`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`APPLE INC.
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`Petitioner
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`v.
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`UNILOC 2017 LLC
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`Patent Owner
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`IPR2019-00701
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`PATENT 8,018,877
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`PATENT OWNER RESPONSE TO PETITION
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`Table of Contents
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`IPR2019-00701
`Patent 8,018,877
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`I.
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`INTRODUCTION ........................................................................................... 2
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`II.
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`THE ’877 PATENT ......................................................................................... 2
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`III. RELATED PROCEEDINGS .......................................................................... 4
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`IV. LEVEL OF ORDINARY SKILL IN THE ART ............................................. 4
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`PETITIONER DOES NOT PROVE A REASONABLE LIKELIHOOD OF
`V.
`UNPATENTABILITY FOR ANY CHALLENGED CLAIM .................................. 5
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`A.
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`Claim Construction .......................................................................................... 5
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`Kirmse Does Not Disclose “transmitting a request to a server to allocate a
`B.
`network address and port associated with the server to use in a data exchange
`session with a participating mobile device” (Ground 1) (Independent Claims 1, 8,
`15) 6
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`Chambers and RSIP Do Not Disclose “transmitting a request to a server to
`C.
`allocate a network address and port associated with the server to use in a data
`exchange session with a participating mobile device” (Ground 2) (Independent
`Claims 1, 8, 15) .......................................................................................................... 8
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`D. A POSITA Would Not Have Combined Cordenier and TURN (Ground 3) . 13
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`E.
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`The Petition fails to Prove Obviousness of Any Dependent Claim .............. 16
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`VI. APJs are Unconstitutionally Appointed Principal Officers ........................... 17
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`VII. CONCLUSION .............................................................................................. 18
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`I.
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`INTRODUCTION
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`IPR2019-00701
`Patent 8,018,877
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`Uniloc 2017 LLC (the “Patent Owner” or “Uniloc”) submits its Response to
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`the Petition for Inter Partes Review (“Pet.” or “Petition”) of United States Patent
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`No. 8,018,877 (“the ’877 patent” or “EX1001”) filed by Apple Inc. (“Petitioner”) in
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`IPR2019-00701. The Petition is procedurally and substantively defective.
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`II. THE ’877 PATENT
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`The ’877 patent is titled “Mobile conferencing method and system.” The ʼ877
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`patent issued September 13, 2011, from U.S. Patent Application No. 13/079,767
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`filed April 4, 2011, which is a continuation of application No. 12/691,594, filed on
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`January 21, 2010, now Pat. No. 7,940,704, which is a continuation of application
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`No. 11/091,242, filed on March 28, 2005, now Pat. No. 7,672,255, and a
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`continuation-in-part of application No. 10/935,342, filed on September 7, 2004, now
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`Pat. No. 7,764,637, which is a continuation-in-part of application No. 10/817,994,
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`filed on April 5, 2004, now Pat. No. 7,961,663, and a continuation-in-part of
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`application No. 11/042,620, filed on January 24, 2005, now Pat. No. 7,773,550.
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`The inventors of the ’877 patent observed that, at the time, mobile instant
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`messaging (“IM”) had just begun to become available and was not as easy to use in
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`the mobile environment as it was in the desktop environment. In particular, the
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`then-current IM paradigm was encumbered by the constraint that one can only
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`communicate with those who are currently (i) online, (ii) logged on to same IM
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`service such as AOL's Instant Messenger (AIM), Yahoo! Messenger or MSN
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`Messenger, and (iii) included as a “buddy” on one's “buddy list.” And while at the
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`time there were also peer-to-peer instant messaging systems, those peer-to-peer
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`techniques also had their limitations. Specifically, with pure peer-to-peer IM
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`techniques, it was more difficult to implement a commercially viable IM system
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`that efficiently incorporated the capability to communicate in a real-time messaging
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`session with more than two devices (i.e., adding conferencing capabilities to an IM
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`system). Additionally, to the extent service providers dynamically allocated private
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`IP addresses (rather than allocate public Internet IP addresses) to mobile devices
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`through Network Address Translation (NAT) or any other network address
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`allocation techniques, peer-to-peer IM techniques generally would only work within
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`the private network of the service provider since the private IP addresses allocated
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`to a mobile device would not be properly resolved by a receiving mobile device
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`residing on a separate private network with a separate service provider. EX1001,
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`1:30-2:18.
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`The ’877 patent describes methods and systems for establishing a real-time
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`session-based IM system or data exchange system between mobile devices over a
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`digital mobile network system that supports data packet-based communications.
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`One such method for initiating a data exchange session among mobile devices
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`comprises transmitting a request to a server to allocate a network address and port
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`associated with the server to use in a data exchange session with a participating
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`mobile device, receiving the network address and port from the server, using a
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`page-mode messaging service to assist in communicating the network address and
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`port to the participating mobile device, wherein the page-mode messaging service
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`utilizes a unique identifier to locate the participating mobile device, and
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`participating in the data exchange session with the participating mobile device
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`through the server, wherein the participating mobile device has established a
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`connection with the server using the network address and port. EX1001, 2:22-39.
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`III. RELATED PROCEEDINGS
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`There are no pending cases concerning U.S. Pat. No. 8,018,877 (EX1001).
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`IV. LEVEL OF ORDINARY SKILL IN THE ART
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`The Petition alleges that “[a] person of ordinary skill in the art at the time of
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`the alleged invention of the ‘877 patent (a “POSITA”) would have had a Bachelors’
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`degree in computer science or a comparable field of study, plus approximately two
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`to three years of professional experience with cellular phone and IP networks, or
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`other relevant industry experience.” Pet. 10. Given that Petitioner fails to meet its
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`burden of proof when purportedly applying its own definition of a person of ordinary
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`skill in the art, Patent Owner does not offer a competing definition for purposes of
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`this proceeding. Furthermore, again because Petitioner fails to meet it burden of
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`proof, Patent Owner does not offer competing analysis of the Petition’s allegations
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`regarding the knowledge of a POSITA. See Pet. 11-13.
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`V.
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`PETITIONER DOES NOT PROVE A REASONABLE LIKELIHOOD
`OF UNPATENTABILITY FOR ANY CHALLENGED CLAIM
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`The Petition raises the following Section 103 challenges:
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`Ground
`1
`2
`3
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`Claims
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`Reference(s)
`Kirmse1, and Chambers2
`1-20
`Chambers and RSIP3
`1-20
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`1-3, 5-10, 12-17, 19-20 Cordenier4 and TURN5
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`A. Claim Construction
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`In IPR proceedings, claim terms are to be given a construction utilizing the
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`standard applied by Article III courts. 37 C.F.R. §42.100(b); Phillips v. AWH Corp.,
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`415 F.3d 1303 (Fed. Cir. 2005). Under Phillips, a claim term must be given “the
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`meaning that the term would have to a person of ordinary skill in the art in question
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`at the time of the invention.” Phillips, 415 F.3d at 1313. The Phillips standard
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`primarily focuses on intrinsic evidence, such as the patent specification and
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`1 EX1005, U.S. Patent No. 6,699,125.
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`2 EX1006, U.S. Patent Application Publication No. 2003/0142654.
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`3 EX1013, Realm Specific IP: Protocol Specification.
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`4 EX1007, EP 1 385 323 A1.
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`5 EX1009, Draft Request for Comment published by IETF.
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`prosecution history, to interpret the claim terms. Id. at 1317; see also 37 C.F.R. §
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`42.100(b).
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`Patent Owner submits that the Board need not construe any claim term in a
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`particular manner in order to arrive at the conclusion that the Petition is
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`substantively deficient. Wellman, Inc. v. Eastman Chem. Co., 642 F.3d 1355, 1361
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`(Fed. Cir. 2011) (“need only be construed to the extent necessary to resolve the
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`controversy”).
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`B. Kirmse Does Not Disclose “transmitting a request to a server to
`allocate a network address and port associated with the server
`to use in a data exchange session with a participating mobile
`device” (Ground 1) (Independent Claims 1, 8, 15)
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`In Ground 1, the Petition relies solely on Kirmse for this limitation. See Pet.
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`18-20. Kirmse does not disclose transmitting a request to the server to allocate a
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`network address and port associated with the server, as required by the claim
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`language.
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`The Institution Decision, in its analysis on pages 13-14, seeks to
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`impermissibly rewrite the claim recitation “transmitting a request to a server to
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`allocate a network address and port associated with the server to use in a data
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`exchange session with a participating mobile device” as a request in Kirmse to
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`distribute “a port reference or URL string that specifies a specific game in
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`progress.” (EX. 1005, 5:59-62). This analysis conflates Kirmse’s serving of an
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`active game with existing connection details, and providing of the inviter with the
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`existing connection details, with the claimed recitation of transmitting a request to a
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`server to allocate a network address and port associated with the server. Indeed,
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`Kirmse teaches that multiple game clients, including the inviter and invitees of the
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`inviter, may use the port reference or URL. (EX. 1005; 7:33-51).
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`The Petitioner’s Expert’s Declaration in this regard should be given little or
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`no weight. The Declaration, in discussing Kirmse, mischaracterizes Kirmse, by
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`stating that the connection details include the server’s IP address and the game
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`instance’s port number. (EX. 1002; Para. 51). In fact, in Kirmse, a “specific port
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`reference or URL string…specifies a specific game in progress.” (EX. 1005; 5:59-
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`62). The Petitioner’s Expert thus fails to acknowledge that Kirmse may provide
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`identification of a specific game in progress via a URL string, as opposed to a port.
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`In contrast, Kirmse itself confirms that the “URL string for the game server,
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`with a specific port reference… is known to the game client … or can be
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`obtained by the game client.” Thus, under Kirmse, a request is not transmitted to the
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`game server to allocate a network address and port associated with the server,
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`because the game server serves active games and that information is already known
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`to, or can be obtained by, the game client.
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`Still further, the Petitioner’s Expert fails to even use the claim term
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`“allocate” in providing its overview of Kirmse. (EX. 1002; Para. 51). Only when
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`discussing the specific claim language does Petitioner’s Expert, without explanation
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`or analysis, abruptly begin to characterize features of Kirmse, previously described
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`without reference to the term “allocate”. Compare (EX. 1002, Para. 51 and Para.
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`56). Such mischaracterization points out a fatal error in Petitioner’s interpretation
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`“transmitting a request to a server to allocate a network address and port associated
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`with the server to use in a data exchange session with a participating mobile device”
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`with the disclosure of Kirmse, wherein the game server serves up an active game
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`(S3) and provides (S4) the inviter with enough information, including an IP address
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`and port number, so that the inviter can join and play the already-active game.
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`There is nothing in Kirmse that discloses a mobile device requesting to allocate a
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`network address and port associated with the server. The Institution Decision’s
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`conclusion that Kirmse teaches the above-identified recitation rests entirely on this
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`flawed analysis.
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`Accordingly, Kirmse does not teach “transmitting a request to a server to
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`allocate a network address and port associated with the server” as required by
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`the claim language, and thus Ground 1 fails.
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`C. Chambers and RSIP Do Not Disclose “transmitting a request
`to a server to allocate a network address and port associated
`with the server to use in a data exchange session with a
`participating mobile device” (Ground 2) (Independent
`Claims 1, 8, 15)
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`In Ground 2, the Petition relies on the proposed combination of Chambers
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`and RSIP for this limitation. See Pet. 40-41. However, neither Chambers nor RSIP
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`discloses the required request from a mobile device to allocate a network address
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`and port associated with the server.
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`The Petition does not rely on Chambers for allocating a network address and
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`port associated with the server. In fact, the Petition admits that in the system of
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`Chambers, a (temporary) IP address is allocated to the mobile device. Pet. 40
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`(“initiating mobile phone requests IP address from stationary server…”); Pet. 34.
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`However, RSIP does not disclose the required allocating a network address and port
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`associated with the server either.
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`In the Institution Decision, the Board states that “The Petition relies on the
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`RSIP server as the claimed server.” Ex. 7, p. 18. The claim language expressly
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`requires that the allocated “network address” and “port” be associated with “the
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`server”.
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`However, the Institution Decision does not provide any evidence that
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`contradicts Patent Owner’s assertion that the combination of Chambers and RSIP
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`does not teach “transmitting a request to a server to allocate a network address and
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`port associated with the server to use in a data exchange session with a participating
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`mobile device.” The Institution Decision contends that “Petitioner has shown that
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`the RSIP server controls port numbers (of the server) to be allocated to RSIP hosts.”
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`Ex. 7, p. 18. However, the support cited to by the Institution Decision does not
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`teach transmitting a request to a server to allocate a network address and port
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`associated the RSIP server. First, the Institution Decision quotes from the RSIP
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`Protocol Specifications:
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`See, e.g., Ex. 1013, 10, 12 (“In other words, an RSIP gateway should
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`have the ability to explicitly control which local addresses and ports
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`are used to communicate with remote addresses and ports”).
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`Paper 7, p. 18. The statement that the RSIP gateway (i.e., the RSIP server) should
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`control its own local addresses and ports is not a teaching that the RSIP server
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`receives a request and allocates a network address and port associated with the
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`server (local RSIP server) for sending to other devices.
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`The Institution Decision also contends that Petitioner has demonstrated that
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`the server allocates address and port number of the server because “[t]he
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`ASSIGN_RESPONSE_RSAP-IP message is used by an RSIP gateway to deliver
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`parameter assignments to an RSIP host . . . .” Paper 7, p. 18. The statement “to
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`deliver parameter assignments” does not specify whether the parameters refer to
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`server ports or local ports of the mobile devices. In fact, as discussed in detail in
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`the Preliminary Response at pages 12-14, the description of the related
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`ASSIGN_REQUEST_RSAP-IP
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`message
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`indicates
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`that
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`the
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`“ASSIGN_REQUEST_RSAP-IP” message contains
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`two address and port
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`parameters, one for the RSIP Host itself (a.k.a. a mobile device), or the local
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`address and port(s), and the second of each to refer to the remote address and port(s)
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`that will be contacted:
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`EX10136 at p. 27 (highlighting and underlining added). In other words, of the two
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`addresses and ports specified, one set is the local to the requesting mobile
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`device, and the second set is for the mobile device that is to be contacted. Thus,
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`neither the description for the ASSIGN_RESPONSE_RSAP-IP nor the description
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`for the ASSIGN_REQUEST_RSAP-IP teaches allocation of a network address and
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`port associated with the RSIP gateway (a.k.a. server).
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`The Petition’s reliance on RSIP’s “LISTEN_REQUEST” is similarly
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`unavailing:
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`6 The page numbers refer to the page numbers added by Petitioner at the bottom
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`right of EX1013.
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`EX1013 at 36 (highlighting and underlining added).
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`As seen above, the “LISTEN_REQUEST” message also contains two address
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`and port parameters, and similarly, the address and port parameters come in two
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`sets: local and remote. Therefore, just as with the “ASSIGN_REQUEST_RSAP-IP”
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`message, there is nothing in the “LISTEN_REQUEST” message regarding a request
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`to allocate a network address and port associated with the RSIP Gateway (a.k.a.
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`the server).
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`Further still, the Petition itself argues that RSIP should be used “with the no
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`remote flow policy”. Pet. 40; see also Pet. 37, 41, 42, 47. And regarding “remote
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`flow policy”, RSIP expressly states that under a “no flow” policy, the hosts (a.k.a.
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`mobile devices) communicate without explicitly notifying the gateway (a.k.a. the
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`server):
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`EX1013 at 13 (highlighting and underlining added).
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`The above further confirms that under RSIP the allocation of “addressing
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`parameters” is “to the host” (a.k.a. the mobile device), and not associated with the
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`RSIP gateway (a.k.a. the server), as required by the claim language.
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`Therefore, the combination of Chambers and RSIP does not teach the
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`recitation of transmitting a request to a server to allocate a network address and port
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`associated with the server.
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`D. A POSITA Would Not Have Combined Cordenier and
`TURN (Ground 3)
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`In Ground 3, the Petition proposes the combination of Cordenier and TURN.
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`However, the primary reference itself demonstrates the fatal flaw in Petitioner’s
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`argument. The incorporation of TURN, which provides a relay server to forward
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`communications between the terminals (EX. 1002; Par. 66; EX. 1009; 4), is directly
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`contrary to the goal of Cordenier to “provide an architecture for peer-to-peer
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`communication between a first and a second terminal using a data network, but
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`without the need of a common exchange server in the data network.” (EX. 1007;
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`Para. [0006].) As TURN requires an exchange server, i.e., a relay server, a
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`POSITA, seeking to modify Cordenier’s peer-to-peer communication approach
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`without an exchange server, would not incorporate TURN.
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`The Declaration of Petitioner’s Expert fails to address this fundamental
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`incompatibility between the goal of Cordenier of providing a peer-to-peer network
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`without a server, and TURN’s provision of a server. Indeed, Petitioner’s Expert, in
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`summarizing Cordenier, describes Cordenier as disclosing “a method for initiating
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`an IP-based data exchange session…between mobile devices” (EX. 1002; Para.
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`106), without mentioning that the object of Cordenier is to avoid “the need of a
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`common exchange server.” (EX. 1007; Para. [0006]).
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`Indeed, the Board’s own decision states that “Petitioner relies on TURN for
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`its teaching of transmitting a request (Allocate Request) to a server (TURN server)
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`to allocate a network address and port associated with the server (public IP address
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`and port number of the TURN server) to use in a data exchange session (e.g., relay)
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`with a participating mobile device (peer).” (Paper No. 7, p. 24). The allocating of IP
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`addresses to every device is exactly contrary to Cordenier, which seeks to avoid the
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`requirement that “it is always necessary that both users are online to the Internet
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`and that both users are registered at the same IP-exchange server.” (EX. 1007; Para.
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`[0005]).
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`Moreover, the purported motivation to combine Cordenier and TURN, as
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`provided by Petitioner’s Expert at Paragraphs 113-118 of Exhibit 1002, makes no
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`mention of Cordenier’s object of avoiding a common exchange server. Indeed,
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`Petitioner’s Expert specifically states that TURN is “advantageous because it uses
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`public addresses that are guaranteed to be accessible to every peer.” (EX. 1002;
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`Para. 116). However, in TURN, those public addresses are made available by the
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`TURN server, and the TURN server acts as a relay, forwarding data received at the
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`public IP address to a stored source IP address and port. (EX.1009; 8). Thus, one of
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`the very reasons that Petitioner’s Expert cites in favor of combining TURN with
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`Cordenier is that TURN provides a relay server storing IP addresses, which n fact
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`is what Cordenier is seeking to avoid.
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`Patent Owner notes that the Institution Decision contends that “Patent Owner
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`does not take into account the testimony of Dr. Houh” in arguing that “Petitioner
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`does not identify any shortcomings of Cordenier that would cause a person having
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`ordinary skill in the art to look to TURN, or vice versa, and that the Petition merely
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`offers hindsight reconstruction.” Paper 7 at pp. 24-25. Patent Owner disagrees. In
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`fact, the Preliminary Response clearly includes discussion of Dr. Houh’s testimony
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`in EX1002, noting that it merely parrots the same speculative and conclusory
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`statement of the Petition:
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`Yet, the Petition argues that “[b]ecause Cordenier does not provide any
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`NAT traversal technique, a POSITA would have been motivated to
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`search for and use a known NAT traversal technique…” Pet. 54.
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`However, the Petition does not provide any evidence or analysis for
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`this conclusion, instead, the Petition merely cites to its declarant for
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`support. Id. citing EX1002, ¶ 115. But Petitioner’s declarant merely
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`parrots the same speculative and conclusory statement of the Petition.
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`Compare Pet. 54 with EX1002, ¶ 115. That is insufficient. 37 C.F.R. §
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`42.65(a) (“Expert testimony that does not disclose the underlying facts
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`or data on which the opinion is based is entitled to little or no
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`weight.”); Alza Corp. v. Mylan Labs., Inc., 464 F.3d 1286, 1290 (Fed.
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`Cir. 2006) (“legal determinations of obviousness, as with such
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`determinations generally, should be based on evidence rather than on
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`mere speculation or conjecture.”); In re Magnum Oil Tools Int’l Ltd.,
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`829 F.3d 1364, 1380 (Fed. Cir. 2016) (“[A] petitioner cannot employ
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`mere conclusory statements” and “must instead articulate specific
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`reasoning, based on evidence of record . . . .”).
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`Preliminary Response at p. 19. Accordingly, the Institution Decision is
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`incorrect that the Patent Owner does not take into account the testimony of Dr.
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`Houh, and Patent Owner reiterates that legal determinations of obviousness must be
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`based on evidence, not expert testimony based upon speculation and conjecture.
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`Further, to the extent that TURN purportedly identifies problems with NAT,
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`Patent Owner submits that a generalized showing of problems with NAT is not a
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`showing of shortcomings of Cordenier that would cause a POSITA familiar with
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`Cordenier to look to TURN, or vice versa. Instead, the Petition merely offers
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`hindsight reconstruction, under which one of ordinary skill familiar with Cordenier
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`would combine it with NAT solely to provide the functionality recited in the ‘877
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`claims.
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`Thus, because the combination of TURN with Cordenier is based upon
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`impermissible hindsight analysis, Ground 3 fails.
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`E. The Petition fails to Prove Obviousness of Any Dependent Claim
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`The deficiencies of the Petition articulated above concerning the challenged
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`independent claims apply also taint the analysis of the challenged dependent claims.
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`Accordingly, the Petition should be denied in its entirety.
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`VI. APJs are Unconstitutionally Appointed Principal Officers
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`As determined in Arthrex, Inc. v. Smith & Nephew, Inc., ___ F.3d ___,
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`2019 WL 5616010, at *5 (Fed. Cir. 2019), “APJs have substantial power to issue
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`final decisions on behalf of the United States without any review by a
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`presidentially-appointed officer.” Patent Owner submits that APJs are principal
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`officers under the Appointments Clause of the Constitution for this reason, but
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`undisputedly are not appointed through the constitutionally-mandated mechanism
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`of appointment for principal officers. Contrary to Arthrex, Patent Owner submits
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`that the Arthrex decision’s remedy (partial invalidation of the statutory limitations
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`on removal of APJs) impermissibly re-writes the statutes governing APJs. In
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`addition, the ability to remove APJs at will is insufficient to render APJs inferior
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`officers. The importance placed on review of the decisions of Court of Criminal
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`Appeals Judges in Edmond v. US, 520 U.S. 651 (1997), is inconsistent with
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`Arthrex’s determination that partial invalidation of statutory limitations on the
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`removal of APJs is sufficient to render APJs inferior officers. See Edmond, 520
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`U.S. at 665 (“What is significant is that the judges of the Court of Criminal
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`{00251551;v2}
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`Appeals have no power to render a final decision on behalf of the United States
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`unless permitted to do so by other Executive officers.”).
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`In view of these issues, only Congress can fix the IPR statutory scheme,
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`and this case must be dismissed. Although Patent Owner recognizes that this
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`argument perhaps would be more appropriately presented on appeal of any
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`adverse decision in this matter, and should be considered timely if so presented,
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`see Arthrex, 2019 WL 5616010, at *11, Patent Owner raises the issues here in
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`view of the government’s continuing arguments that such issues must be brought
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`before the Board, see, e.g., id.
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`VII. CONCLUSION
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`For at least the reasons set forth above, Uniloc respectfully requests that the
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`Board deny all challenges in the instant Petition.7
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`7 Patent Owner does not concede, and specifically denies, that there is any
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`legitimacy to any arguments in the instant Petition that are not specifically
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`addressed herein.
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`Date: November 19, 2019
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`Respectfully submitted,
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`IPR2019-00701
`Patent 8,018,877
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`By: / Brett A. Mangrum /
`Brett A. Mangrum
`Reg. No. 64,783
`Attorney for Patent Owner
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`{00251551;v2}
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`CERTIFICATE OF COMPLIANCE
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`IPR2019-00701
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`Pursuant to 37 C.F.R. § 42.24(d), we certify that this Patent Owner
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`Response to Petition complies with the type-volume limitation of 37 C.F.R.
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`§ 42.24(b)(1) because it contains fewer than the limit of 14,000 words, as
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`determined by the word-processing program used to prepare the brief, excluding
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`the parts of the brief exempted by 37 C.F.R. § 42.24(a)(1).
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`Date: November 19, 2019
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`Respectfully submitted,
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`By: / Brett A. Mangrum /
`Brett A. Mangrum
`Reg. No. 64,783
`Attorney for Patent Owner
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`{00251551;v2}
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`IPR2019-00701
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`CERTIFICATE OF SERVICE
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`Pursuant to 37 C.F.R. §§ 42.6(e), we certify that we served an electronic
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`copy of the foregoing PATENT OWNER RESPONSE TO PETITION, along with
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`any accompanying exhibits filed via the PTAB E2E system, to Petitioner’s counsel
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`at the following addresses identified in the Petition’s consent to electronic service:
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`Brian Erickson (Reg. No. 48,895)
`James M. Heintz (Reg. No. 41,828)
`brian.erickson@dlapiper.com
`jim.heintz@dlapiper.com
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`Date: November 19, 2019
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`Respectfully submitted,
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`By: / Brett A. Mangrum /
`Brett A. Mangrum
`Reg. No. 64,783
`Attorney for Patent Owner
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`{00251551;v2}
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`ii
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