Signaling System 7 (SS7) protocol.
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`8.
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`I received my Bachelor of Science degree in Computer Science from
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`Southern Methodist University (SMU) in 1983. More details on my education,
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`work experience and technical consulting experience, as well as a list of
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`publications that I have authored or co-authored, and my testifying experience are
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`contained in my curriculum vitae, included in attached Appendix A.
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`9.
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`I have reviewed the specification, file history and claims of U.S.
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`Patent No. 8,411,557 to Imamura et al. (the “’557 patent”) (Ex-1001).
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`10.
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`I have reviewed and understand the following references:
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`Published International Application No. WO 2006/019710
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`•
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`(“Sutivong”) (Ex-1003), published on February 23, 2006, is prior art
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`under at least 35 U.S.C. § 102(b).
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`•
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`U.S. Patent No. 8,009,637 (“Harris”) (Ex-1004), filed on
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`January 18, 2007, and claiming priority to provisional application
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`60/781,527 (filed Mar. 10, 2006), was issued on August 30, 2011, is
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`prior art under at least 35 U.S.C. § 102(e).
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`•
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`U.S. Patent Application No. 2007/0165567 (“Tan”) (Ex-1005),
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`filed on January 10, 2007, and claiming priority to provisional
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`application 60/759,697 (filed Jan. 17, 2006), was published on July
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`19, 2007, is prior art under at least 35 U.S.C. § 102(e).
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`11.
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`I have been retained by Apple Inc. (“Petitioner”) to provide my
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`conclusions concerning the validity of the ’557 patent in connection with its
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`petition for inter partes review of the ’557 patent.
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`12.
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`I am being compensated at my normal consulting rate of $550 per
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`hour for my work. My compensation is not in any way dependent on the outcome
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`of any inter partes review, and in no way affects the substance of my statements
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`in this declaration, nor have I any financial or personal interest in the outcome of
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`this proceeding.
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`13. To the best of my knowledge, I have no financial interest in Petitioner
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`or in the ’557 patent. To the extent any mutual funds or other investments I own
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`have a financial interest in the Petitioner or the ’557 patent, I do not knowingly
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`have any financial interest that would affect or bias my judgment.
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`II. UNDERSTANDING OF THE LAW
`14.
`I am not an attorney. For the purposes of this declaration, Petitioner’s
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`counsel has informed me about certain aspects of the law that are relevant to my
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`analysis and conclusions. My understanding of the law is as follows:
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`15.
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`I understand that in an Inter Partes Review proceeding, a patent is not
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`presumed valid and the Patent Trial and Appeal Board will evaluate the validity of
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`the challenged claims under a preponderance of evidence standard. A
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`preponderance standard is met when, considering the evidence presented, it is
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`more likely than not a challenged claim is invalid.
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`16.
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` A patent claim is invalid if it is “anticipated” by prior art. For a claim
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`to be invalid because it is anticipated, all of its requirements must have existed in
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`a single device or method that predates the claimed invention or must have been
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`described in a single publication or patent, either expressly, inherently, or
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`implicitly, that predates the claimed invention.
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`17. The description in a written prior art reference does not have to be in
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`the same words as the claim, but all the requirements of the claim must be there,
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`either stated, necessarily implied (i.e., inherent), or implied, so that someone of
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`ordinary skill in the art, looking at that one reference, would have been able to
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`make and use the claimed invention based on the reference.
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`18. A patent claim is also anticipated if more than one year before the
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`filing date of the patent, the claimed invention was patented anywhere in the
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`world or described in a printed publication anywhere in the world.
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`19. A patent claim is invalid if the claimed invention would have been
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`obvious to a person of ordinary skill in the art at the time the application was filed.
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`This means that even if all the requirements of a claim cannot be found in a single
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`prior art reference that would anticipate the claim or constitute a statutory bar to
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`that claim, the claim is invalid if it would have been obvious to a person of
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`ordinary skill at the time of the alleged invention. That is, the claim is obvious if
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`the person of ordinary skill would adapt the reference to meet the claim by
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`applying known concepts to achieve expected results.
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`20. The determination of whether a claim is obvious should be based
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`upon several factors, including:
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`• the level of ordinary skill in the art that someone would have had at
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`the time of the claimed invention;
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`• the scope and content of the prior art; and
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`• what differences, if any, existed between the claimed invention and
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`the prior art.
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`21.
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`In considering the question of obviousness, it is also appropriate to
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`consider any objective indicia (or secondary considerations) of obviousness or
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`non-obviousness that may be shown. These include:
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`• whether a product that practices the claimed invention has achieved
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`commercial success, to the extent any such success is due to the
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`merits of the claimed invention;
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`• whether a long-felt need existed in the prior art for the solution
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`provided by the claimed invention;
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`• whether there were unsuccessful attempts by others to find the
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`solution provided by the claimed invention;
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`• whether there was copying of the claimed invention by others;
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`• whether there were unexpected and/or superior results from the
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`claimed invention;
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`• whether there was acceptance by others of the claimed invention as
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`shown by praise from others in the field or from the licensing of the
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`claimed invention; and
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`• whether there was independent invention of the claimed invention by
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`others before or at about the same time the named inventor conceived
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`of it.
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`22.
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`I further have been informed and understand that a “nexus” must exist
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`between the claimed invention and the alleged commercial success. In other
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`words, proof of commercial success of a product that practices the claimed
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`invention is not enough; there must be evidence that the commercial success
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`resulted, at least in meaningful part, from the claimed invention.
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`23.
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`I have been informed and understand a patent claim composed of
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`several elements is not obvious merely because each of its elements was
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`independently known in the prior art. In evaluating whether such a claim would
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`have been obvious, it is relevant to consider if there would have been a reason that
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`would have motivated a person of ordinary skill in the art to combine the known
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`elements or concepts from the prior art in the same way as in the claimed
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`invention. For example, market forces or other design incentives may be what
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`produced a change, rather than true inventiveness. It is also appropriate to
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`consider:
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`• whether the change was merely the predictable result of using prior art
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`elements according to their known functions, or whether it was the
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`result of true inventiveness;
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`• whether there is some teaching or suggestion in the prior art to make
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`the modification or combination of elements claimed in the patent;
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`• whether the innovation applies a known technique that had been used
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`to improve a similar device or method in a similar way; or
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`• whether the claimed invention would have been obvious to try,
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`meaning that the claimed innovation was one of a relatively small
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`number of possible approaches to the problem with a reasonable
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`expectation of success by those of ordinary skill in the art.
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`24.
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`In considering obviousness, it is important to be careful not use the
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`benefit of hindsight.
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`25. A single prior art reference can alone render a patent claim obvious, if
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`any differences between that reference and the claims would have been obvious to
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`a person of ordinary skill in the art at the time of the alleged invention—that is,
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`the patent claim is obvious if a person of ordinary skill would adapt the prior art
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`reference to meet the claim by applying known concepts to achieve expected
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`results.
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`26.
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`I have been informed that claim construction is a matter of law and
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`that the final claim construction will ultimately be determined by the Board. For
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`the purposes of my analysis in this proceeding and with respect to the prior art, I
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`have been informed that claim terms in an inter partes review (IPR) proceeding
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`Declaration of Mark Lanning
`are generally given their plain and ordinary meaning as understood by a person of
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`ordinary skill in the art at the time of the invention, with the claim term read not
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`only in the context of the particular claim in which the disputed term appears, but
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`also in the context of the entire patent, including the specification. I understand
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`that this is referred to as the “Phillips standard.”
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`27.
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`I have been informed that the Patent Owner can serve as his or her
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`own lexicographer. As such, if a claim term is provided with a specific definition
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`in the specification, that claim term should be interpreted in light of the particular
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`definition provided by the Patent Owner.
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`28.
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`I have been informed that a patent must satisfy the written description
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`requirement separate from any enablement requirement, each of which are found
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`in 35 U.S.C. §112, first paragraph.
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`29. To satisfy the written description requirement, I understand that the
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`patent’s description must describe the claimed invention in sufficient detail that a
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`person of ordinary skill in the art can reasonably conclude that the inventor had
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`possession of the claimed invention. I understand that the breadth of the claims
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`determines the extent of the required disclosure. I understand that the written
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`description must be commensurate with the scope of the claims. In other words, I
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`understand that the test is whether the disclosure of the application reasonably
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`conveys to those skilled in the art that the inventor had possession of the claimed
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`subject matter as of the filing date. I understand that new matter is matter not
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`supported by the disclosure.
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`30.
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`I have been informed that a patent must satisfy the enablement
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`requirement separate from any written description requirement. To satisfy the
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`enablement requirement, the patent’s description must describe the invention such
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`that one skilled in the art is enabled to make and use it without undue or
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`unreasonable experimentation. I understand that certain factors are relevant,
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`including the breadth of the claims, the nature of the invention, the state of the
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`prior art, the level of one of ordinary skill, the level of predictability in the art, the
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`amount of direction provided by the inventor, the existence of working examples,
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`and the quantity of experimentation needed to make or use the invention based on
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`the content of the disclosure.
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`31.
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`I understand that there is a “means-plus-function” type of claim
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`interpretation that may be argued to apply to certain terms, pursuant to 35
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`§112(6). For these terms, if the term is determined to be a “means-plus-function”
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`term under §112(6), I understand that there must be a corresponding structure
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`disclosed in the specification in a way that a person of ordinary skill in the art
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`would understand what structure would perform the claimed function. I
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`understand the disclosure may be implicit in the specification if it would have
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`been clear to a person of ordinary skill in the art what structure corresponds to the
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`claimed function. With respect to a computer-implemented function, an algorithm
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`must be disclosed in the specification.
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`III. BRIEF DESCRIPTION OF TECHNOLOGY
`32. The ’557 patent relates to access request messages sent over a channel
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`called the Random Access CHannel (“RACH”).
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`33. For most cellular networks, including the 4G LTE (Long Term
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`Evolution) network, when a mobile device (User Equipment, UE) wants to
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`communicate with a base station (eNodeB, eNB), the UE’s first transmission is an
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`access request. This initial transmission is sent over a specific uplink channel
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`called the RACH. This channel is called the random access channel because
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`messages sent over it are unscheduled, and the base station may not be aware of
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`the UEs sending the requests. When a random access procedure is successful, the
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`UE is then known to the base station, and after further negotiation, may begin
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`communicating with the base station. See Ex-1043 at 106 (“The Random Access
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`Channel (RACH) is typically used for signaling purposes, to register the terminal
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`after power-on to the network…”).
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`34. Before the filing of the ’557 patent, it was well known for UEs to send
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`initial access messages over a RACH. Ex-1001, 1:10-18 (admitting “studies
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`[were] underway to use [the] RACH (Random Access Channel) for initial access
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`from a radio communication mobile station apparatus … to a radio
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`communication base station apparatus … in 3GPP RAN LTE (Long Term
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`Evolution) …. The RACH is utilized, for example, to make an association request
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`and a resource request to the base station, and in initial access upon acquiring
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`uplink transmission timing synchronization.”).
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`35. According to the ’557 patent, a UE seeking access selects a
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`signature—a predefined sequence of bits used to modulate a radio signal—and
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`transmits that signature over the RACH. As the patent acknowledges, the process
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`of selecting and transmitting signatures over the RACH was already well known.
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`Id., 1:19-22 (stating in Background Art, “a mobile station transmitting a RACH
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`signal selects one of a plurality of unique signatures in the RACH and transmits
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`the selected signature to the base station to distinguish itself from other mobile
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`stations transmitting RACH signals”).
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`36. Because RACH transmissions are not prescheduled (and resources are
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`not yet allocated by the base station to the requesting UEs), multiple UEs may
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`transmit initial access requests on the RACH simultaneously, resulting in
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`interference between the transmissions. However, if multiple different signatures
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`are generated from signal patterns with low cross-correlation and high
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`autocorrelation characteristics are used, these signatures will not interfere with
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`each other even when sent from different UEs simultaneously.
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`37. Cross-correlation refers to the correlation between one signal pattern
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`and another different signal pattern. High cross-correlation means that two signal
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`patterns will interfere with each other when transmitted at the same time, whereas
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`low cross-correlation means that two signal patterns will not interfere with each
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`other when transmitted at the same time. Therefore, when two different signatures
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`generated from low cross-correlation signal patterns are transmitted at the same
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`time, there is a lower likelihood that the signatures will interfere with one another.
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`38. Autocorrelation refers to the correlation between one signature and a
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`delayed (or “shifted”) version of itself. Therefore, when the same high-
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`autocorrelation signature is transmitted from two locations with a slight delay (for
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`example, when two UEs are at different distances from a base station), the two
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`signals will be indistinguishable, but nonetheless received. A signature can also
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`be generated from a signal pattern with circular autocorrelation. Circular
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`autocorrelation means that a signal only correlates with a delayed version of itself
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`for small delays, but will not significantly interfere with itself for larger delays.
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`39. Before the ’557 patent, it was known that CAZAC (Constant
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`Amplitude Zero Auto-Correlation) sequences were one type of sequence that had
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`low cross-correlation and high autocorrelation if generated from the same base
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`sequence, and that CAZAC sequences could be used as RACH signatures.
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`Specifically, the ’557 patent acknowledges that studies were already underway “to
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`use sequences having low cross-correlation and high autocorrelation”
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`characteristics as RACH signatures, including CAZAC sequences. Generalized
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`Chirp-Like Sequences (GCL) are one specific example of CAZAC sequences. Id.,
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`1:23-32. Another example of CAZAC sequences is a “Chu sequence,” discussed
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`below.
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`40. A UE can convey “control information” to the base station in its initial
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`RACH access request. This information may be conveyed by selecting a
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`signature that is associated with the control information the UE desires to send.
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`When a base station receives a signature associated with the control sequence, the
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`base station can look up that control information and act on it if required. Thus,
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`by selecting and transmitting a signature associated with appropriate control
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`information, the UE conveys control information to the base station. Control
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`information in LTE can include, for example the size of a forthcoming message or
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`the channel quality. The base station may use this control information to
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`determine what resources to grant to the UE for subsequent communications. The
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`idea of sending control information with an initial access request was known prior
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`to the alleged priority date of the ’557 patent. Id., 1:33-39 (“[T]o reduce the
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`processing delay after the initial access, studies [were] underway to report, in the
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`RACH, control information including the mobile station ID, the reason for RACH
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`transmission, bandwidth allocation request information, and downlink received
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`quality information.”). See also Ex-1043 at 111 (“The terminal selects randomly
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`one of the RACH sub-channels from the group its access class allows it to use.
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`Further, the signature is also selected randomly from among the available
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`signatures.”).
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`IV. OVERVIEW OF THE ’557 PATENT
`41. The ’557 patent relates to a purported improvement in sending control
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`information over the RACH.
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`A. Summary of the ’557 Patent
`42. The ’557 patent explains that it is “an object of the present invention
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`to provide a mobile station and radio communication method for efficiently
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`reporting control information in the RACH.” Ex-1001, 1:60-62. The patent
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`describes a technique for conveying this control information by associating
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`control information with groups of signatures, randomly selecting a signature
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`from the group representing the control information to be reported, and sending
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`the randomly selected signature to the base station. The claimed UE includes a
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`selecting unit for selecting a sequence from a group associated with certain
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`characteristics (“control information”). Id. 9:61-10:8.
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`43. As shown in Figure 4, which I have annotated below, signatures are
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`organized by the value of the control information to be conveyed over the RACH.
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`Ex-1001, 4:64-67. For example, signatures #1-8 are associated with control
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`information “000” (blue). Signatures #9-16 are associated with control
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`information “001” (green). To convey control information “000,” according to
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`the patent, a UE would randomly select a signature from among signatures #1-8.
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`To convey control information “001,” a UE would randomly select a signature
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`from among signatures #9-16. Id., 5:1-8.
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`44. According to the patent, the number of signatures assigned to a
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`particular value of control information may vary, based on a “control signal” sent
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`from the base station to the mobile device. Ex-1001, 8:41-51. As shown in
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`Figures 9 and 11, which I have annotated below, the mobile device “changes the
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`associations in the table shown in FIG. 9 … as shown in FIG. 11,” based on the
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`control signal received from the base station. Id., 8:54-59. Figure 11 “shows a
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`case where the number of code sequences associated with control information
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`‘000’ [blue] is increased due to an increased rate of occurrence of control
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`information ‘000’ and where the number of code sequences associated with
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`control information ‘001’ [green] is decreased due to a decreased rate of
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`occurrence of control information ‘001.’” Id., 8:58-63.
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`IPRIPR2020-00466
`Declaration of Mark Lanning
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`B. Prosecution History
`45.
`I have reviewed the prosecution history of the ’557 patent.
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`46.
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`I understand that the ’557 patent issued from U.S. Patent Application
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`No. 13/333,805 (“’805 application”). It was filed on December 21, 2011, and
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`claims priority to U.S. Patent Application No. 12/293,530 (“’530 application”),
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`which was filed as a National Stage Application of PCT/JP2007/055695 (filed
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`Mar. 20, 2007) under 35 U.S.C. § 371, and which claims priority to Japanese
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`Patent Application No. 2006-076995 (filed Mar. 20, 2006).
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`I further understand that on June 14, 2011, during prosecution of the
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`47.
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`’557’s parent application (the ’530 application) the Examiner rejected all pending
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`claims, as anticipated by Tan (Ex-1005). Ex-1007 at 255 (“2011-06-14 Office
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`Action” at 3). The Examiner stated, inter alia, that “Tan discloses a mobile
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`station apparatus comprising a selecting unit to randomly select a sequence from a
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`group of sequences corresponding to an amount of data or reception quality.” Id.
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`The Examiner went on to describe Tan’s disclosure in six pages of the office
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`action. Id., 3-8.
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`48.
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`In response to the Office Action, I understand that the applicant
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`amended the claims of the ’530 application, including independent claim 12:
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`12. A mobile station apparatus comprising:
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`a selecting unit configured to randomly select a sequence from a group of
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`sequences, the group corresponding to an amount of data or and a reception
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`quality, wherein a plurality of sequences generated from a plurality of base
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`sequences are grouped into a plurality of groups, which are respectively
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`associated with both different amounts of data or and different reception
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`qualities, such that each group provides an indication of an amount of data and
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`a reception quality and that those sequences that are generated from the same
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`base sequence are first included in a predetermined number of the sequences
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`contained in the same group; and
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`IPRIPR2020-00466
`Declaration of Mark Lanning
`a transmitting unit configured to transmit the selected sequence.
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`Ex-1007 at 291-293 (“2011-09-08 Patentee Reply” at 2-4).
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`49.
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`I understand that on November 2, 2011, the Examiner finally rejected
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`all pending claims of the ’530 application as obvious over Tan in view of
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`Sutivong (Ex-1003). Ex-1007 at 294 (“2011-11-02 Office Action”). The
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`Examiner explained that Sutivong taught the amended limitations, including
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`groups of sequences with each group providing an indication of an amount of data
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`and a reception quality. Id., 298-299; see also Ex-1003 at Fig. 7, [0038], [0062].
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`50. To overcome the rejection, I understand that