`
`Contents
`I. Materials considered
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`II. Expert background
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`III. Level of Ordinary Skill in the Art
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`IV. Term constructions
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`V. Technical background
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`V.A.
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`V.B.
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`―Direct conversion‖
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`―Reduced intersymbol interference coding‖
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`V.B.1.
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`Discussion of ―intersymbol interference‖
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`V.B.2.
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`Discussion of ―coding‖
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`V.C.
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`V.D.
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`―Interleaver and de-interleaver‖
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`―Differential phase shift keying‖ (DPSK)
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`VI. The ‗391 patent
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`VI.A.
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`―Direct conversion module‖ and ―homodyne receiver‖
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`VI.A.1.
`
`Obviousness of direct conversion module
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`VI.B.
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`―Reduced intersymbol interference coding‖ and ―DPSK‖
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`VI.B.1.
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`ISI coding, differential encoding, and DPSK
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`VI.B.1.1.
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`Obviousness of DPSK
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`VI.B.2.
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`ISI coding and the Giannakis paper
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`VI.C.
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`VI.D.
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`VI.E.
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`VI.F.
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`―Headset‖ vs. ―headphone‖
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`―Unique user code‖ vs. ―access code‖
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`―CDMA‖ and ―spread spectrum‖
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`―Independent CDMA operation‖
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`Moring Declaration
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`page 1
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`3
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`5
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`6
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`6
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`7
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`9
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`9
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`13
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`13
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`15
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`17
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`18
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`19
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`20
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`20
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`21
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`23
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`23
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`24
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`24
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`25
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`SONY Exhibit 1012 - 0001
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`

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`Transmit-receive symmetry
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`
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`―Digital-to-analog converter (DAC)‖ and audio output/reproduction
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`―Virtually free from interference‖
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`Interleaver/de-interleaver and the Giannakis paper
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`VI.G.
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`VI.H.
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`VI.I.
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`VI.J.
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`VII. Rationale or Motivation to Combine
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`VII.A.
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`Intersymbol interference
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`VII.B.
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`Interleaving
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`VII.C.
`
`Conclusion
`
`Attachment 1: Claim Charts
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`Claim 1 of the ‗391 patent
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`Claim 2 of the ‗391 patent
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`Claim 3 of the ‗391 patent
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`Claim 4 of the ‗391 patent
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`Claim 5 of the ‗391 patent
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`Claim 6 of the ‗391 patent
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`Claim 10 of the ‗391 patent
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`Attachment 2: John Moring CV
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`25
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`26
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`28
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`29
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`30
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`30
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`31
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`33
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`35
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`36
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`43
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`47
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`52
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`57
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`61
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`63
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`65
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`Moring Declaration
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`page 2
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`SONY Exhibit 1012 - 0002
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`

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`I, John Moring, hereby declare:
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`
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`I have personal knowledge of the facts set forth herein, and if called as a witness in a legal proceeding
`
`1.
`
`2.
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`in the United States, or elsewhere, could and would testify competently thereto. All statements made herein on
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`my personal knowledge are true, and those statements made on information and belief are believed to be true.
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`3.
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`I have been asked to address and offer opinions on the technology claimed in U.S. Patent No.
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`8,131,391B2, specifically in claims 1, 2, 3, 4, 5, 6, and 10 (―challenged claims‖) and the prior-art technology
`
`disclosed in U.S. Patent No. 6,563,892 and the 1998 paper by Haartsen and a 2000 paper by G. B. Giannakis,
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`et al. (See section I for a list of references).
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`4.
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`I am being compensated at my customary hourly rate for the time spent on developing, forming, and
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`expressing the facts and opinions in this declaration. I have no personal interest in the ultimate outcome of any
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`related proceedings.
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`I. Materials considered
`
`5.
`
`In the course of developing this declaration, I examined the following materials.
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` U.S. Patent No. 8,131,391B2 (―the ‘391 patent‖);
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` Excerpts from the ‗391 patent file history, including file histories of its parent applications such as Appl.
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`No.: 10/648,012 (―the 2003 application‖), Application No. 13/356,949 (―the 2012 application‖);
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` Order No. 12 Construing Terms of the Asserted Patents, Inv. No. 337-TA-943, July 24, 2015 (―ITC
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`claim constructions‖);
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` Decision on Appeal from the United States International Trade Commission in Investigation No. 337-
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`TA-943, June 12, 2017 (―Federal Circuit Opinion‖)
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` U.S. Patent No. 6,563,892 to Haartsen et al. (―the ‘892 patent‖ or ―the Haartsen patent‖);
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`Moring Declaration
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`page 3
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`SONY Exhibit 1012 - 0003
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` Haartsen, J., ―Bluetooth—The Universal Radio Interface for Ad Hoc, Wireless Connectivity‖, Ericsson
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`Review, Telecommunications Technology Journal No. 3, 1998, pp. 110–117 (―the 1998 Haartsen
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`paper‖);
`
`The two preceding items together comprise ―the Haartsen reference.‖
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` Haartsen, J., ―The Bluetooth Radio System‖, IEEE Personal Communications, February 2000 (―the
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`2000 Haartsen paper‖);
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` Giannakis, G. B., et al., ―Load-Adaptive MUI/ISI-Resilient Generalized Multi-Carrier CDMA with Linear
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`and DF Receivers,‖ European Transactions on Telecommunications, Volume 11, Issue 6, pages 527–
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`537; November–December 2000 (―the Giannakis paper‖);
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` Zhou, S., et al., ―Frequency-Hopped Generalized Multicarrier CDMA for Multipath and Interference
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`Suppression,‖ MILCOM 2000 Proceedings, October 2000 (―the Zhou paper‖);
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` U.S. Patent No. 5,530,929 to Lindqvist et al.
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`6.
`
`The 1998 Haartsen paper is explicitly mentioned and incorporated by reference in its entirety in the
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`Haartsen patent (collectively, ―the Haartsen reference‖):
`
`―Readers interested in various details regarding the Bluetooth technology are referred to the article
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`entitled ―BLUETOOTH—The universal radio interface for ad hoc, wireless connectivity‖ authored by
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`Jaap Haartsen and found in the Ericsson Review, Telecommunications Technology Journal No. 3,
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`1998, the disclosure of which is incorporated here by reference.‖ (‘892 patent at 2:23-29).
`
`7.
`
`The Giannakis paper discloses a design for performance improvement in CDMA transmitters and
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`receivers, specifically applicable to ―Bluetooth-like‖ networking, including both reduced intersymbol interference
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`coding and bit error rate (BER) improvement through interleaving/de-interleaving.
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`8.
`
`These references, and the ways they describe the technology disclosed in the challenged claims of the
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`‗391 patent, are discussed in subsequent sections of this paper.
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`Moring Declaration
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`page 4
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`SONY Exhibit 1012 - 0004
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`II. Expert background
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`
`
`9.
`
`I earned my Bachelor of Science degree in Electrical Engineering in 1981 from the University of
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`Cincinnati, with specialization in computers and communications. I earned my Master of Science degree in
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`Electrical Engineering in 1983 from the University of Southern California (as a Hughes Fellow), with
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`specialization in communications and signal processing. I have worked in the field continuously since 1981.
`
`10.
`
`In the early 1980s, I developed and simulated algorithms for advanced portable military wireless
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`networks at Hughes Aircraft. In the late 1980s, I developed and fielded Internet hardware and applications for
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`military use while at TRW. In the early 1990s, I developed standards and products for dynamic management of
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`satellite communication systems at Titan Linkabit. In the mid-1990s, I contributed to the first cellular Internet
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`products, and related projects at Pacific Communication Sciences, Inc.
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`11.
`
`Since 1997 I have consulted in the field full time. Projects are too numerous to list, but include working
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`with wireless location technologies from the late 1990s, including designing and overseeing some of the first
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`field trials of handset location technologies (including GPS) for cellular carriers, and contributing to the
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`standards that described operation of that equipment. I have worked a number of projects involving Bluetooth
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`technology, notably consulting to the Bluetooth Special Interest Group continuously from 2000 through 2007. In
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`this role I supported the qualification and testing efforts and reviewed the specifications released in this period.
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`12.
`
`My current projects include authoring standards for, and otherwise supporting development of, wireless
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`communications for future intelligent highway deployments.
`
`13.
`
`I have taught communications courses for the University of Wisconsin-Madison and the University of
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`California-San Diego. I have presented at major technical conferences and contributed to texts in the field. I
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`have four US patents granted in my name, with others pending in the US and internationally. Please see
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`Attachment 2 for a complete CV.
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`Moring Declaration
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`page 5
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`SONY Exhibit 1012 - 0005
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`III. Level of Ordinary Skill in the Art
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`
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`14.
`
`The order containing the ITC claim constructions includes a ruling that a person of ordinary skill in the
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`art would have a Bachelor of Science degree in electrical engineering or a related field, and around two years
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`of experience in the design or implementation of wireless communications systems, or the equivalent, or six
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`years of experience in the design or implementation of wireless communications systems, or the equivalent. My
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`education and experience levels exceed these criteria, and did so throughout the time of the applications.
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`Through my career, I have associated with hundreds – perhaps thousands – of engineers meeting these
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`criteria, including co-workers and colleagues, students and clients, and am very familiar with the level of
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`knowledge of those meeting this standard.
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`IV. Term constructions
`
`15.
`
`In my analysis I used the ITC claim constructions for certain terms as stated in Order No. 12:
`
`Term
`
`Construction
`
`―reduced intersymbol interference coding‖
`(claims 1, 2, 3, 4, 5, 6, 10)
`
`―configured for independent code division
`multiple access (CDMA) communication
`operation‖
`(claims 1, 2, 3, 4, 5, 6, 10)
`
`
`
`Each claim under consideration includes
`―code division multiple access‖ or ―CDMA‖
`or both.
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`―unique user code‖ / ―unique user code bit
`sequence‖
`(claims 1, 2, 3, 4, 5, 6, 10)
`
`―direct conversion module‖
`(claims 1, 2, 3, 4, 5, 6, 10)
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`―coding that reduces intersymbol interference‖
`
`―configured for code division multiple access (CDMA)
`communication operation performed independent of any
`central control‖
`
`―fixed code (bit sequence) specifically associated with one
`user of a device(s)‖
`
`―a module for converting radio frequency to baseband or
`very near baseband in a single frequency conversion without
`an intermediate frequency‖
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`Moring Declaration
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`page 6
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`SONY Exhibit 1012 - 0006
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`Term
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`Construction
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`Plain and ordinary meaning
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`"original audio signal representation in
`packet format"
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`(claims 1*, 2, 3, 4, 5*, 6*, 10*)
`
` *
`
` These claims employ slightly different
`wording
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`
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`16.
`
`Based on the Federal Circuit decision, I have been directed to use in my analysis the following
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`meaning for the claim elements containing the phrase ―virtually free from interference ….‖
`
`Term
`
`Construction
`
`―virtually free from interference‖ (―virtually
`free from interference from device
`transmitted signals operating in the
`[portable wireless digital audio system/
`wireless headphone/wireless digital audio
`system/digital wireless audio receiver]
`spectrum.‖)
`(claims 1, 2, 3, 4, 5, 6, 10)
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`
`
`V. Technical background
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`―free from interference such that eavesdropping on device
`transmitted signals operating in the [portable wireless digital
`audio system/ wireless headphone/wireless digital audio
`system/ digital wireless audio receiver] spectrum cannot
`occur.‖
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`17.
`
`In support of the discussions in subsequent sections, here I provide some background on relevant
`
`terms and technologies.
`
`V.A.
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`“Direct conversion”
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`18.
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`A radio system‘s general purpose is to deliver information from a transmitter to a receiver over the air,
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`using electromagnetic radio-frequency (RF) energy. The transmitter takes the original information (e.g., a digital
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`packet representing text or audio) and overlays it on a radio ―carrier‖ wave at a much higher frequency, a
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`process known as modulation. The resulting modulated radio signal is then sent over the air through the
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`Moring Declaration
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`page 7
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`SONY Exhibit 1012 - 0007
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`transmitter antenna. The original information signal, before modulation, is known as a ―baseband‖ signal, since
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`the frequency ―band‖ it occupies is near zero (in units of Hertz, or cycles per second).
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`19.
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`A radio receiver‘s general purpose is to convert electromagnetic radio frequency energy, sensed by the
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`receive antenna, into a signal from which the original information can be extracted. In doing so, it must separate
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`the original baseband signal from the RF carrier. There are multiple solutions to achieving this objective. One
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`class of solutions involves multiple stages of conversion (―heterodyne‖), where the signal is first transformed to
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`an intermediate frequency (IF), and then to baseband. Another class of solutions is direct conversion
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`(―homodyne‖), where no intermediate frequency is used. (Note that in either case, the RF carrier is removed, as
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`the desired information is in the baseband signal.) A design tradeoff between these two approaches is that the
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`direct conversion approach requires less circuitry, but higher precision and therefore more costly components,
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`compared to the multi-stage conversion approach.
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`20.
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`See Figure 1 through Figure 3 below for illustrations of conversions at the transmitter and the two
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`classes of receiver described. (I produced each of the figures in this declaration to help illustrate the technical
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`topics under discussion.)
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`Figure 1: Conversion at the transmitter
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`Moring Declaration
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`page 8
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`Baseband Signal
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`RF Carrier
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`Conversion
`at
`Transmitter
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`Modulated RF Signal
`to Antenna
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`0
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` Frequency RF
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`0
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` Frequency RF
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`SONY Exhibit 1012 - 0008
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`Figure 2: Direct conversion at the receiver
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`Figure 3: Multi-stage conversion at the receiver
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`V.B.
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`“Reduced intersymbol interference coding”
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`V.B.1.
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`Discussion of “intersymbol interference”
`
`21.
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`Intersymbol interference (ISI) refers to a phenomenon where a radio signal interferes with itself,
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`causing problems for the receiver. (―Symbol‖ refers to one modulation unit in the information-carrying signal,
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`used to represent one or more bits.) One symbol, shifted in time as described below, can interfere with
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`neighboring symbols. A situation where this can occur is when multiple versions of the transmitted signal arrive
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`at the receiver antenna at different times via different paths.
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`22.
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`Consider the illustrated example in Figure 4 below. Because of blockage, there is no direct path from
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`transmitter T to receiver R. However, the transmitted signal may take two reflected paths, resulting in two
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`versions of the signal, S1 and S2, arriving at the receiver. Because of the path length differences, S2 will arrive
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`slightly later in time than S1. When S1 and S2 arrive at a single receive antenna, the receiver cannot easily
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`distinguish between them, as it detects only the sum of the two signals.
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`Moring Declaration
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`page 9
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`Modulated RF Signal
`from Antenna
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`Conversion
`at Direct
`Conversion
`Receiver
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`Baseband Signal
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`0
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` Frequency RF
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`0
`
` Frequency RF
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`Modulated RF Signal
`from Antenna
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`Conversion 1
`at Multistage
`Receiver
`
`Intermediate
`Frequency Signal
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`Conversion 2
`at Multistage
`Receiver
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`Baseband Signal
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`0
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` Frequency RF
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`0
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` Frequency RF
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`0
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` Frequency RF
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`SONY Exhibit 1012 - 0009
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`Figure 4: Multiple signal paths from transmitter to receiver
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`23.
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`Now consider Figure 5. A rectangular waveform is used for simplicity; the effects are similar for any
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`waveform. In this extreme example, where each symbol represents one bit of information, S2 is delayed exactly
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`one-half symbol‘s duration relative to S1, and both versions of the signal arrive at the receiver with identical
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`power. We see that the receiver, sensing the combined signal S1+S2, loses much of the information in the
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`original transmitted signal. (Another term for signal delay is phase shift.) The first half of Symbol 1 arrives
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`unaffected. However, the second half of Symbol 1 is completely cancelled out when S1 and S2 are summed
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`over that time duration. This first half of Symbol 2 is actually reinforced by the summing. However, the second
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`half of Symbol 2 is again cancelled out, as is the whole of Symbol 3. This extreme case is useful for illustration;
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`Moring Declaration
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`page 10
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`T
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`S2
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`R
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`S1
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`SONY Exhibit 1012 - 0010
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`

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`
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`luckily, real-world intersymbol interference is seldom this severe! In situations where the time offsets and power
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`levels are more random, the resulting distorted combined signal may still cause the receiver to fail to correctly
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`interpret received symbols.
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`Figure 5: Intersymbol interference example
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`
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`
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`24.
`
`Consider a second illustration of ISI in Figure 6 below. We again represent signals as rectangular
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`waves for simplicity. We now have three signal paths, S1, S2, and S3, each with a delay of a fraction of a
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`symbol. In this case, we don‘t see the signal cancellation observed in the previous example, but we do see a
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`―smearing‖ of the symbol shapes, as different versions of the symbols are received over time. The resulting
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`received signal S1+S2+S3 is more difficult for the receiver to interpret, and more likely to result in errors.
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`Moring Declaration
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`page 11
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`time
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`Symbol 1
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`Symbol 2
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`Symbol 3
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`Symbol 1
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`Symbol 2
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`Symbol 3
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`Symbol 1
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`Symbol 2
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`Symbol 3
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`Symbol 1
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`Symbol 2
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`Symbol 3
`
`Transmitted
`signal
`
`S1
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`S2
`
`Received
`signal
`S1+S2
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`SONY Exhibit 1012 - 0011
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`

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`Figure 6: Intersymbol interference example 2
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`
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`25.
`
`The above examples illustrate ISI caused by a time-dispersion of the signal due to multi-path
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`reflections. ISI may also be caused by other phenomena, including non-linearity in the radio channel or
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`equipment.
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`Moring Declaration
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`page 12
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`Symbol 1
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`Symbol 2
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`Symbol 3
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`Transmitted
`signal
`
`time
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`S1
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`S2
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`S3
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`Received
`signal
`S1+S2+S3
`
`Symbol 1
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`Symbol 2
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`Symbol 3
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`SONY Exhibit 1012 - 0012
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`

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`V.B.2.
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`Discussion of “coding”
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`
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`26.
`
`There are numerous types of codes and coding used in communications. One class of coding is error
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`correction coding. As the name implies, these codes help recover from problems that would otherwise cause a
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`receiver to miss, or incorrectly interpret, information intended for it by the transmitter. Such problems typically
`
`arise from radio frequency noise mixing with and corrupting the desired signal at the receiver antenna. With
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`error correction coding, the original information bits are supplemented and/or modified in a specific manner that
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`can be interpreted by the receiver and used to recover lost information. A simple, inefficient error correcting
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`code might repeat each bit of information three times, so that if at least two of the bits are received correctly,
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`the original information is recoverable.
`
`27.
`
`Convolutional encoding is a common subcategory of error-correction encoding, where redundancy is
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`added to allow a receiver to correctly interpret bits that would otherwise be received in error. A convolutional
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`encoder may be described in terms of a rate n/k (where the code produces k output bits for every n original
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`bits), a depth K (where the value of each output bit is affected by the value of K consecutive input bits), and a
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`polynomial which represents the code.
`
`V.C.
`
`“Interleaver and de-interleaver”
`
`28.
`
` Interleaving refers to the reordering of information bits by an interleaver before transmission. Bits are
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`de-interleaved by the corresponding de-interleaver, i.e., returned to their original order, on reception. The
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`rationale for interleaving has to do with the nature of typical radio channels. Error correcting codes are typically
`
`capable of correcting a finite number of bit errors within a fixed length – the length of the ―code word.‖ Radio
`
`channel impairments are often bursty, meaning that errors are often clumped in time (due for example to
`
`temporary blockage or interference in a dynamic channel). Thus, in bursty conditions, without interleaving,
`
`some code words exceed their error threshold, while others have no errors at all. Interleaving results in errors
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`Moring Declaration
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`page 13
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`SONY Exhibit 1012 - 0013
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`

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`spread more evenly over time and across code words, giving the error correction algorithm a better chance to
`
`correct more of the errors.
`
`29.
`
`Consider the conceptual illustration of interleaving in Figure 7. In step 1, source data is collected at the
`
`transmitting unit, in bits numbered 1–40. In step 2, the data is separated into blocks of appropriate size for the
`
`forward error correction (FEC) algorithm. In step 3, FEC is applied, symbolized by the blue shading. This
`
`particular FEC algorithm is capable of correcting up to two bit errors per 8-bit word. In step 4, the transmitter
`
`interleaver scrambles the bit order via a predetermined sequence. The bits are then transmitted in step 5.
`
`30.
`
`In step 6, a burst of 6 sequential bits is impaired during transmission and interpreted in error by the
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`receiver, as symbolized by red shading. After receipt, the bits are returned to their original order in the de-
`
`interleaver in step 7. We see in this example that no more than two bit errors now occur in any code word.
`
`Thus, all the original bits values are recovered via FEC decoding in step 8, and the original bit steam is
`
`recreated error-free.
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`Moring Declaration
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`page 14
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`SONY Exhibit 1012 - 0014
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` Figure 7: Interleaving example
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`
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`V.D.
`
` “Differential phase shift keying” (DPSK)
`
`31.
`
`Phase shift keying is one of three general classes of modulation. Modulation is the process of
`
`overlaying baseband information (perhaps in the form of a digital packet consisting of a collection of ones and
`
`zeros) onto an RF carrier wave. Changes (modulations) are made to the carrier wave to represent the data in
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`Moring Declaration
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`page 15
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`1. Original bit stream
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`1
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`2
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`3
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`4
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`5
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`6
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`7
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`8
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`9
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`10
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`11
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`12
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`13
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`14
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`15
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`16
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`17
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`18
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`19
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`20
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`21
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`22
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`23
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`24
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`25
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`26
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`27
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`28
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`29
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`30
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`31
`
`32
`
`33
`
`34
`
`35
`
`36
`
`37
`
`38
`
`39
`
`40
`
`2. Separated into code words
`
`3. FEC coded
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`4. Interleaved
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`33
`
`17
`
`12
`
`38
`
`21
`
`1
`
`8
`
`16
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`9
`
`10
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`26
`
`30
`
`11
`
`35
`
`18
`
`10
`
`6
`
`25
`
`24
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`24
`
`17
`
`18
`
`19
`
`20
`
`21
`
`22
`
`23
`
`27
`
`37
`
`24
`
`3
`
`5
`
`19
`
`13
`
`34
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`31
`
`32
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`31
`
`32
`
`31
`
`40
`
`2
`
`9
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`22
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`29
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`7
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`28
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`33
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`34
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`35
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`36
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`37
`
`38
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`39
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`40
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`33
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`34
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`35
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`36
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`37
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`38
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`39
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`40
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`36
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`20
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`39
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`14
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`4
`
`23
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`15
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`32
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`5. Transmitted
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`33
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`38
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`21
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`26
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`30
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`35
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`25
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`27
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`37
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`24
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`34
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`31
`
`40
`
`22
`
`29
`
`28
`
`36
`
`39
`
`23
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`32
`
`17
`
`12
`
`1
`
`8
`
`16
`
`11
`
`18
`
`10
`
`6
`
`3
`
`5
`
`19
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`13
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`2
`
`9
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`7
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`20
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`14
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`4
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`15
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`6. Received
`
`33
`
`17
`
`12
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`38
`
`21
`
`1
`
`8
`
`16
`
`26
`
`30
`
`11
`
`35
`
`18
`
`10
`
`6
`
`25
`
`27
`
`37
`
`24
`
`3
`
`5
`
`19
`
`13
`
`34
`
`31
`
`40
`
`2
`
`9
`
`22
`
`29
`
`7
`
`28
`
`36
`
`20
`
`39
`
`14
`
`4
`
`23
`
`15
`
`32
`
`7. De-interleaved
`
`8. Decoded
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`1
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`2
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`3
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`4
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`5
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`6
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`7
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`8
`
`1
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`2
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`3
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`4
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`5
`
`6
`
`7
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`8
`
`12
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`13
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`14
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`15
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`16
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`9
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`10
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`11
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`12
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`13
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`14
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`15
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`16
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`9
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`10
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`11
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`17
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`18
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`19
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`20
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`21
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`22
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`23
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`24
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`17
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`18
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`19
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`20
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`21
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`22
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`23
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`24
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`25
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`26
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`27
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`28
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`29
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`30
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`31
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`32
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`25
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`26
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`27
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`28
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`29
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`30
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`31
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`32
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`33
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`34
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`35
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`36
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`37
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`38
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`39
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`40
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`33
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`34
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`35
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`36
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`37
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`38
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`39
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`40
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`9. Output bit stream
`
`1
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`2
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`3
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`4
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`5
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`6
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`7
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`8
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`9
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`14
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`15
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`16
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`17
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`18
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`19
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`20
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`21
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`22
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`23
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`24
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`25
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`26
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`27
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`28
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`29
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`30
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`31
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`32
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`33
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`34
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`35
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`36
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`37
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`38
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`39
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`40
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`SONY Exhibit 1012 - 0015
`
`

`

`
`
`the baseband signal. Other primary classes of modulation are amplitude modulation (AM) and frequency
`
`modulation (FM).
`
`32.
`
`In AM, the power of the RF signal is adjusted, where for example a momentary higher power
`
`represents a ―one‖ and a momentary lower power represents a ―zero.‖
`
`33.
`
`In FM, the frequency of the RF signal is adjusted, where for example a momentary higher frequency
`
`represents a ―one‖ and a momentary lower frequency represents a ―zero.‖
`
`34.
`
`Phase shift keying modulates the shape of the RF carrier wave. For example, a carrier wave
`
`momentarily reversed in polarity could represent a ―one‖ while no reversal, or shift, could represent a ―zero.‖
`
`―Differential‖ phase shift keying indicates one of multiple rules for how bit values are indicated by specific phase
`
`shifts.
`
`35.
`
`Examples of digital amplitude and phase shift keying are illustrated in Figure 8 below. Information bit
`
`changes occur on the dotted lines, with the resulting changes in the modulated signal shown for amplitude and
`
`phase modulation. In this amplitude-modulated example, a value ―one‖ is indicated by a higher power level and
`
`a ―zero‖ is indicated by a lower power level. In this phase-modulated example, a value ―1‖ is indicated by a 180
`
`degree shift in the signal, i.e., a reversal in polarity. A ―0‖ is indicated in this example by no phase shift. Other
`
`phase modulation schemes would result different modulated signals.
`
`
`Moring Declaration
`
`
`
`
`
`
`
`page 16
`
`SONY Exhibit 1012 - 0016
`
`

`

`
`
`Figure 8: Modulation examples
`
`
`
`
`
`VI. The ‘391 patent
`
`36.
`
`Having studied the ‗391 patent, and the Haartsen and Giannakis references, I find that every element
`
`of claims 1, 3, 4, 5, 6, and 10 in the ‗391 patent is disclosed and described in the Haartsen reference.
`
`37.
`
`I find that every element of claim 2 in the ‗391 patent is disclosed and described in the Haartsen
`
`reference combined with the Giannakis paper. The Giannakis paper discloses and describes the de-interleaver
`
`element of challenged claim 2.
`
`
`Moring Declaration
`
`
`
`
`
`
`
`page 17
`
`Unmodulated carrier wave
`
`Amplitude-modulated wave
`
`Phase-modulated wave
`
`0
`
`1
`
`0
`
`0
`
`1
`
`1
`
`Data
`
`SONY Exhibit 1012 - 0017
`
`

`

`
`
`38.
`
`Also, if it is found that the Haartsen reference does not adequately disclose the elements of the ‘391
`
`patent claims dealing with reducing intersymbol interference, the Giannakis paper discloses the elements of
`
`each of the challenged claims related to ISI. It is my opinion that the Haartsen reference in combination with the
`
`Giannakis paper disclose and describe every element of claims 1, 2, 3, 4, 5, 6, 10 in the ‗391 patent.
`
`39.
`
`I discuss the rationale for combining Haartsen and Giannakis in VII. I have provided Attachment 1:
`
`Claim Charts showing where each element of the challenged claims of the ‗391 patent is disclosed in the
`
`Haartsen and Giannakis references.
`
`Claim
`
`Haartsen reference
`
`Haartsen reference plus Giannakis paper
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`10
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`40.
`
`In the remainder of this section I discuss certain aspects of prior art disclosures in greater detail.
`
`VI.A.
`
`“Direct conversion module” and “homodyne receiver”
`
`41.
`
`See V.A for a general discussion of direct conversion. The ―direct conversion module‖ is found in each
`
`of the challenged claims in the ‗391 patent. While ―direct conversion‖ is not found in the Haartsen reference, a
`
`―homodyne‖ receiver is disclosed in the '892 patent (at 2:39, 3:48, and 4:57). As is known to one skilled in the
`
`art of wireless communication systems, a homodyne receiver is synonymous with a direct conversion receiver.
`
`(The ―homo‖ of homodyne refers to the use of the same frequency reference that was used to convert the
`
`
`Moring Declaration
`
`
`
`
`
`
`
`page 18
`
`SONY Exhibit 1012 - 0018
`
`

`

`
`
`original signal to a radio frequency, to down-convert the received signal to baseband at the receiver. In a
`
`heterodyne receiver, a different reference is used, resulting in an intermediate frequency and multiple steps in
`
`the down conversion process. See V.A for further discussion of direct conversion.) This is confirmed by the
`
`following text from U.S. Patent No. 5,530,929, filed in 1993, 1:30–1:36.
`
`―Prior art receivers that have been used in this technical field were of the conventional
`heterodyne type. For applications in small low cost mobile communication systems
`these receivers suffer from high production costs caused by expensive and non-
`integrable RF and IF components such as band pass filters. To overcome such
`drawbacks alternative receivers have been developed. These receivers are based on
`the direct conversion principle. The local oscillator frequency is equal to the received
`carrier frequency and, consequently, the received signal is converted to the base band
`in one single step. This concept was first introduced for SSB-receivers but can be
`used in many different types of modulation, particularly for digital quadrature
`modulation schemes.
`In a homodyne receiver or a zero-IF-receiver the received signal and the local
`oscillator operate at exactly the same frequency.‖
`
`VI.A.1. Obviousness of direct conversion module
`
`42.
`
`In my opinion, use of a direct conversion module would at least have been obvious to one of ordinary
`
`skill in the art in 1999, based on the Haartsen reference. In a radio receiver, as I explain in V.A of this paper,
`
`the received radio signal is converted to a baseband signal prior to demodulation and data interpretation. The
`
`receiver designer has two general design choices: direct conversion (homodyne) or indirect conversion
`
`(heterodyne). Each achieves the same result, with tradeoffs guiding the designer in the choice of one or the
`
`other. The ‘892 patent expressly references a homodyne receiver (at 2:39, 3:48, and 4:57).
`
`43.
`
`The designer would perform an engineering tradeoff analysis to select the receiver frequency
`
`conversion method most appropriate to a given product. Receiver design tradeoff criteria typically include cost,
`
`size, and error robustness, with the ultimate choice of conversion method depending on the weight given to
`
`each criterion. A direct conversion design, for example, typically has higher up front design effort but a lower
`
`parts count, giving it a cost advantage in high-quantity manufacturing runs.
`
`
`Moring Declaration
`
`
`
`
`
`
`
`page 19
`
`SONY Exhibit 1012 - 0019
`
`

`

`
`
`44.
`
`Based on the ‘892 patent‘s references to a homodyne receiver, depending on the outcome of the
`
`design analysis, one of ordinary skill in the art would have been motivated to employ a direct conversion
`
`module in the system of Haartsen when developing a radio receiver in the timeframe relevant to the ‗391
`
`patent.
`
`VI.B.
`
`“Reduced intersymbol interference coding” and “DPSK”
`
`45.
`
`See V.B and V.D for a general discussion of reduced intersymbol interference coding and DPSK,
`
`respectively. The claim element ―reduced intersymbol interference coding‖ is found in each of the challenged
`
`claims in the ‗391 patent. The specification of the ‗391 patent does not describe any specific coding
`
`mechanisms or other techniques for reducing ISI.
`
`VI.B.1. ISI coding, differential encoding, and DPSK
`
`46.
`
`The inventor discussed ―suppressing intersymbol interference‖ and ―lowering signal detection error
`
`through reduced intersymbol interference coding‖ during prosecution of the parent applications to the ‗391
`
`patent. The following is found in the file history of Application No. 13/356,949 (a child of the ‘391 patent),
`
`response to the office action dated 02/20/2015, page 2-3, Exhibit 1016 at 0160-61:
`
`―The Reed-Solomon reference in Lindemann and Roberts is not directed toward
`differential encoding/decoding (DPSK).... Whereas differential encoding/decoding (in
`the present invention) applies a known phase relationship to the audio representation
`data at the encoder, then during decoding, a received piece of audio representation
`data is used as a reference for the following piece of audio representation data to aid
`in suppressing intersymbol interference (lSI).‖
`
`47.
`
`Also on page 2 of the 02/20/2015 response to the office action, Exhibit 1016 at 0160, we find the
`
`following.
`
`―It is well known that DPSK is a differential encoding scheme (pages 11 and 12 of the
`[office] Action). The invention utilizes differential encoding for, among other things,
`noise immunity (e.g., inter-symbol interference noise reduction) as claimed (‗... capture
`packets and a correct bit sequence within the packets aided by lowering signal
`detection error through reduced intersymbol interference coding ... ‗).‖
`
`
`Moring Declaration
`
`
`
`
`
`
`
`page 20
`
`SONY Exhibit 1012 - 0020
`
`

`

`
`
`48.
`
`And further in the 02/20/2015 response to the office action, on pages 3–4, Exhibit 1016 at 0161-62:
`
`―In the present invention the transmitter encodes and the receiver decodes the
`differential coding to correct for interference created by phase issues presented by the
`potentially mobile environment of the present invention.‖
`
`49.
`
`Here, the inventor explicitly associates the DPSK coding of the invention with reduced intersymbol
`
`inference and lowering signal detection error. Therefore, in the claim charts of Attachment 1: Claim Charts, I
`
`include disclosures of DPSK in the prior art to show coverage of claim limitations related to ―reduced
`
`intersymbol interference coding‖ and similar limitations.
`
`50.
`
`―DPSK‖ stands for differential phase shift ke