Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`Apple Inc.,
`Petitioner
`
`v.
`
`One-E-Way, Inc.,
`Patent Owner
`
`
`
`
`U.S. Patent No. 8,131,391
`
`
`DECLARATION OF REGIS J. BATES JR.
`
`
`
`
`
`
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 001
`
`

`

`Table of Contents
`
`
`Page
`
`
`
`I. 
`
`II. 
`III. 
`
`B. 
`C. 
`
`INTRODUCTION AND QUALIFICATIONS .............................................. 1 
`A.  Qualifications and Experience ............................................................. 1 
`B. 
`Publications and Conferences .............................................................. 3 
`C. 
`Assignment and Compensation ............................................................ 4 
`D.  Materials Considered and Relied On ................................................... 4 
`PERSON OF ORDINARY SKILL IN THE ART ......................................... 7 
`STATEMENT OF LEGAL PRINCIPLES ..................................................... 9 
`A.  Obviousness .......................................................................................... 9 
`B. 
`Claim Construction ............................................................................ 10 
`IV.  RELEVANT TECHNOLOGY BACKGROUND ....................................... 13 
`A.  Wireless Digital Communications ..................................................... 13 
`1. 
`Interference from Noise ........................................................... 17 
`Industrial, Scientific, and Medical (ISM) Bands ............................... 18 
`Spread Spectrum ................................................................................. 20 
`1. 
`Use of Spread Spectrum to Provide Code-Division
`Multiple Access (“CDMA”) .................................................... 23 
`Relevant Knowledge of a Person of Ordinary Skill in the Art .......... 25 
`D. 
`THE ’391 PATENT ...................................................................................... 27 
`A.  Overview of the Specification ............................................................ 27 
`B. 
`Overview of the Challenged Claims .................................................. 34 
`VI.  CLAIM CONSTRUCTION ......................................................................... 35 
`VII.  APPLICATION OF THE PRIOR ART TO THE CHALLENGED
`CLAIMS ....................................................................................................... 38 
`A. 
`Brief Summary of Prior Art ............................................................... 39 
`1. 
`References Cited in Ground 1 .................................................. 39 
`(a)  Ham (Ex. 1010) ............................................................. 39 
`-i-
`
`
`V. 
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 002
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`2. 
`
`(b) 
`
`(b) 
`Sklar (Ex. 1003) ............................................................. 41 
`(c)  Xia (Ex. 1011) ............................................................... 48 
`(d)  Groe (Ex. 1009) ............................................................. 50 
`Additional Reference Cited in Ground 2 ................................. 52 
`(a)  Haartsen (Ex. 1005) ....................................................... 52 
`Claim 4 ............................................................................................... 55 
`1. 
`Ground 1: Obviousness over Ham, Sklar, Xia, and Groe ........ 55 
`(a) 
`4(pre): “A portable wireless digital audio system
`for digital transmission of an original audio signal
`representation from a portable audio player to a
`digital audio receiver, said portable wireless digital
`audio system comprising:” ............................................ 56 
`4(a): “a digital audio transmitter operatively
`coupled to said audio player and transmitting a
`unique user code with said original audio signal
`representation in packet format, wherein said
`digital audio transmitter coupled to said audio
`player is capable of being moved in any direction
`during operation, said digital audio transmitter
`comprising:” .................................................................. 60 
`4(b): “an encoder operative to encode said original
`audio signal representation to reduce intersymbol
`interference;” ................................................................. 92 
`4(c): “a digital modulator module configured for
`independent code division multiple access
`(CDMA) communication operation and utilizing
`differential phase shift keying (DPSK) to modulate
`said original audio signal representation;” .................. 119 
`
`(c) 
`
`(d) 
`
`-ii-
`
`
`
`B. 
`
`
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 003
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`(e) 
`
`(f) 
`
`(g) 
`
`(h) 
`
`(i) 
`
`(j) 
`
`4(d): “said digital audio receiver capable of being
`moved in any direction during operation and in
`direct wireless communication with said digital
`audio transmitter, said digital audio receiver
`comprising:” ................................................................ 139 
`4(e): “a direct conversion module configured to
`capture packets and the correct bit sequence within
`the packets aided by lowering signal detection
`error through reduced intersymbol interference
`coding of said audio representation signal
`respective to said mobile digital audio receiver and
`mobile said digital audio transmitter operatively
`coupled to said audio player, said packets
`embedded in the received spread spectrum signal,
`the captured packets corresponding to the unique
`user code;” ................................................................... 140 
`4(f): “a digital demodulator configured for
`independent CDMA communication operation;” ........ 157 
`4(g): “a decoder operative to decode the applied
`reduced inter-symbol interference coding of said
`original audio signal representation;” .......................... 159 
`4(h): “a digital-to-analog converter generating an
`audio output of said original audio signal
`representation; and” ..................................................... 160 
`4(i): “a module adapted to reproduce said
`generated audio output, said audio having been
`wirelessly transmitted from said audio player
`virtually free from interference from device
`transmitted signals operating in the wireless digital
`audio system spectrum.” .............................................. 162 
`Ground 2: Obviousness over Ham, Sklar, Xia, and Groe,
`in Further View of Haartsen .................................................. 166 
`Claim 1 ............................................................................................. 182 
`
`2. 
`
`-iii-
`
`
`
`
`
`C. 
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 004
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`1. 
`2. 
`
`3. 
`
`1(pre): “A wireless digital audio headphone comprising:” ... 182 
`1(a): “a portable digital audio headphone receiver
`configured to receive a unique user code bit sequence and
`a original audio signal representation in the form of
`packets, said digital audio headphone receiver, capable of
`mobile operation and configured for direct digital
`wireless spread spectrum communication with a mobile
`digital audio transmitter;” ...................................................... 183 
`1(b): “a direct conversion module configured to capture
`packets and the correct bit sequence within the packets
`aided by lowering signal detection error through reduced
`intersymbol interference coding of said audio
`representation signal respective to said headphone
`receiver and said mobile digital audio transmitter, said
`packets embedded in the received spread spectrum
`signal, the captured packets corresponding to the unique
`user code;” .............................................................................. 185 
`1(c): “a digital demodulator configured for independent
`CDMA communication operation;” ....................................... 187 
`1(d): “a decoder operative to decode reduced intersymbol
`interference coding of original audio signal
`representation;” ...................................................................... 188 
`1(e): “a digital-to-analog converter (DAC) generating an
`audio output of said original audio signal representation;
`and” ........................................................................................ 189 
`1(f): “a module adapted to reproduce said generated
`audio output in response to the unique user code bit
`sequence being recognized, said audio having been
`wirelessly transmitted and reproduced virtually free from
`interference from device transmitted signals operating in
`the wireless headphone spectrum.” ........................................ 191 
`Ground 2 ................................................................................ 192 
`8. 
`Claim 3 ............................................................................................. 195 
`
`4. 
`
`5. 
`
`6. 
`
`7. 
`
`-iv-
`
`
`
`
`
`D. 
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 005
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`3(pre): “A portable wireless digital audio system for
`digital transmission of an original audio signal
`representation from a portable audio player to a portable
`digital audio headphone receiver, said portable wireless
`digital audio system comprising:” ......................................... 195 
`3(a): “a digital audio transmitter operatively coupled to
`said portable audio player and transmitting a unique user
`code bit sequence with said original audio signal
`representation in packet format, wherein said digital
`audio transmitter operatively coupled to said audio player
`is capable of mobile operation, said digital audio
`transmitter comprising:” ........................................................ 197 
`3(b): “a encoder operative to encode said original audio
`signal representation to reduce intersymbol interference;” ... 198 
`3(c): “a digital modulator module configured for
`independent CDMA communication operation;” .................. 198 
`3(d): “said digital audio transmitter configured for direct
`digital wireless communication with said portable digital
`audio headphone receiver, said portable digital audio
`headphone receiver comprising:” .......................................... 200 
`3(e): “a direct conversion module configured to capture
`packets and the correct bit sequence within the packets
`aided by lowering signal detection error through reduced
`intersymbol interference coding of said audio
`representation signal respective to said headphone and
`mobile said digital audio transmitter operatively coupled
`to said audio player, said packets embedded in the
`received spread spectrum signal, the captured packets
`corresponding to the unique user code;” ................................ 201 
`3(f): “a digital demodulator configured for independent
`CDMA communication operation;” ....................................... 202 
`3(g): “a decoder operative to decode the applied reduced
`intersymbol interference coding of said original audio
`signal representation;” ........................................................... 202 
`-v-
`
`
`1. 
`
`2. 
`
`3. 
`
`4. 
`
`5. 
`
`6. 
`
`7. 
`
`8. 
`
`
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 006
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`9. 
`
`10. 
`
`3(h): “a digital-to-analog converter (DAC) generating an
`audio output of said original audio signal representation;
`and” ........................................................................................ 203 
`3(i): “a module adapted to reproduce said generated
`audio output, said audio having been wirelessly
`transmitted from said portable audio player and
`reproduced virtually free from interference from device
`transmitted signals operating in the wireless digital audio
`system spectrum.” .................................................................. 204 
`11.  Ground 2 ................................................................................ 205 
`Claim 5 ............................................................................................. 207 
`1. 
`5(pre): “A wireless digital audio receiver, capable of
`mobile operation, configured to receive a unique user
`code and a [sic; an] original audio signal representation
`in the form of packets, the wireless digital audio receiver
`further configured to be directly communicable with a
`mobile digital audio transmitter, said wireless digital
`audio receiver comprising:” ................................................... 207 
`5(a): “a direct conversion module configured to capture
`packets and the correct bit sequence within the packets
`aided by lowering signal detection error through reduced
`intersymbol interference coding of said audio
`representation signal respective to mobile said digital
`audio receiver and said mobile digital audio transmitter,
`said packets embedded in a received spread spectrum
`signal, the captured packets corresponding to the unique
`user code;” .............................................................................. 209 
`5(b): “a digital demodulator configured for independent
`code division multiple access communication operation;” ... 211 
`5(c): “a decoder operative to decode reduced intersymbol
`interference coding of said original audio signal
`representation;” ...................................................................... 212 
`
`2. 
`
`3. 
`
`4. 
`
`-vi-
`
`
`
`E. 
`
`
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 007
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`5. 
`
`6. 
`
`5(d): “a digital-to-analog converter (DAC) generating an
`audio output of said original audio signal representation;
`and” ........................................................................................ 212 
`5(e): “a module adapted to reproduce said generated
`audio output, said audio having been wirelessly
`transmitted from a portable audio player virtually free
`from interference from device transmitted signals
`operating in the digital wireless audio receiver
`spectrum.” .............................................................................. 213 
`Ground 2 ................................................................................ 214 
`7. 
`Claim 6 ............................................................................................. 216 
`1. 
`6(pre): “A wireless digital audio headphone for receipt of
`a unique user code and a digital audio music
`representation signal in the form of a packet, said
`wireless digital audio headphone comprising:” ..................... 216 
`6(a): “a mobile digital audio receiver configured for
`direct digital wireless communication with a mobile
`digital audio transmitter;” ...................................................... 218 
`6(b): “a direct conversion module configured to capture
`packets and the correct bit sequence within the packets
`aided by lowering signal detection error through reduced
`intersymbol interference coding of said audio
`representation signal respective to said headphone and
`said mobile digital audio transmitter, said packets
`embedded in the received spread spectrum signal a
`received spread spectrum signal, the captured packets
`corresponding to the unique user code;” ................................ 219 
`6(c): “a digital demodulator module configured for
`independent code division multiple access (CDMA)
`communication operation;” .................................................... 220 
`6(d): “a decoder operative to decode reduced intersymbol
`interference coding of said original audio signal
`representation; and” ............................................................... 221 
`
`2. 
`
`3. 
`
`4. 
`
`5. 
`
`-vii-
`
`
`
`F. 
`
`
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 008
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`6. 
`
`7. 
`
`2. 
`
`3. 
`
`6(e): “a digital-to-analog converter (DAC) generating an
`audio output of said digital audio music representation
`signal; and” ............................................................................ 222 
`6(f): “a module adapted to reproduce said generated
`audio output, said audio having been wirelessly
`transmitted and reproduced virtually free from
`interference from device transmitted signals operating in
`the wireless headphone spectrum.” ........................................ 223 
`Ground 2 ................................................................................ 224 
`8. 
`Claim 10 ........................................................................................... 226 
`1. 
`10(pre): “A wireless digital audio headphone for receipt
`of a unique user code and a digital audio representation
`signal in the form of a packet, said wireless digital audio
`headphone comprising:” ........................................................ 226 
`10(a): “a mobile digital audio receiver configured for
`direct digital wireless spread spectrum communication
`with a mobile digital audio transmitter;” ............................... 227 
`10(b): “a direct conversion module configured to capture
`packets and the correct bit sequence within the packets
`aided by lowering signal detection error through reduced
`intersymbol interference coding of said audio
`representation signal respective to said headphone and
`said mobile digital audio transmitter, said packets
`embedded in the received spread spectrum signal, the
`captured packets corresponding to the unique user code;” .... 229 
`10(c): “a digital demodulator module configured for
`independent code division multiple access (CDMA)
`communication operation;” .................................................... 230 
`10(d): “a decoder operative to decode reduced
`intersymbol interference coding of said original audio
`signal representation; and” ..................................................... 231 
`10(e): “a digital-to-analog converter generating an audio
`output of said digital audio representation signal; and” ........ 232 
`-viii-
`
`
`4. 
`
`5. 
`
`6. 
`
`G. 
`
`
`
`
`
`
`
`Petitioner's Exhibit 1002
`Page 009
`
`

`

`Table of Contents
`(continued)
`
`Page
`
`
`
`7. 
`
`10(f): “a module adapted to reproduce said generated
`audio output, said audio having been wirelessly
`transmitted and reproduced virtually free from
`interference from device transmitted signals operating in
`the wireless headphone spectrum.” ........................................ 232 
`Ground 2 ................................................................................ 233 
`8. 
`VIII.  NO SECONDARY CONSIDERATIONS OF NON-OBVIOUSNESS .... 236 
`IX.  CONCLUSION ........................................................................................... 239 
`
`
`
`
`
`
`
`-ix-
`
`
`
`Petitioner's Exhibit 1002
`Page 010
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`I, Regis J. Bates, Jr., declare as follows:
`
`I.
`
`INTRODUCTION AND QUALIFICATIONS
`A. Qualifications and Experience
`1.
`I am currently the President of TC International Consulting, Inc.,
`
`specializing in telecommunications and computer technologies. I have been retained
`
`as a technical expert by counsel for Petitioner Apple Inc. (“Petitioner”). Below I
`
`summarize my experience and qualifications, publications and conferences, and
`
`other qualifications. My curriculum vitae is attached as Exhibit A.
`
`2.
`
`Education: I received my Bachelor of Science
`
`in Business
`
`Management from Stonehill College, Easton, MA in 1979. I began a Master of
`
`Business Administration (MBA) program at Lehigh University, Bethlehem, PA and
`
`then transferred to St. Joseph’s University, Philadelphia, PA, but did not complete
`
`the thesis for this degree.
`
`3.
`
`Career History: I began my career in telecommunications when I
`
`entered the United States Army in 1966 and obtained my commission and served as
`
`an Officer in the Signal Corps. I was trained in both wireline and wireless
`
`communications. I spent six-plus years in active duty and two years in
`
`inactive/reserve duty. From there, I moved back to the Boston area where I held
`
`positions as Telecommunications and Facilities Manager at Damon Corporation,
`
`Manager of Administrative Services at Hills Department Stores, Senior
`1
`
`
`
`Petitioner's Exhibit 1002
`Page 011
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`Telecommunications Manager at Data General Corporation, Telecommunications
`
`Manager at Air Products and Chemicals, and Chief Information Officer (CIO) at
`
`Pepper, Hamilton and Scheetz. In each of these positions I was responsible for the
`
`telecommunications and data communications services for the companies. My
`
`charter was to research and acquire the best telecommunications and data goods and
`
`services for the organization. I was responsible for the acquisition of all
`
`telecommunications products and services including voice, data, wired and wireless
`
`technologies.
`
`4.
`
`Upon leaving my position as CIO at Pepper Hamilton and Scheetz in
`
`1989, I began my own consulting practice in the areas of telecommunications and
`
`computer technologies. In this role, I began consulting with a variety of Fortune
`
`1000 companies in developing their telecommunications networks for voice, data,
`
`wireless and video communications. During this period, many of the technologies I
`
`discuss herein were first developed or began to be broadly deployed as there was an
`
`explosion in telecommunications capabilities beginning in the late 1980s. For
`
`example, DSL was developed in the late 1980s, and ISDN was developed earlier but
`
`was growing rapidly by the late 1980s. Packet-based protocols such as Frame Relay
`
`and ATM (Asynchronous Transfer Mode) were being first deployed in the early
`
`1990s, leading to widespread adoption of the IP (Internet Protocol) soon thereafter.
`
`2
`
`Petitioner's Exhibit 1002
`Page 012
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`Cellular Wireless communications were developed and implemented in the
`
`mid-1980s.
`
`B.
`5.
`
`Publications and Conferences
`I have written twenty technical and managerial books in the area of
`
`telecommunications, including voice, data, wireless, cellular, fiber optics, T1/T3
`
`networking, Securing Voice over IP, client/server networking, and local area
`
`networking. Many of these publications focus on selecting and implementing
`
`networking technology. A list of my published books is also included in Exhibit A.
`
`Many of my books have been used by more than 160 colleges and universities
`
`around the world.
`
`6.
`
`I have also written several articles for magazines extolling the benefits
`
`of convergence, movement of information (voice, data and video) across a
`
`broadband network or a wireless network, and user oriented “How-To” documents.
`
`I performed as the Technical Editor for IPTV magazine, an additional position I
`
`began in 2006. Example articles I have written include:
`
` IPTV Magazine, “Home PowerLine Networks” – May 2006
` IPTV Magazine, “Wireless Premises Distribution Networks” – March 2006
` IPTV Magazine, “Cable Premises Distribution Networks for IPTV” – January
`2006
` CIO Magazine Pundit, “Wireless Carriers Have the Goods” – 2002
` CIO Magazine Pundit, “The Fiber Glut Myth” – 2002
` CIO Magazine Pundit, “Cable vs. DSL” – 2002
` Crisis Magazine, “Disaster Recovery Planning” – 1998
`
`3
`
`Petitioner's Exhibit 1002
`Page 013
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`
` International Journal of Management, “Managing Telecommunications” –
`1997
` Disaster Recovery Magazine, “Planning for Telecommunications Disasters”
`– 1997
`
`7.
`
`I have been very active in the technical and technological training
`
`business through several training houses and corporations, authoring seminars and
`
`CD training materials on the use of voice, data, video, and broadband networking. I
`
`have developed training materials on T1/T3, ATM and Frame Relay networks, Cable
`
`TV and other data and video networks, optical networking, wireless networking
`
`(Wi-Fi, WiMAX, and next generation wireless).
`
`C. Assignment and Compensation
`8.
`I am being compensated by Petitioner Apple Inc. for my time spent
`
`preparing this declaration, preparing to give and giving any testimony that may be
`
`required, and performing other related work, at my standard consulting rate of $300
`
`per hour, plus reasonable expenses. My compensation is not contingent on any
`
`opinions or outcomes from this case.
`
`D. Materials Considered and Relied On
`9.
`The analysis that I provide in this Declaration is based on my education
`
`and experience in the field of communications, as well as the documents I have
`
`considered, including U.S. Patent No. 8,131,391 (“’391” or “’391 patent”) and its
`
`prosecution history. The ’391 patent states on its face that it issued from an
`
`4
`
`Petitioner's Exhibit 1002
`Page 014
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`application filed on November 5, 2010, which is one application among a series of
`
`continuations of an application originally filed on August 26, 2003, which in turn is
`
`a continuation-in-part of an application filed on December 21, 2001. For purposes
`
`of this Declaration, I have assumed December 21, 2001 as the effective filing date
`
`of the ’391 patent. I have cited to the following documents in my analysis below:
`
`Exhibit
`Description of Document
`No.
`1001 U.S. Patent No. 8,131,391 B2 to C. Earl Woolfork (filed Nov. 5, 2010,
`issued Mar. 6, 2012) (“’391” or “’391 patent”)
`1002 Declaration of Regis J. Bates Jr.
`1003 Bernard Sklar, Digital Communications: Fundamentals and
`Applications, (1988)
`
`1004
`
`Jean Walrand and Pravin Varaiya, High Performance Communications
`Networks (2d ed. 2000)
`
`1005
`
`Jaap C. Haartsen “The Bluetooth Radio System,” IEEE Personal
`Communications, Volume 7, Issue No. 1, February 2000
`1006 U.S. Patent Application Pub. 2003/0118196 A1 to C. Earl Woolfork
`(pub. June 26, 2003) (the ’196 Publication” or “’196 Pub”)
`
`1007
`Federal Register, Vol. 54, No. 78, 17731 (April 25, 1989)
`1008 Ron Schneiderman, Wireless Personal Communications: The Future
`of Talk (1994)
`
`1009
`
`John B. Groe and Lawrence E. Larson, CDMA Mobile Radio Design
`(2000)
`1010 English Translation of KR Application No. 20-1998-0018161 (“Ham”)
`
`5
`
`Petitioner's Exhibit 1002
`Page 015
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`
`Exhibit
`Description of Document
`No.
`1011 Xiang-Gen Xia, “New Precoding for Intersymbol Interference
`Cancellation Using Nonmaximally Decimated Multirate Filterbanks
`with Ideal FIR Equalizers,” IEEE Transactions on Signal Processing,
`Volume 35, Issue No. 10 (October 1997)
`
`1012
`
`Scott R. Bullock, Transceiver and System Design for Digital
`Communications (2d. Ed. 2000)
`1013 William C. Lee, Mobile Communications Engineering (1982)
`1014 U.S. Patent No. 7,865,258 Prosecution History, 02/20/2015 Response
`to Office Action
`1015 Thomas S. Rappaport, Wireless Communications Principles Practice
`Prentice Hall (2002)
`
`1016
`
`Patent Owner’s First Amended Infringement Contentions and Exhibits
`A-E, dated October 27, 2020
`1017 Bluetooth Core Specification, Version 5.0
`1018 Onder Kara, A Direct Sequence-Code Division Multiple Access /
`Differential Phase-Shift Keying (DS-CDMA/DPSK) Modem Design
`(1997)
`1019 U.S. Patent No. 7,865,258 Prosecution History, 08/04/2010 Request
`for Reexamination and Response to the Final Rejection
`1020 Bernard Sklar, Digital Communications: Fundamentals and
`Applications (2d. Ed. 2000)Webpage Printout
`1021 Bernard Sklar, Digital Communications: Fundamentals and
`Applications (3rd. Ed. 2020)Webpage Printout
`
`
`
`6
`
`Petitioner's Exhibit 1002
`Page 016
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`II.
`
`PERSON OF ORDINARY SKILL IN THE ART
`10.
`I understand that an assessment of the claims of the ’391 patent should
`
`be undertaken from the perspective of a person of ordinary skill in the art as of the
`
`earliest claimed priority date, which I have assumed is December 21, 2001. I
`
`understand that Patent Owner has alleged an earlier conception date of June 1999.
`
`My opinions regarding obviousness (from the perspective of a person of ordinary
`
`skill) would not materially change even if I were to apply this earlier June 1999 date
`
`as the date of the alleged invention. I have also been informed by counsel that even
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`if June 1999 is assumed to be the date of the alleged invention, the references cited
`
`in the Grounds discussed in this Declaration would still qualify as prior art because
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`each reference was either published more than one year before the earliest possible
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`effective filing date of December 2001, or (in the case of patent references) filed
`
`before June 1999. I have also been advised that to determine the appropriate level of
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`a person having ordinary skill in the art, the following factors may be considered:
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`(1) the types of problems encountered by those working in the field and prior art
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`solutions thereto; (2) the sophistication of the technology in question, and the
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`rapidity with which innovations occur in the field; (3) the educational level of active
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`workers in the field; and (4) the educational level of the inventor.
`
`7
`
`Petitioner's Exhibit 1002
`Page 017
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`
`11.
`
`In my opinion, a person of ordinary skill in the art as of December 2001
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`would have a Bachelor of Science degree in electrical engineering or a related field,
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`and around two years of experience in the design or implementation of wireless
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`communications systems, or the equivalent. Alternatively, a person of ordinary skill
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`in the art would have around six years of experience in the design or implementation
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`of wireless communications systems, or the equivalent.
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`12. My opinions regarding the level of ordinary skill in the art are based
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`on, among other things, my more than 50 years of experience in telecommunications;
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`my understanding of the basic qualifications that would be relevant to an engineer
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`or scientist tasked with investigating methods and systems in the relevant area; and
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`my familiarity with the backgrounds of colleagues, co-workers, and employees, both
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`past and present.
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`13.
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`I am aware that certain claim terms of the Asserted Claims of the ’391
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`patent were previously construed by the U.S. International Trade Commission in In
`
`re Certain Wireless Headsets, Investigation No. 337-TA-943 (“In re Certain
`
`Wireless Headsets”), Order No. 12 (July 24, 2015). In re Certain Wireless Headsets
`
`was an ITC investigation involving a complaint filed by the present Patent Owner
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`One-E-Way, in which One-E-Way’s allegations included alleged infringement of
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`the ’391 patent claims by a number of respondents from that proceeding (which did
`
`8
`
`Petitioner's Exhibit 1002
`Page 018
`
`

`

`Declaration of Regis J. Bates Jr. in Support
`of Petition for Inter Partes Review of
`U.S. Patent No. 8,131,391
`
`not include Petitioner Apple Inc.). I prepared an expert report regarding a number of
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`claims from the ’391 patent in support of the respondents in In re Certain Wireless
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`Headsets, in which I proposed the same definition of a person of skill in the art as
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`presently proposed for purposes of this Declaration. I am informed by counsel that
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`the ITC Commission had adopted my proposed definition of a person of skill of the
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`art in the Commission’s claim construction order, discussed further below.
`
`III. STATEMENT OF LEGAL PRINCIPLES
`A. Obviousness
`14.
`I understand that a claim is unpatentable under 35 U.S.C. § 103 if the
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`claimed subject matter as a whole would have been obvious to a person of ordinary
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`skill in the art at the time of the invention. I also understand that an obviousness
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`analysis takes into account the scope and content of the prior art, the differences
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`between the claimed subject matter and the prior art, the level of ordinary skill in the
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`art at the time of the invention, and any “secondary considerations” of
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`nonobviousness.
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`15.
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`In determining the scope and content of the prior art, I understand that
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`a reference is considered analogous prior art if it falls within the field of the
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`inventor’s endeavor. In addition, a reference is analogous prior art if it is reasonably
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`pertinent to the particular problem with which the inventor was