Highly Confidential—Attorneys’ Eyes Only
`
`Appendix 5
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`INVALIDITY EXPERT REPORT OF MARK LANNING REGARDING THE VALIDITY
`OF U.S. PATENT NUMBER 8,411,557
`
`HIGHLY CONFIDENTIAL – ATTORNEYS’ EYES ONLY
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`Optis Wireless Ex 2008-p. 1
`Apple v Optis Wireless
`IPR2020-00466
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`Highly Confidential—Attorneys’ Eyes Only
`Table of Contents
`
`
`I.
`INTRODUCTION .............................................................................................................................................. 4
`II.
`SUMMARY OF CONCLUSIONS .................................................................................................................... 4
`III.
`BASES FOR MY CONCLUSIONS ............................................................................................................. 5
`IV.
`TECHNOLOGY BACKGROUND .............................................................................................................. 6
`A. LTE OVERVIEW ............................................................................................................................................... 7
`B. RADIO ACCESS NETWORKS .............................................................................................................................. 9
`i.
`LTE Random Access Procedure and Channel .......................................................................................... 12
`ii.
`Random Access Procedure on the RACH ................................................................................................. 12
`C.
`TRANSMISSIONS IN ACCESS NETWORKS ........................................................................................................ 17
`Types of Transmissions ............................................................................................................................. 17
`i.
`CAZAC Sequences .................................................................................................................................... 18
`ii.
`D.
`3GPP ............................................................................................................................................................. 24
`i.
`The 3GPP Organization ........................................................................................................................... 24
`ii.
`3GPP Documentation ............................................................................................................................... 25
`V. THE 3GPP AND ITS WORK ON THE RANDOM ACCESS PROCEDURE FOR 3G UMTS AND 4G
`LTE 26
`A. UMTS RANDOM ACCESS PROCEDURE ........................................................................................................... 27
`i.
`Broadcast RACH-related Information ...................................................................................................... 28
`ii. Grouping Signatures................................................................................................................................. 30
`iii. Random Signature Selection ..................................................................................................................... 33
`iv. RACH Signatures ...................................................................................................................................... 34
`v.
`Conveying Information with Random Access Procedure ......................................................................... 35
`B.
`STATE OF THE LTE STANDARD ...................................................................................................................... 36
`i.
`RA Procedure for Initial Access Message Based on Broadcast Information ........................................... 37
`ii.
`Random Signature Selection ..................................................................................................................... 38
`iii. CAZAC Sequence-based Signatures ......................................................................................................... 39
`iv. Reporting Information in the RACH (Including in Signatures) ................................................................ 43
`THE ’557 PATENT ..................................................................................................................................... 46
`VI.
`A. THE ’557 PATENT GENERALLY ...................................................................................................................... 46
`i.
`The Alleged Problem ................................................................................................................................ 47
`ii.
`The Alleged Solution ................................................................................................................................. 47
`iii. Alleged Benefits of the Claimed Invention ................................................................................................ 53
`B. ASSERTED CLAIMS ......................................................................................................................................... 53
`C.
`THE ’557 PATENT FILE HISTORY ................................................................................................................... 54
`Prosecution History of the Parent Application – U.S. Patent No. 8,139,473 (Appl. No. 12/293,530) ..... 54
`i.
`ii.
`Prosecution History of the ’557 Patent (Appl. No. 13/333,805) ............................................................... 59
`D. DATE OF INVENTION FOR THE ’557 PATENT ................................................................................................... 63
`E. CLAIM CONSTRUCTION .................................................................................................................................. 64
`LEVEL OF ONE OF ORDINARY SKILL IN THE ART ......................................................................................... 65
`F.
`VII.
`THE PRIOR ART ....................................................................................................................................... 65
`A. HARRIS .......................................................................................................................................................... 66
`i.
`Priority Date for the Harris ’637 Patent .................................................................................................. 66
`B.
`TAN ................................................................................................................................................................ 69
`i.
`Priority Date for the Tan Publication....................................................................................................... 70
`C.
`THE -046 TDOC .............................................................................................................................................. 71
`D.
`SUTIVONG ...................................................................................................................................................... 73
`VIII.
`INVALIDITY ANALYSIS ......................................................................................................................... 73
`A. THE ASSERTED CLAIMS OF THE ’557 PATENT ARE INVALID OVER HARRIS ALONE OR IN VIEW OF TAN ....... 74
`Overview of Harris ................................................................................................................................... 74
`i.
`ii. Overview of Tan ....................................................................................................................................... 78
`
`Appendix 5. Lanning ’557 Patent Report
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`Page 2 of 171
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`Optis Wireless Ex 2008-p. 2
`Apple v Optis Wireless
`IPR2020-00466
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`Highly Confidential—Attorneys’ Eyes Only
`
`THE ASSERTED CLAIMS OF THE ’557 PATENT ARE INVALID OVER SUTIVONG IN COMBINATION WITH TAN,
`
`iii. Claim 1 ..................................................................................................................................................... 79
`iv. Claim 5 ................................................................................................................................................... 100
`v.
`Claim 10 ................................................................................................................................................. 101
`B.
`OR IN COMBINATION WITH TAN AND THE -046 TDOC ............................................................................................ 103
`i.
`Overview of Sutivong .............................................................................................................................. 104
`ii. Overview of the -046 Tdoc ...................................................................................................................... 106
`iii. Claim 1 ................................................................................................................................................... 107
`iv. Claim 5 ................................................................................................................................................... 128
`v.
`Claim 10 ................................................................................................................................................. 130
`SECONDARY CONSIDERATIONS .................................................................................................................... 132
`C.
`i.
`The File History ...................................................................................................................................... 134
`ii.
`Citations by other patents ....................................................................................................................... 135
`iii. Tdocs ...................................................................................................................................................... 135
`iv.
`The LTE Standard ................................................................................................................................... 136
`v.
`Lack of Commercial Success Tied to ’557 Patent .................................................................................. 137
`vi.
`Lack of Licensing Tied to ’557 Patent .................................................................................................... 142
`vii. Lack of Praise or Recognition for the ’557 Patent ................................................................................. 143
`viii.
`Lack of Copying of the ’557 Patent ................................................................................................... 149
`ix.
`Lack of Any Unexpected Results ............................................................................................................. 151
`x.
`Lack of Long-Felt But Unsolved Need .................................................................................................... 153
`xi.
`Lack of Failure by Others ....................................................................................................................... 155
`xii. Lack of Skepticism Regarding Subject Matter of ’557 Patent ................................................................ 156
`NON-INFRINGING ALTERNATIVES.................................................................................................. 157
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`X. CONCLUSION............................................................................................................................................... 171
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`IX.
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`Appendix 5. Lanning ’557 Patent Report
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`Page 3 of 171
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`Optis Wireless Ex 2008-p. 3
`Apple v Optis Wireless
`IPR2020-00466
`
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