UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`HTC Corporation and ZTE (USA), Inc.
`Petitioner
`
`v.
`
`CELLULAR COMMUNICATIONS EQUIPMENT LLC
`Patent Owner
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`INTER PARTES REVIEW OF U.S. PATENT NO. 8,385,966
`Case IPR No.: To Be Assigned
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`DECLARATION OF DR. ROBERT AKL, D.Sc.
`
`
`
`
`
`
`
`
`
`
`
`
`
`HTC/ZTE EXHIBIT 1002
`
`

`

`
`
`TABLE OF CONTENTS
`
`INTRODUCTION ........................................................................................... 1 
`I. 
`QUALIFICATIONS ........................................................................................ 2 
`II. 
`SCOPE OF OPINION ..................................................................................... 6 
`III. 
`IV.  MATERIALS REVIEWED AND CONSIDERED ........................................ 7 
`V.  DESCRIPTION OF THE RELEVANT FIELD AND THE
`RELEVANT TIMEFRAME ............................................................................ 8 
`VI.  LEVEL OF ORDINARY SKILL IN THE ART ............................................. 8 
`VII.  LEGAL PRINCIPLES ..................................................................................... 9 
`VIII.  LTE OVERVIEW .......................................................................................... 11 
`A. 
`Random Access Procedures on Shared Wireless Channels ................ 15 
`B.  Wireless Signal Path Loss ................................................................... 20 
`C. 
`Transmitter Power Control in Wireless Systems ................................ 23 
`IX.  State of the Art: 3GPP Draft Proposals ......................................................... 26 
`A. 
`R1-070870 by NTT DoCoMo (Exhibit 1008) .................................... 26 
`B. 
`R1-074704 by InterDigital (Exhibit 1009) .......................................... 27 
`C. 
`R1-080612 by Alcatel Lucent (Exhibit 1010) ..................................... 31 
`D. 
`R1-080879 by Ericsson (Exhibit 1011) ............................................... 33 
`X.  U.S. PATENT NO. 8,385,966 (“‘966 patent”) and Applicant’s
`Admitted Prior Art (“AAPA”) ....................................................................... 34 
`XI.  U.S. PATENT NO. 5,599,706 (“Qualcomm”) .............................................. 41 
`XII.  3GPP TS 36.213 v8.2.0 (“TS 36.213”) ......................................................... 43 
`XIII.  3GPP TS 36.300 v8.4.0 (“TS 36.300”) ......................................................... 43 
`XIV.  U.S. PATENT PUBLICATION NO. 2010/0093386 (“Qualcomm-
`386”) .............................................................................................................. 43 
`XV.  CLAIMS OF THE ‘966 PATENT ................................................................ 44 
`A. 
`Claims 1, 9, and 10 of the ‘966 Patent ................................................ 44 
`B. 
`Claims 3 and 12 of the ‘966 Patent ..................................................... 62 
`C. 
`Claims 4 and 13 of the ‘966 Patent ..................................................... 67 
`D. 
`Claims 2 and 11 of the ‘966 Patent ..................................................... 68 
`E. 
`Claims 5 and 14 of the ‘966 Patent ..................................................... 74 
`F. 
`Claims 6 and 15 of the ‘966 Patent ..................................................... 84 
`G. 
`Claims 7 and 16 of the ‘966 Patent ..................................................... 85 
`H. 
`Claims 8 and 17 of the ‘966 Patent ..................................................... 86 
`
`i
`
`
`
`HTC/ZTE EXHIBIT 1002-2
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`U.S. Patent No. 8,385,966
`
`I.
`
`INTRODUCTION
`
`1. My name is Robert Akl, and I have been retained by counsel for HTC
`
`Corporation and ZTE (USA), Inc. as an expert witness in the above-captioned
`
`proceeding.
`
`2. My opinions are based on my years of education, research and
`
`experience, as well as my investigation and study of relevant materials. The
`
`materials that I studied for this declaration include all exhibits of the petition.
`
`3.
`
`I may rely upon these materials, my knowledge and experience,
`
`and/or additional materials to rebut arguments raised by the patent owner. Further,
`
`I may also consider additional documents and information in forming any
`
`necessary opinions, including documents that may not yet have been provided to
`
`me.
`
`4. My analysis of the materials produced in this investigation is ongoing
`
`and I will continue to review any new material as it is provided. This declaration
`
`represents only those opinions I have formed to date. I reserve the right to revise,
`
`supplement, and/or amend my opinions stated herein based on new information
`
`and on my continuing analysis of the materials already provided.
`
`5.
`
`I am being compensated on a per hour basis for my time spent
`
`working on issues in this case. My compensation does not depend on the outcome
`
`of this matter or the opinions I express.
`
`
`
`HTC/ZTE EXHIBIT 1002-3
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`II. QUALIFICATIONS
`
`U.S. Patent No. 8,385,966
`
`6.
`
`I am an expert in the field of wireless communications. I have studied,
`
`taught, practiced, and researched in the field of wireless communications for over
`
`twenty years. I have summarized in this section my educational background, work
`
`experience, and other relevant qualifications. A true and accurate copy of my
`
`curriculum vitae is attached as Appendix A to my declaration.
`
`7.
`
`I earned my Bachelor of Science degrees in Electrical Engineering
`
`and Computer Science summa cum laude with a grade point average of 4.0/4.0 and
`
`a ranking of first in my undergraduate class from Washington University in Saint
`
`Louis in 1994. In 1996, I earned my Master of Science degree in Electrical
`
`Engineering from Washington University in Saint Louis with a grade point average
`
`of 4.0/4.0. I earned my Doctorate of Science in Electrical Engineering from
`
`Washington University in Saint Louis in 2000, again with a grade point average of
`
`4.0/4.0, with my dissertation on “Cell Design to Maximize Capacity in Cellular
`
`Code Division Multiple Access (CDMA) Networks.”
`
`8. While a graduate student, from 1996 through 2000, I worked at
`
`MinMax Corporation in St. Louis, where I designed software packages that
`
`provided tools to flexibly allocate capacity in a CDMA communications network
`
`and maximize the number of subscribers. As part of this work, I validated the
`
`hardware architecture for an Asynchronous Transfer Mode (ATM) switch capable
`
`2
`
`HTC/ZTE EXHIBIT 1002-4
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`of channel group switching, as well as performed logical and timing simulations,
`
`U.S. Patent No. 8,385,966
`
`and developed the hardware architecture for the ATM switch. I also worked with
`
`Teleware Corporation in Seoul, South Korea, where I designed and developed
`
`algorithms that were commercially deployed in a software package suite for
`
`analyzing the capacity in a CDMA network implementing the IS-95 standard to
`
`maximize the number of subscribers.
`
`9.
`
`After obtaining my Doctorate of Science degree, I worked as a Senior
`
`Systems Engineer at Comspace Corporation from October of 2000 to December of
`
`2001. In this position, I designed and developed advanced data coding and
`
`modulation methods for improving the reliability and increasing the available data
`
`rates for cellular communications. I coded and simulated different encoding
`
`schemes (including Turbo coding, Viterbi decoding, trellis coded modulation, and
`
`Reed-Muller codes) and modulation techniques using amplitude and phase
`
`characteristics and multi-level star constellations. This work further entailed the
`
`optimization of soft decision parameters and interleavers for additive white
`
`Gaussian and Rayleigh faded channels. In addition, I also extended the control and
`
`trunking of Logic Trunked Radio (LTR) to include one-to-one and one-to-many
`
`voice and data messaging.
`
`10.
`
`In January of 2002, I joined the faculty of the University of New
`
`Orleans in Louisiana as an Assistant Professor in the Department of Electrical
`
`3
`
`HTC/ZTE EXHIBIT 1002-5
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`Engineering. While on this faculty, I designed and taught two new courses called
`
`U.S. Patent No. 8,385,966
`
`“Computer Systems Design I and II.” I also developed a Computer Engineering
`
`Curriculum with strong hardware-design emphasis, formed a wireless research
`
`group, and advised graduate and undergraduate students.
`
`11.
`
`In September of 2002, I received an appointment as an Assistant
`
`Professor in the Department of Computer Science and Engineering at the
`
`University of North Texas (UNT), in Denton, Texas. In May of 2008, I became a
`
`tenured Associate Professor in the Department of Computer Science and
`
`Engineering. As a faculty member, I taught courses and directed research in
`
`wireless communications, including 2G, 3G, 4G, CDMA/WCDMA, GSM, UMTS,
`
`LTE, wireless sensors, Bluetooth, VoIP, multi-cell network optimization, call
`
`admission control, channel coding, ad-hoc networks, and computer architecture. I
`
`was the director of the Wireless Sensor Lab (“WiSL”). Several of my research
`
`projects were funded by industry. In January of 2015, I was appointed Associate
`
`Chair of Graduate Studies.
`
`12.
`
`In addition to advising and mentoring students at UNT, I was asked to
`
`join the faculty of the University of Arkansas in Little Rock as an Adjunct
`
`Assistant Professor from 2004 to 2008 in order to supervise the research of two
`
`Ph.D. graduate students who were doing research in wireless communications. At
`
`UNT, I have advised and supervised more than 250 undergraduate and graduate
`
`4
`
`HTC/ZTE EXHIBIT 1002-6
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`students, many of whom received a master’s or doctorate degree under my
`
`U.S. Patent No. 8,385,966
`
`guidance.
`
`13.
`
`In addition to my academic work, I have remained active in the
`
`communication industry through my consulting work. In 2002, I consulted for
`
`Input/Output Inc. and designed and implemented algorithms for optimizing the
`
`frequency selection process used by sonar for scanning the bottom of the ocean. In
`
`2004, I worked with Allegiant Integrated Solutions in Ft. Worth, Texas to design
`
`and develop an integrated set of tools for fast deployment of wireless networks.
`
`Among other features, these tools optimize the placement of Access Points and
`
`determine their respective channel allocations to minimize interference and
`
`maximize capacity. I also assisted the Collin County Sheriff’s Office (Texas) in a
`
`double homicide investigation, analyzing cellular record data to determine user
`
`location.
`
`14.
`
`I have authored and co-authored approximately 75 journal
`
`publications, conference proceedings, technical papers, book chapters, and
`
`technical presentations, in a broad array of communications-related technology,
`
`including networking and wireless communication. I have also developed and
`
`taught over 100 courses related to communications and computer system designs,
`
`including a number of courses on LTE, VoIP, wireless communication,
`
`communications systems, sensor networks, computer systems design, and
`
`5
`
`HTC/ZTE EXHIBIT 1002-7
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`computer architecture. These courses have included introductory courses on
`
`U.S. Patent No. 8,385,966
`
`communication networks and signals and systems, as well as more advanced
`
`courses on wireless communications. A complete list of my publications and the
`
`courses I have developed and/or taught is also contained in my curriculum vitae.
`
`15. My professional affiliations include services in various professional
`
`organizations and serving as a reviewer for a number of technical publications,
`
`journals, and conferences. I have also received a number of awards and
`
`recognitions, including the IEEE Professionalism Award (2008), UNT College of
`
`Engineering Outstanding Teacher Award (2008), and Tech Titan of the Future
`
`(2010) among others, which are listed in my curriculum vitae.
`
`16. A complete list of cases in which I have testified at trial, hearing, or
`
`by deposition within the preceding four years is provided in my curriculum vitae,
`
`which is attached as Appendix A. In the listed cases, I have been retained by both
`
`patent owners as well as petitioners.
`
`III. SCOPE OF OPINION
`
`17.
`
`I have been asked to provide my opinions regarding whether claims 1-
`
`17 of the U.S. Patent No. 8,385,966 (“the ‘966 patent”) would have been obvious
`
`to one of ordinary skill in art at the time of the alleged invention in view of U.S.
`
`Patent No. 5,599,706 (“Qualcomm”), U.S. Patent Publication No. 2010/0093386
`
`(“Qualcomm-386”), and Applicant Admitted Prior Art (“AAPA”), which includes
`
`6
`
`HTC/ZTE EXHIBIT 1002-8
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`3GPP TS 36.213 v8.2.0, 3GPP TS 36.300 v8.4.0, and 3GPP TS 36.321 v8.0.0.
`
`U.S. Patent No. 8,385,966
`
`This declaration, including the exhibits hereto, sets forth my opinions regarding
`
`this assignment.
`
`IV. MATERIALS REVIEWED AND CONSIDERED
`
`18.
`
`In connection with my work on this matter, I have reviewed and
`
`considered the following documents:
`
`Exhibit No.
`Ex.1001
`Ex.1003
`Ex.1004
`Ex.1005
`Ex.1006
`Ex.1007
`Ex.1008
`
`Ex.1009
`
`Ex.1010
`
`Ex.1011
`
`Ex.1012
`
`Ex.1013
`
`Ex.1014
`
`Exhibit
`U.S. Patent No. 8,385,966 (“‘966 patent”)
`U.S. Patent No. 5,599,706 (“Qualcomm”)
`3GPP TS 36.213 v8.2.0 (2008-03) (“TS 36.213”)
`3GPP TS 36.300 v8.4.0 (2008-04) (“TS 36.300”)
`3GPP TS 36.321 v8.0.0 (2007-12) (“TS 36.321”)
`U.S. Patent Publication No. 2010/0093386 (“Qualcomm-386”)
`3GPP Draft Proposal “Transmission Power Control in E-UTRA
`Uplink” (“R1-070870”) by NTT DoCoMo (Feb. 2007)
`3GPP Draft Proposal “Uplink power control procedures and Text
`Proposal for E-UTRA” (“R1-074704”) by InterDigital
`Communications, LLC (November 2007)
`3GPP Draft Proposal “Reply to RAN2 LS on RACH Power Control
`Optimisation Use Case” (“R1-080612”) by Jung A. Lee of Alcatel
`Lucent (January 2008)
`3GPP Draft Proposal “Uplink power control procedures and Text
`Proposal for E-UTRA” (“R1-080879”) by Ericsson (February 2008)
`3GPP Specifications Home,
`http://www.3gpp.org/specifications/specifications (accessed 2017-
`04-19)
`Prosecution History of U.S. Patent No. 8,385,966 (“‘966 file
`history”)
`Provisional Application of U.S. Patent No. 8,385,966 (“‘966
`provisional”)
`
`7
`
`HTC/ZTE EXHIBIT 1002-9
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`I also have relied on my academic and professional experience in reaching the
`
`U.S. Patent No. 8,385,966
`
`opinions expressed in this declaration.
`
`V. DESCRIPTION OF THE RELEVANT FIELD AND THE RELEVANT
`TIMEFRAME
`19.
`
`I have carefully reviewed the ‘966 patent. Based on my review, I
`
`believe that the relevant field for the purposes of the ‘966 patent is generally
`
`wireless communication systems and more specifically power control of mobile
`
`terminals in cellular systems. I have been informed that the relevant timeframe is
`
`on or before May 5, 2008, based on the provisional application filing date of the
`
`‘966 patent, and this declaration will focus on technologies and state of the art that
`
`existed prior to May 5, 2008.
`
`20. As described above and as shown in my CV, I have extensive
`
`experience in cellular communications. Based on my experience, I have a good
`
`understanding of the relevant field in the relevant timeframe.
`
`VI. LEVEL OF ORDINARY SKILL IN THE ART
`
`21.
`
`In rendering the opinions set forth in this declaration, I was asked to
`
`consider the patent claims and the prior art through the eyes of a person of ordinary
`
`skill in the art (“POSITA”). I considered factors such as the educational level and
`
`years of experience of those working in the pertinent art; the types of problems
`
`encountered in the art; the teachings of the prior art; patents and publications of
`
`other persons or companies; and the sophistication of the technology. I understand
`
`8
`
`HTC/ZTE EXHIBIT 1002-10
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`that a POSITA is not a specific real individual, but rather a hypothetical individual
`
`U.S. Patent No. 8,385,966
`
`having the qualities reflected by the factors discussed above.
`
`22. Taking these factors into consideration, it is my opinion that a
`
`POSITA at a relevant timeframe for the ‘966 patent would have had a B.S. degree
`
`in computer science, computer engineering, electrical engineering, or a related
`
`field, and around 2 years of experience in the design or development of wireless
`
`communication systems, or the equivalent. Such a person would have been familiar
`
`with various working group proposals presented in the 3GPP meetings related to
`
`uplink power control and 3GPP specifications, including 3GPP TS 36.213, 3GPP
`
`TS 36.300, and 3GPP TS 36.321.
`
`23. Based on my experience, I have an understanding of the capabilities
`
`of a person of ordinary skill in the relevant field. I have supervised and directed
`
`many such persons over the course of my career in academia. Further, I had at least
`
`those capabilities myself at the relevant timeframe for the ‘966 patent.
`
`VII. LEGAL PRINCIPLES
`
`24.
`
`It is my understanding that there are two ways in which prior art may
`
`render a patent claim unpatentable. First, the prior art can be shown to “anticipate”
`
`the claim. Second, the prior art can be shown to have made the claim “obvious” to
`
`a person of ordinary skill in the art.
`
`9
`
`HTC/ZTE EXHIBIT 1002-11
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`25.
`
`It is my understanding that a patent claim is unpatentable as being
`
`obvious in view of prior art if the differences between the subject matter sought to
`
`be patented and the prior art are such that the subject matter as a whole would have
`
`been obvious at the time the alleged invention was made to a POSITA to which
`
`said subject matter pertains. I further understand that an obviousness analysis takes
`
`into consideration factual inquiries such as the level of ordinary skill in the art, the
`
`scope and content of the prior art, and the differences between the prior art and the
`
`patent claim.
`
`26.
`
`I understand that the U.S. Supreme Court has recognized several
`
`rationales for combining references and for modifying a reference as part of an
`
`obviousness analysis. These rationales include combining prior art elements
`
`according to known methods to yield predictable results, simple substitution of a
`
`known element for another to obtain predictable results, a predictable use of prior
`
`art elements in accordance with their established functions, applying a known
`
`technique to improve a known device (or process) and yield predictable results,
`
`and choosing from a finite number of known predictable solutions with a
`
`reasonable expectation of success. It is further my understanding that an
`
`obviousness analysis takes into consideration whether the prior art provides a
`
`teaching, suggestion, or motivation to combine teachings of multiple prior art
`
`references to arrive at the patent claim.
`
`10
`
`HTC/ZTE EXHIBIT 1002-12
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`VIII. LTE OVERVIEW
`
`U.S. Patent No. 8,385,966
`
`27. Conceptually, all cellular radio systems can be described at a high
`
`level in terms of user equipment devices, air interface standards, base station
`
`systems, core networks and linkages to external networks. A modern historical
`
`view of air interface standards groups them according to successive “generations”
`
`of technology where today “4th generation” (or “4G”) standards are prevalent
`
`especially for cellular data networking.
`
`28. By the late 2000s timeframe as the 3G systems became pervasive in
`
`coverage and smartphones and tablets were becoming commonplace as “always-
`
`on” Internet-connected mobile devices, engineers were developing and especially
`
`in the USA starting trial deployments of 4G cellular radio systems. The
`
`fundamental subscriber benefit of 4G is much more robust packet data networking
`
`support at even higher data rates, of 100 Mb/s or more as the network
`
`infrastructure is successively upgraded over the next several years. 4G capability
`
`would enable mobile connected devices such as laptop computers to run Internet
`
`based applications with a user experience similar to the now much faster wired
`
`broadband services available compared to 10 years earlier. To achieve this goal
`
`again required fundamental changes to the core network and very different
`
`physical layers for communications between mobile stations and base stations.
`
`11
`
`HTC/ZTE EXHIBIT 1002-13
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`29. Three competing 4G standards proposals emerged. One proposed 4G
`
`standard was started by 3GPP2 as an evolution of CDMA2000 into a 4G standard
`
`called “Ultra Mobile Broadband” (or “UMB”). However, no cellular operators
`
`have deployed UMB and efforts on it are now largely abandoned. A second
`
`proposed 4G standard was led by the IEEE 802.16 committee; several cellular
`
`operators in the USA and elsewhere have deployed IEEE 802.16e (also known as
`
`“WiMax”) mobile networks that use the IP based core network of all IEEE 802
`
`standards and physical layers based on “Orthogonal Frequency Division
`
`Multiplexing” (or “OFDM”). The third proposed 4G standard called “Long Term
`
`Evolution” (or “LTE”) was led by 3rd Generation Partnership Project (3GPP).
`
`30. Every major US based cellular operator has made a commitment to
`
`LTE and much of the USA already has LTE service. LTE has an “Evolved Packet
`
`Core” (or “EPC”) that is mostly IP-based but with excellent interoperability to 3G
`
`UMTS core networks. LTE uses physical layers based on OFDM with many
`
`aspects in common with the physical layers of IEEE 802.16e. It is expected that
`
`over the next several years in the USA, 4G LTE service will almost completely
`
`replace existing 3G UMTS or CDMA2000 service and in many cases the 3G
`
`networks will be discontinued so that the 3G spectrum can be reallocated to 4G
`
`LTE usage.
`
`12
`
`HTC/ZTE EXHIBIT 1002-14
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`31. The 3GPP working group publishes draft proposals from working
`
`groups and working specifications on its website, www.3gpp.org. These draft
`
`proposals and specifications are freely provided to the public without access
`
`controls such as login/passwords. For example, all of the specifications for TS
`
`36.213 can be found here:
`
`https://portal.3gpp.org/desktopmodules/Specifications/SpecificationDetails.aspx?s
`
`pecificationId=2427. And the draft proposals for working group R1 of the 3GPP
`
`can be found here: http://www.3gpp.org/dynareport/Meetings-R1.htm?Itemid=404.
`
`32. As 3GPP is the organization that was managing the LTE specification
`
`process, a POSITA would be familiar with the draft proposals from the working
`
`groups and the working specifications on the 3GPP website. A POSITA would also
`
`look to the 3GPP website and the various proposals and specifications available on
`
`the 3GPP website for LTE information. As an example, a POSITA wishing to
`
`access information about random access procedures or the transmit power used in
`
`the random access procedures would look to the relevant proposals and
`
`specifications found on the 3GPP website. As noted above, these proposals and
`
`specifications are freely accessible to the public and can also be found through
`
`popular search engines such as www.google.com.
`
`33. The 3GPP TS 36.213 v8.2.0 specification (“TS 36.213”) was
`
`available to the public no later than May 3, 2008. (TS 36.213, p. 30). In addition,
`
`13
`
`HTC/ZTE EXHIBIT 1002-15
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`the ‘966 patent admits that the TS 36.213 specification was publicly available as of
`
`U.S. Patent No. 8,385,966
`
`the filing date of the provisional application (“‘966 Provisional”) on May 5, 2008.
`
`Specifically, the ‘966 Provisional cites to the TS 36.213 specification and attaches
`
`an excerpt of this specification. (¶ [0019] of the ‘966 Provisional; ‘966 patent,
`
`4:21-6:17). Accordingly, TS 36.213 is also part of AAPA of the ‘966 patent.
`
`34. The 3GPP TS 36.300 v8.4.0 specification (“TS 36.300”) was
`
`available to the public no later than March, 2008. (TS 36.300, p. 128). In addition,
`
`the ‘966 patent admits that the TS 36.300 specification was publicly available as of
`
`the filing date of the ‘966 Provisional on May 5, 2008. Specifically, the ‘966
`
`Provisional cites to the TS 36.300 specification and attaches an excerpt of this
`
`specification. (¶¶ [0005], [0007] of the ‘966 Provisional; ‘966 patent, 2:1-12; 2:18-
`
`38). Accordingly, TS 36.300 is also part of AAPA of the ‘966 patent.
`
`35. The 3GPP TS 36.321 v8.0.0 specification was available to the public
`
`no later than December 2007. (TS 36.321, p. 23). In addition, the ‘966 patent
`
`admits that TS 36.321 specification was publicly available as of the filing date of
`
`the ‘966 Provisional on May 5, 2008, and cites to the TS 36.321 specification. (¶¶
`
`[0006], [0022] of the ‘966 Provisional; ‘966 patent, 2:13-17; 6:18-26).
`
`Accordingly, TS 36.321 is also part of AAPA of the ‘966 patent.
`
`14
`
`HTC/ZTE EXHIBIT 1002-16
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`A. Random Access Procedures on Shared Wireless Channels
`
`36.
`
`In 4G LTE, a mobile station (known as User Equipment or UE)
`
`communicates with the base station (known as evolved Node B or eNB) via
`
`transmissions on the downlink and uplink. The downlink (or forward link) refers to
`
`the communication link from the eNBs to the UEs, and the uplink (or reverse link)
`
`refers to the communication link from the UEs to the eNBs.
`
`37.
`
`In LTE, user equipment or UE can request a system access or
`
`connection setup with an evolved Node B (eNB). Figure 10.1.5.1-1 of TS 36.300
`
`(annotated), which is reproduced in Figure 1B of the ‘966 patent, shows a
`
`contention based random-access procedure.
`
`
`
`15
`
`HTC/ZTE EXHIBIT 1002-17
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`38. As shown in Figure 10.1.5.1-1 of TS 36.300, contention-based
`
`random access procedure includes four messages: a random-access preamble sent
`
`by the UE; a random-access response sent by the eNB; a scheduled uplink
`
`transmission from the UE; and a contention resolution (downlink transmission)
`
`from the eNB. The ‘966 patent refers to TS 36.300 in describing the LTE random
`
`access procedure in Figures 1B and 1C. (‘966 patent, 4:1-4).
`
`39. The random access preamble is transmitted on a physical channel
`
`called physical random access channel (PRACH), which has a corresponding
`
`transport channel called random access channel (RACH). (TS 36.213, 6.1, p. 12;
`
`TS 36.300, §10.1.5.1, p. 48). This preamble transmission is identified in the LTE
`
`protocol as Message 1 or “Msg1.” The claimed “first message” of claims 2 and 11
`
`of the ‘966 patent corresponds to this Message 1, which is a random access
`
`preamble. The transmit power of the preamble is set to a preamble transmission
`
`value. (TS 36.213, 6.1, p. 12). As will be discussed in more detail, open loop
`
`power control is used in determining the transmit power of the random access
`
`preamble due to the lack of any feedback (e.g., power correction or power control
`
`adjustment) parameter. (Infra ¶¶ 56-57). According to AAPA of the ‘966 patent,
`
`“RACH preambles are transmitted by the UEs using a full path-loss compensation
`
`PC formula.” (‘966 patent, 2:39-40).
`
`16
`
`HTC/ZTE EXHIBIT 1002-18
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`40. As shown in Figure 10.1.5.1-1 of TS 36.300, when an eNB receives a
`
`random access preamble, the eNB responds with a random access response. This
`
`transmission is identified in the LTE protocol as Message 2 or “Msg2.” In Message
`
`2, the eNB sends the UE a cell radio network temporary identity (RNTI) and a
`
`timing advance value to ensure that all UEs will send signals that arrive at the eNB
`
`at the same time. In addition, the eNB assigns the UE an allocation of channel
`
`resources on the uplink shared channel. The claimed “second message” of claims 2
`
`and 11 of the ‘966 patent corresponds to Message 2, which is the random access
`
`response.
`
`41. The AAPA of the ‘966 patent also describes that “the UE transmits a
`
`random access preamble and expects a response from the eNB in the form of a so-
`
`called Message 2 (e.g., Random Access Response at FIGS. 1B and 1C). Message 2
`
`is transmitted on a DL [downlink] shared channel DL-SCH (PDSCH, the PDCCH)
`
`and allocates resources on an UL-SCH (PUSCH). The resource allocation of
`
`Message 2 is addressed with an identity RA-RNTI that is associated with the
`
`frequency and time resources of a PRACH, but is common for different preamble
`
`sequences. The Message 2 contains UL [uplink] allocations for the
`
`transmissions of a Message 3 in the UL (e.g., step 3 of the Contention Based
`
`Random Access Procedure at FIG. 1B).” (‘966 patent, 2:27-38; emphasis added).
`
`17
`
`HTC/ZTE EXHIBIT 1002-19
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`
`U.S. Patent No. 8,385,966
`
`42.
`
`If the UE transmits a random access preamble but does not receive a
`
`random access response within a prescribed period of time, the UE can retransmit
`
`the random access preamble. The transmit power for a retransmission, however, is
`
`increased by a ramp-up amount. This increase in transmit power helps ensure that
`
`the UE’s random access preamble will be successfully received by the eNB. (See
`
`Qualcomm, 9:42-53). Indeed, TS 36.321 §5.1.3 specifies that during Random
`
`Access Procedure the UE sends Message 1 with a preamble power determined by
`
`the following formula: PREAMBLE_TRANSMISSION_POWER =
`
`PREAMBLE_INITIAL_POWER + POWER_RAMP_STEP. The
`
`POWER_RAMP_STEP is the incremental power to be used every time the random
`
`access is attempted again. A POSITA would understand that
`
`POWER_RAMP_STEP parameter is the same as the power ramp-up, ΔPrampup,
`
`parameter described in the AAPA of the ‘966 patent. (‘966 patent, Equation [3]
`
`6:18-26).
`
`43. As shown in Figure 10.1.5.1-1 of TS 36.300, after receiving the
`
`random access response, the user equipment can respond with a first scheduled
`
`transmission on the uplink shared channel. This transmission is identified in the
`
`LTE protocol as Message 3 or “Msg3.” In the Qualcomm reference, this message
`
`is referred to as the “first uplink message sent after successful transmission of the
`
`random access preamble ....” (Qualcomm, 10:1-3). The claimed “initial transmit
`
`18
`
`HTC/ZTE EXHIBIT 1002-20
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`power” of claims 1 and 9 of the ‘966 patent corresponds to the transmit power of
`
`U.S. Patent No. 8,385,966
`
`Message 3.
`
`44. According to AAPA of the ‘966 patent, “RACH preambles are
`
`transmitted by the UEs using a full path-loss compensation PC formula. The
`
`target is that reception RX level of those preambles at the eNB is the same, and so
`
`independent of path-loss. This is needed because several simultaneous preamble
`
`transmissions can take place in the same PRACH resource and in order to detect
`
`them, their power at the eNB needs to be roughly the same to avoid the well-
`
`known near-far problem for spread spectrum transmissions. However subsequent
`
`uplink transmissions on the PUSCH are orthogonal, and so called fractional
`
`power control can be used.” (‘966 patent, 2:39-49; emphasis added). A POSITA
`
`would understand the phrase “subsequent uplink transmissions on the PUSCH” in
`
`the AAPA refers to the transmission of Message 3 and subsequent uplink
`
`transmissions after Message 3. Further, a POSITA would understand the
`
`“fractional power control” refers to a fractional path-loss compensation PC
`
`formula. The concept of path loss during wireless signal transmission will be
`
`discussed in detail below. (Infra ¶¶ 46-53).
`
`45. The final step in the random access procedure is for the eNB to send a
`
`contention resolution message to the UE indicating that Message 3 was
`
`19
`
`HTC/ZTE EXHIBIT 1002-21
`
`

`

`Declaration of Dr. Robert Akl, D.Sc.
`
`successfully received. This transmission is identified in the LTE network as
`
`U.S. Patent No. 8,385,966
`
`Message 4 or “Msg4.” This message is not discussed in depth in the ‘966 patent.
`
`B. Wireless Signal Path Loss
`
`46. Wireless communications systems must operate in the presence of
`
`impairments that limit the ability to communicate and send informati