UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`
`
`NOKIA SOLUTIONS AND NETWORKS US LLC; AND
`
`NOKIA SOLUTIONS AND NETWORKS OY,
`
`Petitioners
`
`
`
`v.
`
`
`
`HUAWEI TECHNOLOGIES CO. LTD.,
`
`Patent Owner
`
`____________
`
`
`
`Case: IPR2017-00658
`
`U.S. Patent No. 8,537,779
`
`____________
`
`
`
`PETITION FOR INTER PARTES REVIEW
`
`UNDER 35 U.S.C. § 312 AND 37 C.F.R. § 42.104
`
`
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`US Patent and Trademark Office
`PO Box 1450
`Alexandria, Virginia 22313-1450
`
`
`
`

`
`
`
`TABLE OF CONTENTS
`
`LIST OF EXHIBITS ................................................................................................ v
`
`ACRONYM GLOSSARY ....................................................................................... x
`
`I. MANDATORY NOTICES UNDER 37 C.F.R. § 42.8 ................................ 1
`
`A. REAL PARTY IN INTEREST ........................................................................ 1
`B. RELATED MATTERS ................................................................................. 1
`C. DESIGNATION OF COUNSEL ...................................................................... 1
`D.
`SERVICE INFORMATION............................................................................ 2
`
`II. GROUNDS FOR STANDING UNDER 37 C.F.R. § 42.104(a) ................. 2
`
`III. PAYMENT OF FEES ................................................................................... 2
`
`IV. OVERVIEW OF CHALLENGES AND RELIEF REQUESTED ............ 2
`
`V.
`
`INTRODUCTION ......................................................................................... 4
`
`VI. BACKGROUND OF THE TECHNOLOGY .............................................. 6
`
`3GPP ORGANIZATION.............................................................................. 6
`A.
`B. THE 3G 3GPP PACKET-SWITCHED NETWORK ......................................... 7
`C. THE ATTACH PROCEDURE AT THE TIME OF THE INVENTION ..................12
`
`VII. THE ’779 PATENT .....................................................................................23
`
`A. OVERVIEW OF THE ’779 PATENT ............................................................23
`B.
`PURPORTED PROBLEM AND ALLEGED NOVELTY ...................................23
`C.
`PROSECUTION HISTORY OF THE ’779 PATENT ........................................26
`
`VIII. CLAIM CONSTRUCTION ........................................................................31
`
`A.
`
`B.
`
`“OBTAINING UNIT,” “IDENTIFYING UNIT,” AND “PROCESSING UNIT” IN
`CLAIM 11 ...............................................................................................31
`“CREATE BEARER REQUEST MESSAGE” IN CLAIM 4...............................33
`
`IX. PRIOR ART REFERENCES .....................................................................35
`
`A. THE ’779 APA (NSN779-1002, AT 1019-40) ........................................37
`B.
`SODERBACKA (NSN779-1007)..............................................................38
`C. THE NOKIA SUBMISSION (NSN779-1008) .............................................39
`
`i
`
`

`
`
`
`D. THE MOTOROLA SUBMISSION (NSN779-1009) .....................................40
`
`X.
`
`INVALIDITY OF CLAIMS 1, 4 AND 9-11 OF THE ’779 PATENT ....40
`
`A. COUNT 1: CLAIMS 1, 4, AND 9-11 ARE UNPATENTABLE UNDER 35
`U.S.C. § 103(A) OVER THE ’779 APA IN LIGHT OF SODERBACKA .........41
`B. COUNT 2: CLAIMS 1, 4, AND 9-11 ARE UNPATENTABLE UNDER 35
`U.S.C. § 103(A) OVER THE ’779 APA IN LIGHT OF THE NOKIA
`SUBMISSION ...........................................................................................54
`C. COUNT 3: CLAIMS 1, 4, AND 9-11 ARE UNPATENTABLE UNDER 35
`U.S.C. § 103(A) OVER THE MOTOROLA SUBMISSION IN LIGHT OF THE
`NOKIA SUBMISSION ...............................................................................62
`D. COUNT 4: CLAIMS 1, 4, AND 9-11 ARE UNPATENTABLE UNDER 35
`U.S.C. § 103(A) OVER THE MOTOROLA SUBMISSION IN LIGHT OF
`SODERBACKA ........................................................................................74
`THE GROUNDS ARE NOT REDUNDANT ..................................................78
`
`E.
`
`XI. CONCLUSION ............................................................................................79
`
`
`
`
`
`ii
`
`

`
`
`
`
`CASES
`
`
`
`TABLE OF AUTHORITIES
`
`Page(s)
`
`Cassidian Commc’ns, Inc. v. MicroDATA GIS, Inc.,
`No. 2:12-CV-162-JRG, D.I. 71 (E.D. Tex. June 20, 2013) ................................ 34
`
`Constant v. Advanced Micro-Devices, Inc.,
`848 F.2d 1560 (Fed. Cir. 1988) .......................................................................... 38
`
`Huawei Technologies Co., Ltd. v. T-Mobile US, Inc. and T-Mobile
`USA, Inc.,
`Case No. 2:16-cv-0056 (E.D. Tex. Jan. 15, 2016) ............................................... 1
`
`In re NTP,
`654 F.3d 1279 (Fed. Cir. 2011) .......................................................................... 38
`
`Lextron Sys., Inc. v. Microsoft Corp.,
`No. C-04-0588 VRW, D.I. 74 (N.D. Cal. June 1, 2005) .................................... 34
`
`LG Elecs. v. Core Wireless Licensing S.A.R.L.,
`IPR2015-01988, Paper 7 (PTAB Apr. 1, 2016) ................................................. 36
`
`Liberty Mutual Ins. Co. v. Progressive Cas. Ins. Co.,
`CBM2012-00003, Paper 7 (PTAB Oct. 25, 2012) ....................................... 78, 79
`
`PharmaStem Therapeutics, Inc. v. ViaCell, Inc.,
`491 F.3d 1342 (Fed. Cir. 2007) .......................................................................... 38
`
`Tokyo Keiso Co., v. SMC Corp.,
`307 F. App’x 446 (Fed. Cir. 2009) ..................................................................... 38
`
`STATUTES
`
`35 U.S.C. § 102 .................................................................................................. 35, 38
`
`35 U.S.C. § 103(a) ............................................................................................passim
`
`35 U.S.C. § 365(c) ................................................................................................... 35
`
`iii
`
`

`
`
`
`OTHER AUTHORITIES
`
`37 C.F.R. § 42.8 ......................................................................................................... 1
`
`37 C.F.R § 42.10(b) ................................................................................................... 1
`
`37 C.F.R. § 42.15(a) ................................................................................................... 2
`
`37 C.F.R. § 42.22(a)(1) .............................................................................................. 2
`
`37 C.F.R. § 42.100(b) .............................................................................................. 31
`
`37 C.F.R. § 42.104(a) ................................................................................................. 2
`
`37 C.F.R. § 42.104(b)(1)-(2) ...................................................................................... 2
`
`77 Fed. Reg. 48,756, 48,766 (Aug. 14, 2012) ......................................................... 31
`
`77 Fed. Reg. 48,766 (Aug. 14, 2012)....................................................................... 32
`
`
`
`
`
`iv
`
`

`
`
`
`LIST OF EXHIBITS
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN779-1001
`
`’779 Patent
`
`U.S. Patent No. 8,537,779
`
`NSN779-1002
`
`’779
`Application File
`History
`
`File History of U.S. Patent No. 8,537,779
`(Appl. No. 12/581,575)
`
`NSN779-1003
`
`Lanning
`Declaration
`
`Declaration of Mark R. Lanning under 37
`C.F.R. § 1.68
`
`NSN779-1004
`
`Bertenyi
`Declaration
`
`Declaration of Balazs Bertenyi under 37
`C.F.R. § 1.68
`
`NSN779-1005
`
`Newton’s
`Dictionary
`
`Newton’s Telecom Dictionary (18th ed.
`2002)
`
`NSN779-1006
`
`Patent Owner’s
`District Court
`Complaint
`
`Huawei Techs. Co. Ltd. v. T-Mobile US, Inc.,
`2:16-cv-00052, D.I. 1 (E.D. Tex. Jan. 15,
`2016)
`
`NSN779-1007
`
`Soderbacka
`
`NSN779-1008
`
`Nokia
`Submission
`
`U.S. Printed Patent Application Number US
`2003/0114158 to inventors Lauri Soderbacka,
`Jarmo Virtanen, Kari Kauranen, Hannu
`Hietalahti, Jari Liukkonen, and Antti
`Pitkamaki, titled “Intersystem Handover of a
`Mobile Terminal”
`
`3GPP TSG-SA2 Meeting #57, TDoc S2-
`072255, GPRS functionality for IMS
`emergency services support, submitted by
`Nokia Siemens Networks and Nokia,
`available as “S2-072255.zip” at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_57_Beijing/Docs/ (uploaded 4/27/2007
`at 9:29 AM)
`
`v
`
`

`
`
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN779-1009
`
`Motorola
`Submission
`
`NSN779-1010
`
`S2#57 Meeting
`Report
`
`NSN779-1011
`
`S2#57 Attendee
`List
`
`NSN779-1012
`
`Huawei
`Submission
`
`3GPP TSG SA WG2 Architecture – S2#57,
`TDoc S2-072252, Handover from non-3GPP
`Access to E-UTRAN (TS 23.402), submitted
`by Motorola, available as “S2-072252.zip” at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_57_Beijing/Docs/ (uploaded 4/27/2007
`at 9:28 AM)
`
`3GPP TSG SA WG2 Architecture—S2#57,
`Report of SA WG2 meeting #57 (April 23-27,
`2007), available as
`“Approved_Report_v100_SA2_57.zip” at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_57_Beijing/Report/ (uploaded
`6/23/2009)
`
`List of Registered Attendees, Meeting
`SA2#57, available at
`http://webapp.etsi.org/3GPPRegistration/fVie
`wPart.asp?mid=26044 (last accessed
`1/9/2017)
`
`3GPP TSG SA WG2 Architecture – S2#58,
`TDoc S2-072558, Attach Type in attach
`procedure, submitted by Huawei, available as
`“S2-072558.zip” at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_58_Orlando/Docs/ (uploaded
`6/19/2007 at 12:59 PM)
`
`vi
`
`

`
`
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN779-1013
`
`Nokia-Huawei
`Submission
`
`NSN779-1014
`
`Ericsson
`Submission
`
`NSN779-1015 About 3GPP
`
`NSN779-1016
`
`3GPP
`Delegates’
`Corner
`
`NSN779-1017
`
`3GPP FAQ
`
`3GPP TSG SA WG2 Meeting #61, TDoc S2-
`075847, Principle of differentiating Initial
`Attach and Handover Attach to EPS via LTE
`or non-3GPP IP Access, submitted by Nokia
`Siemens Networks, Nokia, and Huawei,
`available as “S2-075847.zip” at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_61_Ljubljana/Docs/ (uploaded
`11/16/2007 at 4:17 PM)
`
`3GPP TSG SA WG2 Architecture –S2#57,
`TDoc S2-071738, GW selection for LTE and
`non-3GPP accesses, submitted by Ericsson,
`available as “S2-071738.zip” at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_57_Beijing/Docs/ (uploaded 4/18/2007
`at 1:33 PM)
`
`About 3GPP Home, 3GPP: A Global
`Initiative, available at
`http://www.3gpp.org/about-3gpp/about-3gpp
`(last accessed 1/10/2017)
`
`Delegates Corner, 3GPP: A Global Initiative,
`available at
`http://www.3gpp.org/specifications-
`groups/delegates-corner (last accessed
`1/10/2017)
`
`3GPP FAQs, 3GPP: A Global Initiative,
`available at
`http://www.3gpp.org/contact/3gpp-faqs (last
`accessed 1/10/2017)
`
`vii
`
`

`
`
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN779-1018
`
`S2#57
`Document List
`
`NSN779-1019
`
`TS 23.060
`
`3GPP Public FTP File Server TSG S2#57
`Document List, available at
`http://www.3gpp.org/ftp/tsg_sa/WG2_Arch/T
`SGS2_57_Beijing/Docs/ (last accessed
`1/9/2017)
`
`3GPP TS 23.060 V4.6.0 (2002-09), 3rd
`Generation Partnership Project; Technical
`Specification Group Services and System
`Aspects; GPRS Service description Stage 2
`(Release 4), available at
`https://portal.3gpp.org/desktopmodules/Speci
`fications/SpecificationDetails.aspx?specificati
`onId=758 (uploaded on 10/02/2002)
`
`NSN779-1020
`
`* * *
`
`European File History of International
`Application Number PCT/CN2008/070909
`
`NSN779-1021
`
`TS 23.401
`
`3GPP TS 23.401 V0.4.1 (2007-04), 3rd
`Generation Partnership Project; Technical
`Specification Group Services and System
`Aspects; GPRS enhancements for E-UTRAN
`access (Release 8), available at
`https://portal.3gpp.org/desktopmodules/Speci
`fications/SpecificationDetails.aspx?specificati
`onId=849# (uploaded on 4/16/2007)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`NSN779-1023
`
`Joint Claim
`Construction
`Chart
`
`Joint Claim Construction Chart, Huawei
`Techs. Co. Ltd. v. T-Mobile US, Inc., 2:16-cv-
`00056, D.I. 110 (E.D. Tex. Dec. 08, 2016)
`
`NSN779-1024
`
`Lanning CV
`
`Curriculum Vitae of Mark R. Lanning
`
`viii
`
`

`
`Exhibit
`
`Short Name
`
`Description
`
`NSN779-1025
`
`Cassidian Claim
`Construction
`Order
`
`Cassidian Commc’ns, Inc. v. MicroDATA
`GIS, Inc., No. 2:12-CV-162-JRG, Paper 71,
`(E.D. Tex. June 20, 2013)
`
`NSN779-1026
`
`Lextron Claim
`Construction
`Order
`
`Lextron Sys., Inc. v. Microsoft Corp., No. C-
`04-0588 VRW, Paper 74, at 15 (N.D. Cal.
`June 1, 2005)
`
`NSN779-1027
`
`TS 24.008
`
`NSN779-1050
`
`TR 21.900
`
`3GPP TS 24.008 V7.7.0 (2007-03), 3rd
`Generation Partnership Project; Technical
`Specification Group Core Network and
`Terminals; Mobile radio interface Layer 3
`specification; Core network protocols’ Stage
`3 (Release 7), available at
`https://portal.3gpp.org/desktopmodules/Speci
`fications/SpecificationDetails.aspx?specificati
`onId=1015 (uploaded 3/20/2007)
`
`3GPP TS 21.900 V6.0.0 (2003-09), 3rd
`Generation Partnership Project; Technical
`Specification Group Services and System
`Aspects; Technical Specification Group
`working methods (Release 5) available at
`https://portal.3gpp.org/desktopmodules/Speci
`fications/SpecificationDetails.aspx?specificati
`onId=555 (uploaded 9/26/2003)
`
`
`
`ix
`
`
`
`
`
`

`
`
`
`
`
`ACRONYM GLOSSARY
`
`Acronym Term
`
`3GPP
`
`3rd Generation Partnership Project
`
`2G
`
`3G
`
`4G
`
`Second Generation
`
`Third Generation
`
`Fourth Generation
`
`AAA
`
`Authentication, Authorization, and Accounting
`
`eNB
`
`Evolved NodeB
`
`ePDG
`
`Evolved Packet Data Gateway
`
`GGSN
`
`Gateway GPRS Support Node
`
`GPRS
`
`General Packet Radio Service
`
`HLR
`
`Home Location Register
`
`HSS
`
`LTE
`
`NB
`
`Home Subscriber Server
`
`Long Term Evolution
`
`NodeB
`
`PCRF
`
`Policy and Charging Rules Function
`
`PDN
`
`Packet Data Network
`
`PDN GW Packet Data Network Gateway
`
`PDP
`
`Packet Data Protocol
`
`POSITA
`
`Person of Ordinary Skill in the Art
`
`PSTN
`
`Public Switched Telephone Network
`
`RAB
`
`Radio Access Bearer
`
`x
`
`

`
`
`
`
`
`Acronym Term
`
`RAN
`
`Radio Access Network
`
`RAT
`
`Radio Access Technology
`
`RNC
`
`Radio Network Controller
`
`S-GW
`
`Serving Gateway
`
`SGSN
`
`Serving GPRS Support Node
`
`UE
`
`User Equipment
`
`UMTS
`
`Universal Mobile Telecommunications System
`
`xi
`
`

`
`
`
`I. MANDATORY NOTICES UNDER 37 C.F.R. § 42.8
`
`A. Real Party in Interest
`
`The real party in interest for Petitioners are (1) Nokia Solutions and Networks
`
`US LLC, (2) Nokia Solutions and Networks Oy (“NSN” or “Petitioners”), (3) T-
`
`Mobile USA, Inc. and (4) T-Mobile US, Inc.
`
`B. Related Matters
`
`The ’779 Patent is at issue in Huawei Technologies Co., Ltd. v. T-Mobile US,
`
`Inc. and T-Mobile USA, Inc., Case No. 2:16-cv-0056 (E.D. Tex. Jan. 15, 2016). On
`
`June 10, 2016, NSN filed a motion to intervene, which was granted by the district
`
`court on June 14, 2016.
`
`In that matter, Patent Owner also asserts, inter alia, U.S. Patent Nos.
`
`8,638,750 and 8,031,677. The ’779 Patent is not related to either of these two patents.
`
`Petitioners are concurrently filing a petition for an inter partes review challenging
`
`certain claims of U.S. Patent No. 8,031,677.
`
`C. Designation of Counsel
`
`Lead counsel is S. Benjamin Pleune (Reg. No. 52,421) and backup counsel
`
`are John D. Haynes (Reg. No. 44,754) and Michael C. Deane (Reg. No. 70,389) each
`
`of Alston & Bird LLP, 101 S. Tryon Street, Suite 4000, Charlotte, NC 28280, Tel:
`
`704.444.1098, Fax: 704.444.1935. Pursuant to 37 C.F.R § 42.10(b), Powers of
`
`Attorney are being submitted with this Petition.
`
`- 1 -
`
`

`
`
`
`D. Service Information
`
`Petitioners consent to electronic service directed to ben.pleune@alston.com
`
`and nokia-huawei@alston.com.
`
`II. GROUNDS FOR STANDING UNDER 37 C.F.R. § 42.104(a)
`
`Petitioners certify that U.S. Patent No. 8,537,779 (“the ’779 Patent”) is
`
`available for inter partes review (“IPR”) and that Petitioners are not barred or
`
`estopped from requesting an IPR challenging Claims 1, 4 and 9-11 (“the Challenged
`
`Claims”) on the grounds identified herein.
`
`III. PAYMENT OF FEES
`
`Petitioners authorize the Patent Office to charge Deposit Account No. 16-
`
`0605 for the Petition fee set forth in 37 C.F.R. § 42.15(a) and for any additional fees.
`
`IV. OVERVIEW OF CHALLENGES AND RELIEF REQUESTED
`
`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)-(2), Petitioners request
`
`cancellation of Claims 1, 4, and 9-11 in the ’779 Patent on the following grounds:
`
`Count 1: Claims 1, 4, and 9-11 are unpatentable under 35 U.S.C. § 103(a)
`
`over the Admitted Prior Art (“the ’779 APA”) in view of U.S. Patent Application
`
`US 2003/0114158 to Soderbacka et al. (“Soderbacka”).
`
`Count 2: Claims 1, 4, and 9-11 are unpatentable under 35 U.S.C. § 103(a)
`
`over the Admitted Prior Art (“the ’779 APA”) in view of S2-072255 (“the Nokia
`
`Submission”).
`
`- 2 -
`
`

`
`
`
`Count 3: Claims 1, 4, and 9-11 are unpatentable under 35 U.S.C. § 103(a)
`
`over S2-072252 (“the Motorola Submission”) in view of S2-072255 (“the Nokia
`
`Submission”).
`
`Count 4: Claims 1, 4, and 9-11 are unpatentable under 35 U.S.C. § 103(a)
`
`over S2-072252 (“the Motorola Submission”) in view of U.S. Patent Application US
`
`2003/0114158 to Soderbacka et al. (“Soderbacka”).
`
`
`
`
`
`- 3 -
`
`

`
`
`
`V.
`
`INTRODUCTION
`
`The alleged invention of U.S. Patent No. 8,537,779 (“the ’779 Patent”) is
`
`simply “a specific parameter sent within a known message, within a known system.
`
`The parameter capitalizes on an obvious consequence of gradual changes being
`
`made during the standardization process.” NSN779-1003, ¶92. Ultimately, the ’779
`
`Patent claims functionality that “was taught in Computer Communications 101.”
`
`NSN779-1003, ¶39.
`
`The ’779 Patent is directed to a method of distinguishing an “Attach Request”
`
`message during handover in a 3GPP LTE data network that uses a non-3GPP (e.g.,
`
`Wi-Fi) access point. As explained in greater detail below (and in the admitted prior
`
`art), the concept of handover from a non-3GPP access point (such as a Wi-Fi router)
`
`to a 3GPP base station (such as a cell phone tower) was a known procedure. At the
`
`time of the alleged invention, the 3GPP standards body had already defined the
`
`foundational aspects of the procedure. Indeed, the 3GPP standards body had already
`
`decided that the procedure would closely mirror an “initial” Attach procedure—that
`
`is, the Attach procedure conducted when a mobile phone first joins the network.
`
`However, the 3GPP standards body had not yet defined some of the minor, routine
`
`details, for example, how the network would distinguish an Attach Request message
`
`caused by an “initial” Attach from an Attach Request message caused by a
`
`“handover” Attach.
`
`- 4 -
`
`

`
`
`
`The Patent Owner’s purported invention was to use a data field (i.e.,
`
`information element (IE)) in the Attach Request message to distinguish the “initial”
`
`Attach Request message from the “handover” Attach Request message. For
`
`example, the ’779 Patent discloses that an “Attach Type” information element might
`
`be set to “0” for an “initial” Attach and set to “1” for a “handover” Attach. NSN779-
`
`1001, at 6:37-44. The admitted prior art shows that this information element was the
`
`only purportedly novel part of the Patent Owner’s claims.
`
`At the time of the ’779 Patent, the use of an information element to distinguish
`
`the purpose of an Attach Request message was a long-existing principle. In fact, the
`
`same Attach Type information element had long been a part of the prior generation
`
`(3G) Attach Request message, where it was used to indicate which type of attach
`
`should be performed. Foreseeing that the standards body might simply carry the
`
`long-existing information element from the 3G Attach Request message into the next
`
`generation (4G) Attach Request message, the Patent Owner filed Chinese
`
`applications covering this obvious detail and, eventually, turned those applications
`
`into the ’779 Patent.
`
`Petitioners respectfully request institution of inter partes review of Claims 1,
`
`4, and 9-11 of the ’779 Patent because the patent examiner never had the opportunity
`
`to contemporaneously review the most relevant prior art (Soderbacka) in connection
`
`with the prior art that Patent Owner admitted was in the existing protocol. During
`
`- 5 -
`
`

`
`
`
`prosecution of the ’779 Patent, Patent Owner did not submit the admitted prior art
`
`(by way of a translation) until years after the patent examiner signed off on the most
`
`relevant references. Therefore, the examiner could not have fully appreciated the
`
`trivial and routine nature of the ’779 Patent’s purported novelty. The examiner also
`
`did not have the benefit of either of the additional references relied on in this Petition
`
`(the Nokia Submission and the Motorola Submission), or the testimony of Mark
`
`Lanning.
`
`VI. BACKGROUND OF THE TECHNOLOGY
`
`The ’779 Patent is closely related to the Patent Owner’s work involving
`
`modifications to 3GPP’s 4G LTE standard. NSN779-1003, ¶41. For example, the
`
`face of the ’779 Patent cites various 3GPP 4G LTE specifications, and Patent
`
`Owner’s complaint in the co-pending district court litigation references Patent
`
`Owner’s involvement in the development of 3GPP standards in support of its
`
`allegations. NSN779-1006, ¶¶7-9. Therefore a brief discussion about 3GPP is
`
`warranted.
`
`A. 3GPP Organization
`
`The 3rd Generation Partnership Project (“3GPP”) is a standards-setting
`
`organization NSN779-1003, ¶42. As cellular telecommunications technology
`
`developed in the late 1980s, network operators began to realize that standardization
`
`was necessary to ensure compatibility of equipment provided by multiple suppliers.
`
`- 6 -
`
`

`
`
`
`Id. Thus, the 3GPP began in 1998 as a joint partnership between several
`
`telecommunications companies to develop and standardize various aspects of 2G,
`
`3G, and 4G mobile network systems Id.
`
`The development of specifications by 3GPP is an ongoing, collaborative effort
`
`involving hundreds of engineers from many companies. NSN779-1003, ¶45.
`
`Members of the various 3GPP working groups submit written contributions and
`
`discussion documents. Id. 3GPP stores and controls all of these documents
`
`electronically and retains them on the public 3GPP server indefinitely. Id.; see also
`
`NSN779-1016, at 2-3; NSN779-1004, ¶21
`
`B. The 3G 3GPP Packet-Switched Network
`
`3GPP originally developed and maintained
`
`the Universal Mobile
`
`Telecommunications System (“UMTS”) 3G cellular network. NSN779-1003, ¶50.
`
`Starting in the mid-2000s, however, 3GPP began developing its Long Term
`
`Evolution (“LTE”) 4G cellular network. Id. ¶58. The relevant technology for the
`
`purported invention of the ’779 Patent relates to modifications to the 4G LTE cellular
`
`network. Id. ¶41.
`
`To appreciate the routine nature of the purported novelty of the ’779 Patent,
`
`it is helpful to trace 3GPP’s network evolution to the 4G LTE architecture.
`
`3GPP UMTS Network Architecture—Early releases of the 3GPP standards
`
`created a network that could only offer voice calls to landline phones or other mobile
`
`- 7 -
`
`

`
`
`
`phones. NSN779-1003, ¶49. This network was commonly called the 2G network. Id.
`
`Given that these early 2G networks only supported voice calls, the 2G network only
`
`needed a circuit-switched core network. Id.
`
`However, by the late 1990s, mobile phone subscribers required more from
`
`their devices than just voice calling capability and wanted access to services like e-
`
`mail and Internet. Id. ¶50. These services required transferring data to and from
`
`subscribers in small chunks called packets. Id. Therefore, 3GPP added a packet-
`
`switched core network. Id.
`
`The 3G packet-switched core network transferred data packets between User
`
`Equipment (UE) (e.g., a mobile phone) and a Packet Data Network (PDN) (e.g., the
`
`Internet). Id. ¶53.
`
`A basic feature of any packet-switched network is the use of intermediate
`
`nodes to route data packets from source to destination. NSN779-1003, ¶52-53. To
`
`create a connection (i.e., a bearer) between the nodes, the 3G UMTS network used
`
`a Packet Data Protocol (PDP) Context between the User Equipment (UE) (e.g., a
`
`mobile phone) and the network nodes in order to transfer the data packets. Id. A
`
`simplified diagram of the logical architecture for the 3G nodes contained within the
`
`packet-switched core network appears below:
`
`- 8 -
`
`

`
`
`
`
`
`NSN779-1003, ¶52. In the 3G UMTS architecture, User Equipment (UE) (e.g., a
`
`mobile phone) uses a wireless radio connection to connect to a mobile phone tower,
`
`commonly referred to in the art as a NodeB (NB). Id. ¶53. The NB typically uses a
`
`wired connection to connect to a Radio Network Controller (RNC). Id. Generally,
`
`several NBs are connected to a given RNC. Id. The RNC is connected using a wired
`
`connection to a nearby Serving GPRS Support Node (SGSN), which retrieves
`
`subscriber information from the Home Location Register (HLR) database. Id. Based
`
`on this information and the user’s desired packet data service (e.g., e-mail, Internet
`
`connection, etc.), the SGSN selected a Gateway GPRS Support Node (GGSN). Id.
`
`In a 3G packet-switched network, the bearer (i.e., connection) from mobile phone to
`
`GGSN is referred to as a specific PDP context, and once the PDP context (i.e.,
`
`connection) was established the mobile phone could send and receive data to and
`
`from the service. Id.
`
`- 9 -
`
`

`
`
`
`To route packets between a mobile phone and the PDN, the 3G architecture
`
`required the SGSN to perform both control-plane and user-plane functions. Id. ¶54.
`
`The 3G Network Shortcomings—In a 3G network, the SGSN is the main
`
`control element. NSN779-1003, ¶55. When initially establishing a PDP context (i.e.,
`
`at “attach”), the SGSN is responsible for “control-plane functions,” such as selecting
`
`a GGSN and performing mobility management (commonly called “handover”). Id.
`
`However, once the PDP context is established, the SGSN is also responsible for
`
`maintaining the connection from the mobile phone to the PDN (Internet). Id. These
`
`are known as “user-plane functions.”
`
`However, this dual-role configuration can create a bottleneck when many
`
`mobile phones were connected to the same SGSN requiring data packet connections.
`
`NSN779-1003, ¶57. Essentially, the SGSN can become too busy with user-plane
`
`messaging and not have sufficient processing power or memory to devote to control-
`
`plane messaging. Id. Stated differently, because the SGSN is tasked with performing
`
`both control-plane and user-plane functions, the SGSN could not be optimized for
`
`either. Id. So in Release 8, the 3GPP standards body decided to define a new
`
`architecture for the packet-switched domain that separated the network equipment
`
`that would be responsible for control- and user-plane messaging. Id. That new
`
`architecture is commonly referred to today as a 4G Long Term Evolution (LTE)
`
`network. Id.
`
`- 10 -
`
`

`
`
`
`At the time of the ’779 Patent, the 3GPP standards body was in the process of
`
`evolving the 3G UMTS network into the 4G LTE network. Id. ¶58.
`
`3GPP 4G LTE Architecture at the Time of the Invention—The 4G network
`
`was, among other things, designed to improve efficiency and speed by separating
`
`the user-plane and the control-plane functions into two new network elements: (1)
`
`the Serving Gateway (S-GW), which handled the user-plane, and (2) the Mobility
`
`Management Entity (MME), which handled the control-plane. NSN779-1003, ¶58.
`
`A simplified representation of this new evolved 4G architecture appears below:
`
`
`
`Id.
`
`In addition, the new 4G LTE network also allowed a mobile phone to access
`
`the packet-switched core network through a non-3GPP (e.g., Wi-Fi) access point,
`
`such as a Wi-Fi router. Id. ¶59. A simplified version of the logical architecture for a
`
`4G packet-switched core network where the mobile phone is connected through a
`
`Wi-Fi (non-3GPP) access point appears below:
`- 11 -
`
`

`
`
`
`Id.
`
`
`
`C. The Attach Procedure at the Time of the Invention
`
`Before a mobile phone can use the data services of a 2G, 3G, or 4G cellular
`
`network, it must first successfully establish a connection with the network. NSN779-
`
`1003, ¶63. While the specific steps of this process differ for each generation of
`
`network, the concepts and objectives are the same—to perform the necessary tasks
`
`to get a connection between the mobile phone and the cellular network. Id. This
`
`long-existing procedure is called the “Attach” procedure. Id. An explanation of the
`
`3G and 4G Attach procedures will help show the trivial and routine nature of the
`
`purported invention and show that the concepts had been used in prior generation
`
`networks.
`
`3G UMTS Initial Attach Procedure—The 3G UMTS “initial” Attach
`
`procedure is used to connect the mobile phone to the 3G network. This procedure is
`
`- 12 -
`
`

`
`
`
`contained in specification TS 23.060 § 6.5 (NSN779-1019). See also NSN779-1003,
`
`¶¶66-72. In the first part of the 3G UMTS Attach procedure, the mobile phone sends
`
`an Attach Request message to a NB, which routes the Attach Request to the SGSN
`
`through the RNC (depicted with reference to the system architecture below).
`
`NSN779-1003, ¶67.
`
`In the 3G UMTS procedure, the Attach Request message contained an
`
`information element called “Attach Type” that “indicates which type of attach is to
`
`be performed.” Id.; NSN779-1019, at 48. The SGSN receives the Attach Request
`
`message with the information element and identifies the contents of the information
`
`element in that message. NSN779-1003, ¶67.
`
`Id. A person of ordinary skill in the art would have understood that an “information
`
`element” is nothing more than the name for a data field inside of a message. Id. ¶68;
`
`
`
`NSN779-1005, at 4.
`
`- 13 -
`
`

`
`
`
`In the second part of the procedure, the SGSN uses information provided by
`
`the mobile phone to select a GGSN (similar to a PDN GW in the 4G network) that
`
`the mobile phone will use to connect to the Internet (i.e., PDN). NSN779-1003, ¶69.
`
`Id.
`
`After the SGSN selects the GGSN, the SGSN sends an Activate PDP Context
`
`Request message to the selected GGSN to create a PDP context (also known as a
`
`“bearer”). Id. ¶70.
`
`
`
`- 14 -
`
`
`
`

`
`
`
`Id.
`
`Once the GGSN receives the message requesting that a bearer (i.e.,
`
`connection) be created, the network, in turn, creates the bearer that will allow the
`
`mobile phone to access the Internet and other services. Id. ¶71.
`
`Id.
`
`The bearer (connection) allows the mobile phone to communicate with the
`
`network and, ultimately, the PDN to receive e-mail and Internet service. Id. ¶72.
`
`
`
`- 15 -
`
`
`
`

`
`
`
`Id.
`
`
`
`The Two 4G Attach Procedures at the Time of the Invention—At the time
`
`of the alleged invention, the 3GPP standards body had defined the foundational
`
`aspects for two different 4G LTE Attach procedures. The first Attach procedure,
`
`similarly called “initial” Attach, was to be used when the mobile phone had no
`
`presence in the network (for example, when the mobile phone was being turned on
`
`for the first time). NSN779-1003, ¶73. The second Attach procedure, called
`
`“handover” Attach, was to be used when the mobile phone had a connection to the
`
`network through a Wi-Fi access point but wanted to handover the connection to a
`
`3GPP base station (for example, when the phone was moving out of range of a Wi-
`
`Fi router). Id. ¶79. The following aspects of the two procedures were all known
`
`before the priority date of the ’779 Patent. See NSN779-1003, ¶¶73-79.
`
`Both Attach procedures start with the same first step as the 3G Attach
`
`procedure: The mobile phone sends an Attach Request message to the network
`
`element in charge of the control-plane functions, which in the 4G LTE network is
`
`the MME (see the two figures below). NSN779-1003, ¶¶74 & 83.
`
`As can be seen in the simplified diagrams below, the only difference between
`
`the 4G “initial” Attach procedure and the 4G “handover” procedure at this step is
`
`that the mobile phone in the “handover” Attach procedure also has a pre-existing
`
`connection through the Wi-Fi access point (which is what it seeks to handover):
`
`- 16 -
`
`

`
`
`
`
`
`
`
`Given that the rest of the limitations of the claims of the ’779 Patent focus on
`
`the “handover” Attach procedure, an explanation of those steps is below.
`
`The “Handover” 4G Attach Procedures at the Time of the Invention—The
`
`Patent Owner admitted in the Chinese priority application (and in Figure 2 of that
`
`application) that the steps below were admitted prior art:
`
`- 17 -
`
`

`
`
`
`First, as noted above, the MME receives an Attach Request message from the
`
`mobile phone. NSN779-1003, ¶83.
`
`
`
`Id.
`
`Second, the MME selects a PDN GW. Id. ¶84. In the “handover” Attach
`
`procedure, the MME needs to ensure that it re-selects the PDN GW that the mobile
`
`phone is connected to using the Wi-Fi access po