`
`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: IPR2017-01518
`
`U.S. Patent No. 9,235,462
`
`____________
`
`
`
`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
`
`
`
`
`
`1
`
`

`

`
`
`TABLE OF CONTENTS
`
`
`LIST OF EXHIBITS ................................................................................................ v
`
`ACRONYM GLOSSARY ....................................................................................... x
`
`I. MANDATORY NOTICES UNDER 37 C.F.R. § 42.8 ................................ 1
`
`A. REAL PARTIES IN INTEREST ..................................................................... 1
`B. RELATED MATTERS ................................................................................. 1
`C. DESIGNATION OF COUNSEL ...................................................................... 3
`D.
`SERVICE INFORMATION............................................................................ 3
`
`II. GROUNDS FOR STANDING UNDER 37 C.F.R. § 42.104(a) ................. 3
`
`III. PAYMENT OF FEES ................................................................................... 4
`
`IV. OVERVIEW OF CHALLENGES AND RELIEF REQUESTED ............ 5
`
`V.
`
`INTRODUCTION ......................................................................................... 6
`
`VI. OVERVIEW OF THE ’462 PATENT ......................................................... 7
`
`VII. BACKGROUND OF TECHNOLOGY .....................................................11
`
`A. THE 3GPP ORGANIZATION ....................................................................12
`B. TUNNELING IN UMTS (3G) AND LTE (4G) PACKET-SWITCHED
`NETWORKS ............................................................................................13
`C. TUNNELING PROTOCOLS AND PRIOR ART RESPONSE MESSAGES ...........18
`D.
`FAULT ISOLATION AND FAULT MANAGEMENT ......................................23
`
`VIII. PROSECUTION HISTORY OF THE ’462 PATENT .............................26
`
`IX. CLAIM CONSTRUCTION ........................................................................33
`
`X.
`
`PRIOR ART REFERENCES .....................................................................33
`
`A. TS 23.401 V8.1.0 ..................................................................................36
`B. TS 29.274 V0.3.0 ..................................................................................37
`C. ÅBERG ...................................................................................................38
`D. VASSEUR ...............................................................................................38
`
`
`
`i
`
`

`

`
`
`XI.
`
`INVALIDITY OF CLAIMS 14 AND 16 OF THE ’462 PATENT ..........39
`
`A. COUNT 1: CLAIMS 14 AND 16 ARE UNPATENTABLE UNDER 35 U.S.C.
`§103(A) BASED ON TS 29.274 V0.3.0 AND TS 23.401 V8.1.0 IN VIEW
`OF ÅBERG ..............................................................................................40
`B. COUNT 2: CLAIMS 14 AND 16 ARE UNPATENTABLE UNDER 35 U.S.C.
`§103(A) BASED ON TS 29.274 V0.3.0 AND TS 23.401 V8.1.0 IN VIEW
`OF VASSEUR...........................................................................................58
`C. THE COUNTS ARE NOT REDUNDANT .....................................................68
`
`XII. CONCLUSION ............................................................................................69
`
`
`
`ii
`
`
`
`
`
`

`

`
`
`
`
`
`CASES
`
`TABLE OF AUTHORITIES
`
`Page(s)
`
`In re NTP,
`654 F.3d 1279 (Fed. Cir. 2011)................................................................................................36
`
`LG Elecs., Inc. v. Core Wireless Licensing S.A.R.L.,
`IPR2015-01986, Paper 34 (PTAB Apr. 1, 2016) .....................................................................35
`
`LG Elecs., Inc. v. Core Wireless Licensing S.A.R.L.,
`IPR2015-01988, Paper 7 (PTAB Apr. 1, 2016) .......................................................................35
`
`Liberty Mutual Ins. Co. v. Progressive Cas. Ins. Co.,
`CBM2012-00003, Paper 7 (PTAB Oct. 25, 2012)...................................................................69
`
`Nokia Solutions and Networks US LLC, et al. v. Huawei Techs. Co. Ltd.,
`IPR2017-00588, Paper 2 (PTAB Jan. 10, 2017) ........................................................................2
`
`Nokia Solutions and Networks US LLC, et al. v. Huawei Techs. Co. Ltd.,
`IPR2017-00695, Paper 3 (PTAB Jan. 20, 2017) ........................................................................1
`
`Nokia Solutions and Networks US LLC, et al. v. Huawei Techs. Co. Ltd.,
`IPR2017-00695 (PTAB Jan. 20, 2017) ......................................................................................1
`
`T-Mobile US, Inc., et al. v. Huawei Techs. Co. Ltd.,
`IPR2017-00696, Paper 4 (PTAB Jan. 19, 2017) ........................................................................2
`
`T-Mobile US, Inc., et al. v. Huawei Techs. Co. Ltd.,
`IPR2017-00697, Paper 4 (PTAB Jan. 20, 2017) ........................................................................2
`
`STATUTES
`
`35 U.S.C. § 102 ........................................................................................................................34, 35
`
`35 U.S.C. § 102(a) .........................................................................................................................34
`
`35 U.S.C. §§ 102(a) .....................................................................................................27, 36, 37, 38
`
`35 U.S.C. § 102(b) .........................................................................................................................34
`
`35 U.S.C. § 102(e) .........................................................................................................................38
`
`35 U.S.C. § 103(a) ...............................................................................................................5, 40, 58
`
`35 U.S.C. § 112 ..............................................................................................................................27
`
`
`
`iii
`
`

`

`
`
`OTHER AUTHORITIES
`OTHER AUTHORITIES
`
`37 C.F.R. § 42.8 ...............................................................................................................................1
`37 C.F.R. § 42.8 ............................................................................................................................. ..1
`
`37 C.F.R § 42.10(b) .........................................................................................................................3
`37 C.F.R § 42.10(b) ....................................................................................................................... ..3
`
`37 C.F.R. § 42.15(a).........................................................................................................................4
`37 C.F.R. § 42.15(a) ....................................................................................................................... ..4
`
`37 C.F.R. § 42.22(a)(1) ....................................................................................................................5
`37 C.F.R. § 42.22(a)(1) .................................................................................................................. ..5
`
`37 C.F.R. § 42.101(b) ......................................................................................................................3
`37 C.F.R. § 42.101(b) .................................................................................................................... ..3
`
`37 C.F.R. § 42.104(a).......................................................................................................................3
`37 C.F.R. § 42.104(a) ..................................................................................................................... ..3
`
`37 C.F.R. § 42.104(b)(1)-(2) ............................................................................................................5
`37 C.F.R. § 42.104(b)(1)-(2) .......................................................................................................... ..5
`
`37 C.F.R. § 42.122 ...........................................................................................................................3
`37 C.F.R. § 42.122 ......................................................................................................................... ..3
`
`
`
`iv
`iV
`
`
`
`
`
`

`

`
`
`
`
`
`
`LIST OF EXHIBITS
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN462-1001
`
`’462 Patent U.S. Patent No. 9,235,462
`
`NSN462-1002
`
`’462 File
`History
`
`File History of U.S. Patent No. 9,235,462
`(Appl. No. 14/228,825)
`
`NSN462-1003
`
`* * *
`
`Reserved
`
`NSN462-1004
`
`* * *
`
`Declaration of Balazs Bertenyi under 37
`C.F.R. § 1.68
`
`NSN462-1005
`
`* * *
`
`PCT International Preliminary Report on
`Patentability (Appl. No.
`PCT/CN2009/072007)
`
`NSN462-1006
`
`’195
`Application
`File History
`
`File History of U.S. Patent No. 8,938,640
`(Appl. No. 12/982,195)
`
`NSN462-1007
`
`TS 23.401
`V8.1.0
`
`3GPP TS 23.401 V8.1.0 (2008-03), 3rd
`Generation Partnership Project; Technical
`Specification Group Services and System
`Aspects; General Packet Radio Service
`(GPRS) enhancements for Evolved Universal
`Terrestrial Radio Access Network (E-UTRAN)
`access (Release 8), available at
`https://portal.3gpp.org/desktopmodules/Specif
`ications/SpecificationDetails.aspx?specificatio
`nId=849 (uploaded 3/25/2008)
`
`v
`
`

`

`
`
`
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN462-1008
`
`TS 29.274
`V0.3.0
`
`TS 29.274 V0.3.0 (2008-05), 3rd Generation
`Partnership Project; Technical Specification
`Group Core Network and Terminals; 3GPP
`Evolved Packet System; Evolved GPRS
`Tunnelling Protocol for EPS (GTPv2); Stage 3
`(Release 8), available as “C4-
`081444_TS_29274v030.zip” at
`http://list.etsi.org/scripts/wa.exe?A2=ind0805
`&L=3GPP_TSG_CT_WG4&F=&S=&P=2346
`6 (uploaded 5/16/2008)
`
`NSN462-1009
`
`Åberg
`
`U.S. Patent No. 6,785,243 to Åberg
`
`NSN462-1010
`
`Vasseur
`
`U.S. Patent No. 8,531,976 to Vasseur
`
`NSN462-1011
`
`Wu
`
`U.S. Pub. No. 2007/0121647 to Wu
`
`NSN462-1012
`
`TS 23.060
`V8.1.0
`
`NSN462-1013
`
`TS 29.060
`V8.4.0
`
`3GPP TS 23.060 V8.1.0 (2008-06), 3rd
`Generation Partnership Project; Technical
`Specification Group Services and System
`Aspects; General Packet Radio Service
`(GPRS); Service description; Stage 2 (Release
`8), available at
`https://portal.3gpp.org/desktopmodules/Specif
`ications/SpecificationDetails.aspx?specificatio
`nId=758# (uploaded 6/9/2008)
`
`3GPP TS 29.060 V8.4.0 (2008-06), Technical
`Specification 3rd Generation Partnership
`Project; Technical Specification Group Core
`Network and Terminals; General Packet
`Radio Service (GPRS); GPRS Tunnelling
`Protocol (GTP) across the Gn and Gp
`interface (Release 8), available at
`https://portal.3gpp.org/desktopmodules/Specif
`ications/SpecificationDetails.aspx?specificatio
`nId=1595 (uploaded 6/9/2008)
`
`vi
`
`

`

`
`
`
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN462-1014
`
`Tdoc C4-
`090262
`
`NSN462-1015
`
`Tdoc C4-
`090263
`
`NSN462-1016
`
`Giorgi Gulbani
`E-Mail
`
`NSN462-1017 About 3GPP
`
`NSN462-1018
`
`3GPP FAQs
`
`3GPP TSG CT WG4 Meeting #42, Tdoc C4-
`090262, Cause IE (Feb. 9-19, 2009), available
`as “C4-090262.zip” at
`http://www.3gpp.org/ftp/tsg_ct/WG4_protocol
`lars_ex-
`CN4/TSGCT4_42_San_Antonio_2009
`_02/Docs/ (uploaded 2/23/2009 at 8:32 AM)
`
`3GPP TSG CT WG4 Meeting #42, Tdoc C4-
`090263, Cause IE (Feb. 9-19, 2009), available
`as “C4-090263.zip” at
`http://www.3gpp.org/ftp/tsg_ct/WG4_protocol
`lars_ex-
`CN4/TSGCT4_42_San_Antonio_2009
`_02/Docs/ (uploaded 2/23/2009 at 8:32 AM)
`
`Listserv 16.0, 3GPP_TSG_CT_WG4
`Archives, available at
`http://list.etsi.org/scripts/wa.exe?A2=ind0805
`&L=3GPP_TSG_CT_WG4&F=&S=&P=2346
`6 (uploaded 5/16/2008)
`
`About 3GPP Home, 3GPP: A GLOBAL
`INITIATIVE, available at
`http://www.3gpp.org/about-3gpp/about-3gpp
`
`3GPP FAQs, 3GPP: A GLOBAL INITIATIVE,
`available at
`http://www.3gpp.org/contact/3gpp-faqs
`
`NSN462-1019
`
`3GPP
`Delegates’
`Corner
`
`Delegates Corner, 3GPP: A GLOBAL
`INITIATIVE, available at
`http://www.3gpp.org/specifications-
`groups/delegates-corner
`
`NSN462-1020
`
`3GPP Working
`Procedures
`
`Working Procedures, 3GPP: A GLOBAL
`INITIATIVE, available at
`http://www.3gpp.org/specifications-
`groups/working-procedures
`
`vii
`
`

`

`
`
`
`
`Exhibit
`
`Short Name
`
`Description
`
`NSN462-1021
`
`Newton’s
`Telecom
`Dictionary
`
`Relevant sections of: Harry Newton, Newton's
`Telecom Dictionary: The Authoritative
`Resource for Telecommunications,
`Networking, the Internet and Information
`Technology (18th ed. 2002)
`
`NSN462-1022
`
`NSN462-1023
`
`IEEE Standard
`Glossary of
`Computer
`Networking
`Terminology
`
`Microsoft’s
`Computer
`Dictionary
`
`NSN462-1024
`
`* * *
`
`Relevant sections of: IEEE Computer Society,
`IEEE Standard Glossary of Computer
`Networking Terminology, IEEE Std 610.7-
`1995 (1995)
`
`Relevant sections of: Microsoft, Computer
`Dictionary (5th ed. 2002)
`
`Huawei Techs. Co. Ltd. v. T-Mobile US, Inc.,
`2:16-cv-00052, Paper 1 (E.D. Tex. Jan. 15,
`2016)
`
`NSN462-1025
`
`* * *
`
`Curriculum Vitae of Mark. R. Lanning
`
`NSN462-1026
`
`* * *
`
`NSN462-1027
`to
`NSN462-1029
`
`NSN462-1030
`
`
`
`
`
`Huawei Techs. Co. Ltd. v. T-Mobile US, Inc.,
`2:16-cv-00052, Paper 110 (E.D. Tex. Dec. 9,
`2016) (Joint 4-3 Statement)
`
`Reserved
`
`Declaration of Mark R. Lanning under 37
`C.F.R. § 1.68
`
`viii
`
`

`

`Exhibit
`
`Short Name
`
`Description
`
`3GPP TR 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/Specif
`ications/SpecificationDetails.aspx?specificatio
`nId=555 (uploaded 9/26/2003)
`
`NSN462-1050
`
`TR 21.900
`V6.0.0
`
`
`
`ix
`
`
`
`
`
`
`
`

`

`ACRONYM GLOSSARY
`
`Acronym
`
`Term
`
`3GPP
`
`GPRS
`
`UE
`
`NB
`
`eNB
`
`RNC
`
`SGSN
`
`GGSN
`
`S-GW
`
`P-GW
`
`PDN
`
`PDP
`
`3rd Generation Partnership Project
`
`General Packet Radio Service
`
`User Equipment
`
`NodeB (3G)
`
`Evolved NodeB (4G)
`
`Radio Network Controller (3G)
`
`Serving GPRS Support Node (3G)
`
`Gateway GPRS Support Node (3G)
`
`Serving Gateway (4G)
`
`PDN Gateway (4G)
`
`Packet Data Network
`
`Packet Data Protocol
`
`PDP Context
`
`Packet Data Protocol Context
`
`x
`
`
`
`
`
`
`
`
`
`

`

`
`
`I. MANDATORY NOTICES UNDER 37 C.F.R. § 42.8
`
`A. Real Parties in Interest
`
`The real parties in interest for Petitioners are (1) Nokia Solutions and
`
`Networks US LLC, (2) Nokia Solutions and Networks Oy (collectively, “NSN” or
`
`“Petitioners”), (3) T-Mobile US, Inc., and (4) T-Mobile USA, Inc. (collectively “T-
`
`Mobile”).
`
`B. Related Matters
`
`The focus of this Petition for inter partes review is Claim 16 of U.S. Patent
`
`No. 9,235,462 (“the ’462 Patent”). Petitioners respectfully request joinder with
`
`Nokia Solutions and Networks US LLC, et al. v. Huawei Techs. Co. Ltd., IPR2017-
`
`00695 (PTAB Jan. 20, 2017), which challenges claims 14, 15, and 17-24 of the ’462
`
`Patent.
`
`The ’462 Patent is at issue in Huawei Technologies Co., Ltd. v. T-Mobile US,
`
`Inc. and T-Mobile USA, Inc., Case No. 2:16-cv-0052 (E.D. Tex.). On June 10, 2016
`
`NSN filed a motion to intervene, which was granted by the district court on June 14,
`
`2016. On January 20, 2017, Petitioners filed a petition for inter partes review of
`
`claims 14, 15, and 17-24 of the ’462 Patent. See Nokia Solutions and Networks US
`
`LLC, et al. v. Huawei Techs. Co. Ltd., IPR2017-00695, Paper 3 (PTAB Jan. 20,
`
`2017). That petition challenged the claims asserted by Huawei in Huawei
`
`- 1 -
`
`

`

`
`
`Technologies Co., Ltd. v. T-Mobile US, Inc. and T-Mobile USA, Inc., Case No. 2:16-
`
`cv-0052 (E.D. Tex.).
`
`On March 13, 2017, Huawei served amended infringement contentions
`
`seeking for the first time to assert Claim 16 and filed a motion with the District Court
`
`seeking permission to supplement its infringement contentions. Petitioners objected
`
`to Huawei’s late amendment in the district court action. But on April 22, 2017 the
`
`District Court granted Huawei’s motion and permitted Huawei to assert Claim 16.
`
`In the same litigation, Huawei also asserts, inter alia, U.S. Patent Nos.
`
`8,069,365, 8,719,617, and 8,867,339. The ’462 Patent is not related to any of these
`
`three patents. Petitioners have also filed a petition for an IPR challenging certain
`
`claims of U.S. Patent No. 8,867,339. See Nokia Solutions and Networks US LLC, et
`
`al. v. Huawei Techs. Co. Ltd., IPR2017-00588, Paper 2 (PTAB Jan. 10, 2017). T-
`
`Mobile has filed petitions for IPR challenging certain claims of U.S. Patent Nos.
`
`8,069,365 and 8,719,617. See T-Mobile US, Inc., et al. v. Huawei Techs. Co. Ltd.,
`
`IPR2017-00696, Paper 4 (PTAB Jan. 19, 2017); T-Mobile US, Inc., et al. v. Huawei
`
`Techs. Co. Ltd., IPR2017-00697, Paper 4 (PTAB Jan. 20, 2017).
`
`With respect to the present Petition, NSN is concurrently filing a motion to
`
`join with the previously-filed petition. Such a motion should be granted, inter alia,
`
`because the present Petition (1) was filed without any waste of time and in advance
`
`- 2 -
`
`

`

`
`
`of the deadline for institution; and (2) relies on the same prior art as the previously-
`
`filed petition.
`
`C. Designation of Counsel
`
`Lead counsel is S. Benjamin Pleune (Reg. No. 52,421) and backup counsel
`
`are J. Ravindra Fernando (Reg. No. 73,762), Derek S. Neilson (Reg. No. 65,447),
`
`and John D. Haynes (Reg. No. 44,754), 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.
`
`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 the ’462 Patent is available for inter partes review
`
`(“IPR”) and that Petitioners should not be barred or estopped from requesting an IPR
`
`challenging Claims 14 and 16 (“the Challenged Claims”) on the grounds identified
`
`herein. This petition is accompanied by a request for joinder and therefore pursuant
`
`to 37 C.F.R. § 42.122 the time period set forth in §42.101(b) shall not apply.
`
`- 3 -
`
`

`

`
`
`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.
`
`
`
`
`
`- 4 -
`
`

`

`
`
`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 14 and 16 in the ’462 Patent on the following grounds:
`
`Count 1: Claims 14 and 16 are unpatentable under 35 U.S.C. §103(a) based
`
`on TS 29.274 V0.3.0 and TS 23.401 V8.1.0 in view of Åberg.
`
`Count 2: Claims 14 and 16 are unpatentable under 35 U.S.C. §103(a) based
`
`on TS 29.274 V0.3.0 and TS 23.401 V8.1.0 in view of Vasseur.
`
`
`
`
`
`
`
`- 5 -
`
`

`

`
`
`V.
`
`INTRODUCTION
`
`U.S. Patent No. 9,235,462 (“the ’462 Patent”) is directed to a tunnel
`
`management system in a telecommunications network. The patent focuses, in
`
`particular, on pre-existing response messages sent when a tunnel management
`
`request fails. Within these response messages, the patent claims as inventive the
`
`mere addition of information that indicates which of two nodes caused the failure.
`
`But this idea was not new. Identifying the specific node responsible for a
`
`failure is “Computer Communications 101.” See NSN462-1030, at ¶39. It is a
`
`textbook application of the concepts of fault management and fault isolation, which
`
`pre-date cellular networks. See NSN462-1030, at ¶¶85-95. Moreover, these concepts
`
`were obvious to try in a 4G LTE network (where two nodes could potentially be at
`
`fault) given its architecture as compared to its predecessor, the 3G UMTS network
`
`(where only one node could potentially be at fault for similar failures). NSN462-
`
`1030, at ¶¶69-83. Indeed, multiple prior art references demonstrate that this
`
`technique was old and obvious.
`
`Petitioners therefore respectfully request institution of inter partes review
`
`(IPR) on Claims 14 and 16 of the ’462 Patent.
`
`
`
`
`
`- 6 -
`
`

`

`
`
`VI. OVERVIEW OF THE ’462 PATENT
`
`The ’462 Patent is generally directed to apparatuses, systems, and methods for
`
`fault isolation and tunnel management in a 3rd Generation Partnership Project
`
`(3GPP) cellular network. Fig. 1 of the ’462 Patent illustrates some of the then-
`
`existing components of 3GPP’s 4G Long Term Evolution (LTE) packet-switched
`
`core network (outlined in red):
`
`NSN462-1001, at Fig. 1 (annotation added); see also NSN462-1001, at 1:39-40.
`
`As the ’462 Patent’s Background section explains, an MME would send
`
`“tunnel management” requests to an S-GW.
`
`
`
`
`
`- 7 -
`
`

`

`
`
`NSN462-1001, at Fig. 1 (annotation added). Both the S-GW and a P-GW needed to
`
`process these requests, so the S-GW would forward the request to a P-GW.
`
`Id. (annotation added). The P-GW would process the request and send a response
`
`message to the S-GW.
`
`
`
`Id. (annotation added). And then the S-GW would send a response message back to
`
`
`
`the MME.
`
`- 8 -
`
`

`

`
`
`Id. (annotation added). In the prior art, the response message would contain a “Cause
`
`value” that indicated whether or not the request was successfully processed or not.
`
`As the Background section indicates, this system—including the request and
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`response messaging discussed above—was known in the prior art. See id. at 1:39-
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`
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`53.
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`The purported invention is directed to situations when the original tunnel
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`management request was not successfully processed—that is, when there was a fault
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`or error during the procedure discussed above. As explained in the specification of
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`the ’462 Patent, the fault or error could occur at one of two locations: the S-GW or
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`the P-GW.
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`Id. (annotation added). This was a departure from 4G LTE’s predecessor network,
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`where a similar fault could only originate from one location. Because the 4G LTE
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`architecture allowed faults to occur in two locations instead of one, the ’462 Patent
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`proposed that “[t]he response message [from the S-GW to the MME] also include[]
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`information of the node that causes failure of the tunnel management request.”
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`NSN462-1001, at 4:3-5. This is further illustrated in Figure 2:
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`NSN462-1001, at Fig. 2.
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`
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`As explained more fully below, the claimed invention involves nothing more
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`than the straightforward, well-known application of fault isolation and fault
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`management techniques to a 4G LTE network. As Mr. Lanning explains, not only
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`was this core idea old—predating cellular technology—but it had already been used
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`in prior cellular contexts (i.e., in situations where more than one component might
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`be the cause of a fault). See, e.g., NSN462-1030, at ¶¶85-95, 138-141, 230-233.
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`Indeed, the prior art cited in this Petition establishes that the techniques recited in
`
`the claims—and other, more-sophisticated applications of fault management and
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`isolation—were old and certainly obvious to try in the relevant context of the ’462
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`Patent.
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`VII. BACKGROUND OF TECHNOLOGY
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`The ’462 Patent is generally related to 3GPP’s 4G LTE standard. See also
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`NSN462-1024, at 4-12. Prior to the ’462 Patent’s asserted priority date, 3GPP had
`
`already defined the general architecture of the 4G LTE core network—also known
`
`as the Enhanced Packet System (“EPS”)—as well as the communication protocols
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`and tunnel management messages used by network elements in the EPS. Indeed, the
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`working draft for tunnel management messaging (TS 29.274 V0.3.0) had already
`
`defined not only the basic structure for tunnel management messages but also the
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`specific format for response messages indicating that a tunnel management request
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`had failed.
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`The ’462 Patent’s only purported contribution—node information indicating
`
`which of two nodes caused a fault—was old, too. As explained further below, the
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`concepts of fault management and isolation were well known in the art and had been
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`disclosed in well-known, predecessor 3G UMTS networks and, more generally, in
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`multi-node computer networks.
`
`This section provides an introduction both to the general technology and,
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`more specifically, to the prior art that serves as a basis for this Petition: TS 23.401
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`V8.1.0 (NSN462-1007), which defines the general architecture of 4G LTE core
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`networks; TS 29.274 V0.3.0 (NSN462-1008), which specifies tunnel management
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`request and response messages; and Åberg (NSN462-1009) and Vasseur (NSN462-
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`1010), which disclose methods for identifying which of multiple nodes in a tunnel
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`management system caused a fault.
`
`A. The 3GPP Organization
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`3GPP is a standards-setting organization. As cellular telecommunications
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`technology developed in the late 1980s, network operators began to realize that
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`standardization was necessary to ensure subscriber mobility and compatibility of
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`equipment provided from multiple suppliers. In other words, mobile phone
`
`subscribers wanted to be able connect to their home mobile networks and “roam” on
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`third-party networks. Thus, 3GPP began in 1998 as a joint partnership between
`
`several telecommunications companies to develop and standardize various aspects
`
`of mobile network operator systems. See NSN462-1030, at ¶42; NSN462-1017, at
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`1, 4.
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`The development of specifications by 3GPP is an ongoing, collaborative effort
`
`involving hundreds of engineers from many companies. Members of the various
`
`3GPP working groups submit written contributions and discussion documents,
`
`ultimately capturing accepted proposals and changes in Technical Reports and
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`Technical Specifications. 3GPP stores and controls all of these documents
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`electronically and retains them on the public 3GPP server indefinitely. See NSN462-
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`1030, at ¶42-47; NSN462-1019, at 2-3.
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`Major changes to the 3GPP standards are introduced as “Releases,” which
`
`comprise several Technical Specifications. See NSN462-1030, at ¶44. Certain
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`groups of releases are informally referred to as a generation. See also NSN462-1017,
`
`at 2.
`
`B. Tunneling in UMTS (3G) and LTE (4G) Packet-Switched Networks
`
`3GPP developed and maintained the third generation (3G) Universal Mobile
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`Telecommunications System (UMTS) cellular network. At the time of the ’462
`
`Patent’s asserted priority date, however, 3GPP was working to evolve the 3G UMTS
`
`network into a fourth generation (4G) Long Term Evolution (LTE) cellular network.
`
`NSN462-1030, at ¶59, 64. The ’462 Patent relates to a modification to 4G LTE’s
`
`tunnel management procedures.
`
`3GPP 3G UMTS Network Architecture – The 3G UMTS cellular network
`
`contains a packet-switched core network called the general packet radio service
`
`(GPRS). See also NSN462-1030, at ¶¶51-56 (generally explaining the functionality
`
`of a packet-switched core network).
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`See NSN462-1030, at ¶50. This 3G packet-switched core network transferred data
`
`packets between User Equipment (UE) (e.g., a cell phone) and a Packet Data
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`Network (PDN). NSN462-1030, at ¶¶49-50.
`
`A basic feature of any packet-switched network is the use of intermediate
`
`nodes to route data packets from source to destination. See NSN462-1030, at ¶¶51-
`
`56 (citing dictionary evidence for the use of intermediate nodes). This routing is
`
`accomplished by establishing “tunnels” between network elements. See NSN462-
`
`1030, at ¶58 (“A tunnel is a logical connection between at least two network
`
`elements.”).
`
`In a 3G UMTS network, a packet data tunnel is established between User
`
`Equipment (UE) (e.g., a mobile phone) and a Packet Data Network (PDN). See
`
`NSN462-1030, at ¶59. The logical architecture for a 3G network appears below:
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`User equipment (UE) (e.g., a mobile phone) first connects to a mobile phone tower,
`
`commonly referred to in the art as a NodeB (NB). The NB connects to a Radio
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`Network Controller (RNC). Generally, several NBs are connected to a given RNC.
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`The RNC is connected to a nearby Serving GPRS Support Node (SGSN), which
`
`retrieves subscriber information from the Home Location Register (HLR) database.
`
`Based on this information and the user’s desired packet data service (e.g., e-mail,
`
`Internet connection, etc.), the SGSN selects a Gateway GPRS Support Node
`
`(GGSN). In a 3G UMTS network, the pathway (i.e., connection) from UE to GGSN
`
`is referred to as a specific PDP context, and once the PDP context is established—
`
`that is, once all of the appropriate pathway nodes are selected—the UE can send and
`
`receive data to and from the service. See NSN462-1030, at ¶60.
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`
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`To establish a tunnel, a SGSN would send relevant tunnel management
`
`request messages to the GGSN. NSN462-1030, at ¶¶68-70. If a failure occurs, the
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`SGSN is informed by a tunnel management response message and would “know”
`
`that the only possible location for the failure was the GGSN. As such, further
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`identification of the failed network element is unnecessary. NSN462-1030, at ¶¶70-
`
`77.
`
`3GPP 4G LTE Network Architecture – The logical architecture for a 4G LTE
`
`network appears below:
`
`NSN462-1030, at ¶64. This 4G LTE architecture is also depicted in TS
`
`
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`23.401V8.1.0.
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`
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`NSN462-1007, at § 4.2.1 (highlighting added). As these figures illustrate and as Mr.
`
`Lanning explains, the 4G LTE architecture assigned control-plane functionality
`
`(which previously existed in the SGSN) to the new Mobility Management Entity
`
`(MME). See NSN462-1030, at ¶¶64, 66-67. This architecture also made the new
`
`Serving Gateway (S-GW) and Packet Data Network Gateway (PDN-GW or P-GW)
`
`responsible for the so-called “user plane” handling of users’ data packets. See
`
`NSN462-1030, at ¶¶64, 66-67.
`
`In order to establish a connection between the UE and the PDN in a 4G LTE
`
`network, the UE and the evolved NodeB (eNB) send control information to the
`
`MME requesting that a user plane be created. Then the MME transmits control data
`
`to the S-GW, which forwards the control data to the P-GW. See NSN462-1030, at
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`¶¶78-80. In contrast to the 3G architecture—where a SGSN only needed to
`
`communicate with a GGSN in order to manage connections to the external PDN—
`
`the 4G architecture requires the MME to communicate with both the S-GW
`
`(directly) and the P-GW (indirectly) in order to manage connections to the external
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`PDN. See NSN462-1030, at ¶¶67, 76-78.
`
`C. Tunneling Protocols and Prior Art Response Messages
`
`As the ’462 Patent acknowledges, prior to the asserted priority date of the ’462
`
`Patent, the then-existing 3GPP standards had already specified tunnel management
`
`procedures, which included tunnel management request and response messages. The
`
`response messages included a “Cause value” indicating “whether the processing of
`
`the tunnel management request succeeds or fails” and the “reason of failure when
`
`the tunnel management request fails.” NSN462-1001 at 1:33-38.
`
`The request and response messages referenced in the ’462 Patent were part of
`
`the GPRS Tunneling Protocol (GTP)—a protocol for enabling communication
`
`between network elements in a 3GPP-compliant core network. See also NSN462-
`
`1030, at ¶68 (“Protocols define the structure and length of data packets so that
`
`devices can read the contents of those data packets.”). Among other things, GTP
`
`enables network elements to exchange tunnel management messages in order to
`
`establish a tunnel between the UE and an external PDN. See NSN462-1030, at ¶68
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`(“Tunnel management involves defining and managing a tunnel (‘pathway’) for data
`
`packets via intermediate nodes.”).
`
`The 3GPP standards body defined version 1 of GTP (“GTPv1”) in TS 29.060.
`
`A 3G UMTS network used GTPv1 for tunnel management messaging between a
`
`SGSN and a GGSN. First, the SGSN would generate a list of acceptable GGSNs
`
`(i.e., GGSNs that had access to the APN that the subscriber wanted to connect to) in
`
`order to provide multiple different avenues to form a connection in the case of an
`
`error in a given GGSN. See NSN462-1013, at 22; NSN462-1030, at ¶¶71-72. Next,
`
`the SGSN would send tunnel management requests to the first GGSN on the list, and
`
`the GGSN would send responses to the