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`IPR2014-00915, Paper No. 36
`IPR2014-00919, Paper No. 36
`September 30, 2015
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
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`ERICSSON INC. and TELEFONAKTIEBOLAGET LM
`ERICSSON,
`Petitioners,
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`v.
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`INTELLECTUAL VENTURES II LLC,
`Patent Owner.
`____________
`
`Case IPR2014-00915
`Patent 8,396,079 B2
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`Case IPR2014-00919
`Patent 7,848,353 B2
`____________
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`Held: August 25, 2015
`____________
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`
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`BEFORE: JOSIAH C. COCKS, WILLIAM A. CAPP, and
`DAVID C. McKONE, Administrative Patent Judges.
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`
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`The above-entitled matter came on for hearing on Tuesday,
`August 25, 2015, commencing at 10:00 a.m., at the U.S. Patent
`and Trademark Office, 600 Dulany Street, Alexandria, Virginia.
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`Case IPR2015-00815
`Patent 6,404,953 B1
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`APPEARANCES:
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`ON BEHALF OF THE PETITIONER:
`
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`J. ANDREW LOWES, ESQ.
`
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`CLINT WILKINS, ESQ.
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`Haynes and Boone, LLP
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`2505 North Plano Road, Suite 4000
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`Richardson, Texas 75082-4101
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`and
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`JENNIFER B. WELLS, ESQ.
`Ericsson
`6300 Legacy Drive
`Plano, Texas 75024
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`ON BEHALF OF PATENT OWNER:
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`HERBERT D. HART, III, ESQ.
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`STEVEN J. HAMPTON, Ph.D., ESQ.
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`McAndrews Held & Malloy LTD
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`500 West Madison Street, 34th Floor
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`Chicago, Illinois 60661
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`and
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`
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`JAMES R. HIETALA, ESQ.
`Intellectual Ventures
`3150 139th Avenue, S.E.
`Bellevue, Washington 98005
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`Patent 6,404,953 B1
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`P R O C E E D I N G S
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`- - - - -
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`JUDGE COCKS: Good morning.
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`COUNSEL: Good morning.
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`JUDGE COCKS: We're here for a consolidated oral
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`argument in two proceedings, IPR2014-00915 and 00919
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`involving patents 8,396,079 and 7,848,353. Let's begin by having
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`counsel introduce themselves for the record, starting with
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`Petitioners.
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`MR. LOWES: Andrew Lowes, lead counsel for
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`Petitioner Ericsson. With me at counsel today is Clint Wilkins,
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`backup counsel. Also in attendance today is Jennifer Wells,
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`in-house counsel for Ericsson.
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`JUDGE COCKS: Thank you, Mr. Lowes.
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`And for the Patent Owner?
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`MR. HART: Yes, Your Honor, Herbert Hart, lead
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`counsel for Patent Owner. With me today and presenting our
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`argument is backup counsel Steve Hampton.
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`JUDGE COCKS: Thank you, Mr. Hart.
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`As we set forth in our trial hearing order, each side has
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`up to 60 minutes of argument time. The Petitioner will go first
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`and present their argument. You may reserve rebuttal time. The
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`Patent Owner will then argue their opposition of Petitioners' case,
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`and then we will conclude with Petitioner reserving any time for
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`rebuttal.
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`So, with that said, Mr. Lowes, you may approach
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`whenever you are ready to begin.
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`Let me make one point, we are joined by Judge
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`McKone remotely from Detroit, he cannot see what you have put
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`up on the screen, so if you can just refer to the slide number when
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`you refer to it.
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`MR. LOWES: Yes, I am aware.
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`JUDGE McKONE: And also, I can't hear what you say
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`unless you speak into the microphone at the podium. Thank you.
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`MR. LOWES: Judge McKone, can you hear me now?
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`JUDGE McKONE: Yes.
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`MR. LOWES: Very good.
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`Well, I will go ahead and begin the presentation. As I
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`said, my name is Andrew Lowes, lead counsel for Petitioner,
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`Ericsson. Of the 60 minutes allotted for today's presentation, I
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`would like to reserve 20 minutes for rebuttal after the Patent
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`Owner's presentation.
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`JUDGE COCKS: Thank you.
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`MR. LOWES: Additionally, to make the transcript
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`clear, since we have two IPR proceedings, when I refer to
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`exhibits, I'll refer to the exhibit numbers of IPR2014-00915. For
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`my argument today, first, I will have a brief overview of the
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`challenges, an overview of the patents with respect to
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`representative claim, along with an overview of the two primary
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`references. Then I'll provide additional evidence and arguments
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`from the record, some of which has occurred after the institution
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`decision. This evidence will further support and confirm the
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`Board's initial conclusion that the claims are unpatentable as set
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`forth in the institution decision.
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`Slide 2, please, of Exhibit 1034. Here is an overview of
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`the challenges that are present in both IPR proceedings. The first
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`four challenges are based on the primary reference McFarland.
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`These cover all the claims in both proceedings, based on
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`McFarland, based on various combinations with van Nee, Shahar,
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`Richardson, and the McFarland reference is Exhibit 1002.
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`The second set of challenges is based on the
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`Trompower reference. Trompower, likewise, covers the same set
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`of claims as McFarland, and is combined with different sets of
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`references for most of the challenges. So, we have two sets of
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`challenges that are parallel, so each claim has two bases for
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`unpatentability.
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`Next slide, please, slide 3 of Exhibit 1034. This is
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`claim 6 of the '079 patent. Just in simple terms, the '079 patent
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`and '353, one is a continuation of the other, so they both have a
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`similar specification, but both patents relate to communication
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`systems which offer dynamic change of transmission bandwidths.
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`So, depending on the conditions, the transmitter can decide to
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`change the bandwidth of transmission. When the transmitter
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`wants to make that change, it needs to have a way to let the
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`receiver know it's changing the transmission, how is it -- how is
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`the receiver going to know what is the new transmission
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`bandwidth.
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`The solution to that problem is to place an indication in
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`the first part of the message that indicates the operating
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`bandwidth of the remainder of the message. For the '353 and '079
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`patents, that indication is an indication of the chipping rate. So,
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`the chipping rate is identified at the beginning of the message,
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`that chipping rate that's identified is for the remainder of the
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`message. During prosecution, there was very little substantive
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`prosecution, there was a double patenting rejection based on a
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`parent application. In the parent, it talked about transmitting an
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`indication of the chipping rate, in these patents that's been
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`changed to an indication of an operating bandwidth.
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`So, here you can see it's simply transmitting, in this case
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`by a wireless network, a signal having a first signal portion, that
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`first signal portion containing an indication of an operating
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`bandwidth for a further signal portion, and then the claim requires
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`that the indication is recoverable from the first signal portion and
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`information in the further signal portion is recoverable at that
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`operating bandwidth.
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`As it turns out, other patents had already disclosed this
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`technology well in advance of priority date of the '353 and '079
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`patents. Specifically, the McFarland reference disclosed
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`transmitting the mode of the packet, the first mode in the header
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`that indicates the mode of transmission for the remainder of the
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`packet. And the mode, the reason it's different than the words
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`chipping rate is because McFarland relates to orthogonal
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`frequency division multiplexing, OFDM, and mode is the way
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`that the various transmission bandwidths are communicated.
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`The additional reference of Trompower utilizes spread
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`spectrum technology, just like the '079 and '353, and in
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`Trompower, there is an indication of the chipping rate for the
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`remainder of the message that's communicated through the
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`system.
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`Next slide, please. Referring to slide 4 of Exhibit 1034.
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`This is just a graphic illustration of the claim. There is simply a
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`signal that has a first signal portion in the patent. That
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`information, the SCH is the synchronization channel and that is
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`the portion that contains an indication of the chipping rate. And
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`that's the chipping rate of the further signal portion, which
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`contains the data. In terms of the patent, that bundle of data is
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`called a data burst.
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`Next slide, please. So, why are there two sets of
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`references? The reason is, is because unlike the parent patent,
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`these claims require -- they don't require chipping rate, they talk
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`in terms of just an indication of operating bandwidth, and they
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`have been asserted against products that utilize OFDM
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`technology. So, in an effort to demonstrate that, we've utilized
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`the McFarland reference that has the same technology as the
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`accused products utilizing OFDM communications to show that
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`the concept that's in the claims is already known before the filing
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`date.
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`Additionally, following the disclosure of the patents for
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`spread spectrum technology, and communication of chipping rate,
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`we've utilized the Trompower reference as well.
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`Next slide, please. So, overall, through the petition and
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`the reply, Petitioner has demonstrated that the two distinct sets of
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`references render the challenged claims obvious, and therefore
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`unpatentable to the Patent Owner. With respect to the
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`transmission of signal, it is just semantics. Patent Owner says
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`that the wireless packets and the transmission of those packets
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`through a wireless system as disclosed in both McFarland and
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`Trompower are not examples of transmitting a signal as set forth
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`in the claims and that signal has to convey information.
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`Both McFarland and Trompower are replete with
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`reference to transmission of signals, even modulated signals. As
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`we have shown, Patent Owner is clearly incorrect with respect to
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`transmitting a signal.
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`With respect to indication of operating bandwidth,
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`McFarland's transmission of the mode at the beginning of the
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`packet indicating the mode of the remainder of the packet is an
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`indication of the operating bandwidth, and we've clearly shown
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`that in the petition, as well as discussed it in the reply.
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`Similarly, Trompower's indication of chipping rate is
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`the same indication utilized in the '353 and '079 patents to
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`indicate the chipping rate of the remainder of the message.
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`With respect to indication of operating bandwidth,
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`Patent Owner has now attempted to narrow the claims to avoid
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`this invalidating prior art and save validity. In doing so, rather
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`than utilize indication of operating bandwidth, the Patent Owner
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`is now saying that that has to mean something special, although
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`there's no special meaning set forth in the patent, and their
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`position is that it has to identify a particular operating bandwidth.
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`So, they are now requiring particularity from those claims and
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`actually identify a particular operating bandwidth. As we'll
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`discuss, that's inconsistent with the patent and there's no
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`disclosure of that actually in the '353 or '079 patents.
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`Finally, with respect to data burst, there's no meaningful
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`distinction between the transmission of data burst of the '353 and
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`'079 patents and transmission of the packets of McFarland,
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`Trompower and an additional reference, Shahar. Each of the
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`references disclose transmissions that have an increased rate of
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`transmission to shorten the temporal duration of the transmission,
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`such a transmission is defined as a data burst in Petitioners'
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`petition, and even under Patent Owner's proposed plain and
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`ordinary meaning, those transmissions satisfy the claim
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`limitations.
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`And Patent Owner has not identified any particular
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`technical reason why the transmission of the disclosed patents of
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`the references are not the claimed data burst.
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`Next slide, please. Referring to slide 7, this is a front
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`page of the McFarland reference, which is Exhibit 1002. This,
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`the reference itself indicates that it's a multi-carrier
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`communication system and it employs variable symbol rates and
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`number of carriers.
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`JUDGE COCKS: Counsel, may I interrupt briefly?
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`MR. LOWES: Absolutely.
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`JUDGE COCKS: Could you go back one slide. I do
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`have one question. Just for clarity, I've seen a couple of the items
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`you've listed there, you refer only to the Petitioners' reply and not
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`to the petition itself. Why is that?
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`MR. LOWES: Simply for ease of reference that there's
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`a direct correlation to the Petitioners' reply.
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`JUDGE COCKS: So, those arguments made are also in
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`the petition, it's fairly general, the first one, but they are also
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`contained in the petition itself?
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`MR. LOWES: Yes, and I will get to slides that have
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`that.
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`JUDGE COCKS: Okay, thank you.
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`MR. LOWES: With respect to McFarland, as
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`mentioned, it's an OFDM system. Even here in the abstract, it
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`correct symbol rate and number of carriers, which is, in fact,
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`going to indicate the occupied bandwidth for the transmission,
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`through an indication in the header of the data packet, which is
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`transmitted in a base mode of operation that all nodes in the
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`system can understand.
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`So, clearly, McFarland is providing an indication in the
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`header for the remainder of the packet.
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`Next slide. Another quote from McFarland that
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`recognized that in a preferred approach would be to have a short
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`header on the packet that would be in the base mode, and within
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`that header, would be an indication, the exact language of the
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`claim, of which mode the remainder of the packet will be in. And
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`as we'll describe further in the slides, mode, in fact, indicates
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`operating bandwidth.
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`So, for McFarland, the transmitted packet header is the
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`first signal portion, and the transmitted packet remainder is the
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`further signal portion. McFarland, in terms of dynamically
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`changing its transmission, discloses dynamically changing the
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`number of carriers, the symbol rate and the occupied bandwidth.
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`So, it's clearly setting forth changes in bandwidth, which are
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`indicated by number of carriers and symbol rate, which is the
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`mode.
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`Next slide.
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`JUDGE CAPP: Mr. Lowes, go back to that slide.
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`want to focus your attention on the words "symbol rate" that
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`you've got at the bottom of the slide. Some of us came through
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`the ranks in the early days of patent litigation during the dial-up
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`modem wars, and back in those days, we were pretty much
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`dealing with a carrier frequency that was just voice data over the
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`telephone, and yet the rate at which transmission could be sent
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`over the wire improved with time because they improved the
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`methods of modulation, they went from just frequency shift
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`keying to start with the phase shift keying on it, eventually went
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`all the way up to 56K before we then transitioned into broadband.
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`There's an issue that's really hasn't been very well
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`fleshed out by the parties in terms of what the word "bandwidth"
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`means and whether it just means from one frequency to another
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`frequency in a range of frequencies, or it also addresses the
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`subject of the overall data rate that's being transmitted, because
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`the data rate can be changed within a certain band of frequency.
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`Do you agree with that?
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`MR. LOWES: Yes, I do.
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`JUDGE CAPP: So, when the Patent Owner is talking
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`about operating bandwidth, is it your understanding that he's only
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`talking about a frequency range, or are they also talking about the
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`symbol rate and the overall transmission rate that's being affected
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`not just by the range of frequencies they are in, but also by the
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`modulation scheme that they're using?
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`MR. LOWES: It's my understanding that bandwidth,
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`and I think the parties would address this to some degree, is
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`actually the spectral bandwidth and not data rate. So, bandwidth
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`in the claims is not necessarily the data rate, although there is a
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`relationship that as the more bandwidth you use the higher your
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`data rates can be, but the claims themselves are talking about the
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`use of the spectral bandwidth.
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`Does that answer your question? So, with respect to
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`symbol rate, if you want to send more symbols, as you increase
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`the rate of the symbols, you're going to need to increase the
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`bandwidth to get those greater symbols through the system.
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`JUDGE CAPP: Go ahead and keep going, but we're
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`going to come back to this when we look at Trompower in a
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`MR. LOWES: Right. Next slide, please. Slide 9 of
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`Exhibit 1034, this is a front page of Trompower. As you can see
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`here, it's a cellular communication system with dynamically
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`modified data transmission parameters. In this system, it enables
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`dynamic modification of the communication system, including
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`the PN code, the chipping rates and modulation techniques for
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`transmission of data packets.
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`Next slide, please. Here's a quote from Trompower that
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`describes their setup. So, they have a packet, here shown in
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`figure 3A, packet 300, within that header 302, and then followed
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`transmitted in fast, mid or slow rates, but in this embodiment, the
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`header is transmitted in the mid or slow rate while the remainder
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`of the packet can be transmitted in the fast, mid or slow rate. And
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`the header also will include receiver system setup data signifying
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`the data rate at which the data bits will be transmitted. And we'll
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`come back to your point a little bit later.
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`Next slide, please. So, here's just a graphic illustration
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`annotated figure 3A, that in one embodiment of Trompower, they
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`actually set the data rate using chipping rate. So, you change the
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`chipping rate, it changed the data rate, and as Trompower
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`discloses, changing that chipping rate also changes the utilized
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`bandwidth.
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`Next slide, please. Move on past that. So, in terms of
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`the parties, there are four claim terms under consideration. The
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`first is signal or transmitting of the signal. Data burst, indication
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`of operating bandwidth, and bandwidth. We're now on slide 13,
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`Judge McKone.
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`For signal, the Petitioners' construction is that it should
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`be a physical representation of the data that's actually being
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`transmitted. It need not be wireless transmission, for the '353
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`patent, the independent claims aren't limited to wireless, and
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`those claims, it's not until the dependent claims that it requires
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`wireless transmission.
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`The Patent Owner's construction is that physical
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`representation must be in a modulated wave form that's used to
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`convey information. But as the Board properly recognized,
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`between those two claim constructions, it's not material for the
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`purposes of this proceeding. All the references relied upon are
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`wireless transmission systems, and so even if you choose Patent
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`Owner's construction, the references still satisfy that, and we'll
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`walk through that.
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`Actually, next slide, please. With respect to signal,
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`there's no special meaning for signal set forth in the patent, and
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`none has been really suggested, and in the institution decision, the
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`Board recognized that all of our references contemplate a wireless
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`transmission, transmissions that use modulating carriers.
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`Next slide. This is slide 15 of Exhibit 1034. So, in
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`terms of the structure of McFarland that does the transmission,
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`here we have, from figure 8, in McFarland, a data packet would
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`enter on the left, and go to the serial to parallel processor and then
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`be fed into the iFFT, and the iFFT would then generate on OFDM
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`symbol, be passed from parallel to serial converter and then it
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`would exit here in a serial format. With respect to our
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`construction, that's -- that can be the signal. That's what's being
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`transmitted and it need not be modulated if it's still in a base band
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`mode for a wired communication.
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`Next slide, please. Now, with respect to Patent Owner's
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`construction, it's simply the combination of McFarland and van
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`Nee as set forth in the petition, and further in the reply, applying
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`van Nee. Here you have McFarland generating the OFDM
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`symbol, its output, and McFarland recognizes that it could be a
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`wireless system, so wireless transmission. To accomplish that, a
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`Patent Owner of ordinary skill in the art would understand you
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`need to convert it and apply it to an RF carrier wave. And van
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`Nee expressly indicates that along with the structure. It's got the
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`digital to analog converter, the RF carrier wave applied to the
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`antenna.
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`And looking at van Nee, we've quoted the language
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`there. The OFDM symbol is input into a digital to analog
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`converter, after which it is sent to the transmitter front end 22 that
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`converts the base band wave form to the appropriate RF carrier
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`frequency for transmission over antenna 24.
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`So, even under Patent Owner's construction, it's a
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`modulated wave form conveying information. Now, what
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`information is that? It's the packet that's fed in right here. That's
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`the information that's being transmitted via the signal. The
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`modulated wave form.
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`Next slide, please. Next slide. Turning now, staying
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`with McFarland, but turning now to indication of operating
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`bandwidth, it's our position that no construction is necessary for
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`that term. As I indicated in my opening, the Patent Owner's
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`construction is that this actually needs to be much narrower and it
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`should be directly an identification of a particular operating
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`bandwidth.
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`Next slide. And now referring to slide 20 of Exhibit
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`1034. The top portion of that, a discussion of McFarland, the
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`combination of symbol rate and number of carriers corresponds to
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`the mode of operation, which in turn corresponds to the
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`bandwidth. If you know the symbol rate, that corresponds
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`proportionally to carrier spacing, and as shown in McFarland's
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`figure 3, as well as figures 4 and 5, with the number of carriers in
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`the carrier spacing, you know the occupied bandwidth.
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`So, clearly, the designation of the mode, the symbol rate
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`and number of carriers, it is clearly showing the occupied
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`bandwidth. So, McFarland's indication of mode is identifying
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`what is the bandwidth that's being occupied by the signals that are
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`later transmitted, transmitting the data portion of the packet.
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`In response to that, Patent Owner takes the position that,
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`well, there's something wrong with McFarland's indication of the
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`operating bandwidth. And what that problem is, according to the
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`Patent Owner, is there's at least one other factor in determining
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`bandwidth that McFarland does not account for. And in their
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`view, that's guard-band. So, with respect to guard-band, that
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`proposed construction and the inclusion or requirement that you
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`include the guard-band is wrong for at least three reasons.
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`Next slide, please. Looking at slide 21, first, this is the
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`plain meaning of indication doesn't require a special and
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`particular identification of the bandwidth. It simply is an
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`indication, just like the chipping rate is an indication of
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`bandwidth, but it doesn't set forth a numeric value for that chip
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`rate. Moreover, the requirement that guard-band be taken into
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`account for the McFarland reference is contrary to the patent
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`itself. For the '079, we asked Patent Owner's expert for the -- is
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`the concept of guard-band discussed in the '353 or the '079
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`patents? And Dr. Zeger, Patent Owner's expert said, "I believe
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`it's implicitly discussed, but the words -- I don't know if the
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`words 'guard-band' are actually and explicitly in there."
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`So, even their own expert -- you know, they criticize
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`McFarland for not talking about guard-band in indicating
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`bandwidth, but the patent itself doesn't take into account
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`guard-band. There's no disclosure of that consideration in the
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`patent itself.
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`Next slide, slide 22. The second reason that guard-band
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`is not a relevant issue, and there is no need to identify a particular
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`operating bandwidth with respect to the patent is that there's not a
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`direct correlation between the chip rate that's disclosed in the
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`patents, and the operating bandwidth, because as, again, this is
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`Patent Owner's expert, as he recognized, as the chip rate goes up,
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`the operating bandwidth goes up, but not in a proportional sense.
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`Then because there's also guard-band which is added on to that.
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`So, there's not necessarily a proportional increase in the
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`bandwidth as chipping rate goes up. And then he wanted to
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`clarify and said, well, it may be proportional, but it need not be.
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`So, even under the Patent Owner's understanding, the
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`patent is unclear whether guard-band would take it into account,
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`whether chip rate indicates their definition of operating
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`bandwidth because the guard-band may or may not have changed.
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`So, that's a second reason why their construction is improper.
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`Next slide, slide 23. The third reason their construction
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`is improper is that with respect to guard-band, the claims require
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`that information be recovered from that operating bandwidth.
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`And the experts agree, and again, this is Patent Owner's expert
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`testifying, when we asked him about that, there's no information
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`in that band, and he's referring to the guard-band.
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`So, there's no information in the guard-band, it need not
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`be disclosed that that's the operating bandwidth, because there's
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`no information to recover in that band. So, again, for those three
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`reasons, Patent Owner's construction of indication of an operating
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`bandwidth as requiring identification of a particular bandwidth is
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`improper, and beyond the scope of their patent in terms of the
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`limitations they actually disclose.
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`Next slide, please.
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`JUDGE COCKS: Counsel, let me ask you.
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`MR. LOWES: Yes?
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`JUDGE COCKS: What if we were to think that
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`operating bandwidth does include guard-band? What happens to
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`the ground based on McFarland?
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`MR. LOWES: Well, McFarland actually, there is some
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`disclosure in McFarland, to the extent that you can determine
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`from the patent that chipping rate takes into account or designates
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`guard-band, there's that same kind of disclosure in McFarland, it
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`expressly says that the occupied bandwidth is carrier spacing
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`times symbol rate, so that it's got as much identification of the
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`operating bandwidth as the patents themselves.
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`JUDGE COCKS: Okay.
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`MR. LOWES: Next slide. So, in conclusion,
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`McFarland has in that short header of the packet, within that
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`header would be an indication of which mode the remainder of
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`the packet will be in. It's clearly providing an indication of the
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`operating bandwidth where the information can be recovered for
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`the remainder of the packet.
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`Next slide. You can skip that slide. So, we've been
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`talking about McFarland, and now I want to turn to the second
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`primary reference, the Trompower reference. And the discussion
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`has been about signal, and whether transmitting a packet is a
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`signal or whether the references themselves, in fact, disclose
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`transmitting signals. Here in Patent Owner's response, they
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`recognize that Trompower does, indeed, disclose transmitting RF
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`signals. So, clearly, there's recognition that Trompower itself is
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`transmitting the RF signals.
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`They have said that Trompower -- the transmission of
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`the packets are not transmitted signals. Clearly, Trompower's
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`transmitting those packets through their RF carrier, and
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`Trompower in many places talks about that. Here's one example.
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`Transmission between the devices in the cellular communication
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`system 200, and I'm sorry, Judge McKone, I'm on slide 26,
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`preferably occur in a packet format. So, those transmissions are
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`occurring in a packet format, as shown in figure 3, we've already
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`talked about, using spread spectrum wireless communication
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`techniques.
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`So, it's the same spread spectrum that they're utilizing in
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`the '353 patent and '079 to transmit what they call their
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`information bundles, data bursts, and they are using in the '353
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`and '079 spread spectrum techniques. The same thing is
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`happening in Trompower. So, exactly the same transmissions, it's
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`transmitting what? It's transmitting packets of information.
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`Next slide. Here's some detailed disclosure from
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`Trompower. We've already gone through the quotation on the
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`left, and this just graphically shows how Trompower's packet is
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`divided up between the header and the data bits. I think we can
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`go to the next slide.
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`With respect to chipping rate, even the Patent Owner
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`recognizes that there is an embodiment, a disclosure in
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`Trompower that Trompower does mention that a different
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`embodiment may provide for adjusting the chipping rate. Now,
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`they spent a lot of time talking about the embodiment that holds
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`the chipping rate constant and changes other aspects to change
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`the data rate of the transmission, changing the coding or
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`modulation, but holding that chipping rate constant can hold the
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`bandwidth constant.
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`But in the embodiment that we're referring to, they're
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`actually changing the data rate, I'm sorry, changing the data rate
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`via changing the chip rate. In one example it's between 22
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`megahertz and 11 megahertz, which they describe as actually
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`changing the spectral bandwidth being utilized.
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`Next slide, please.
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