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`Petition for Inter Partes Review
`of U.S. Patent No. 8,102,833
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`HUAWEI DEVICE CO., LTD.,
`Petitioner
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`OPTIS CELLULAR TECHNOLOGY, LLC,
`Patent Owner
`Case No. To Be Assigned
`Patent No. 8,102,833
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`FIRST DECLARATION OF DR. JONATHAN WELLS
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 8,102,833: CLAIMS 1-14
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`First Declaration of Dr. Jonathan Wells
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`TABLE OF CONTENTS
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`I.
`INTRODUCTION .......................................................................................... 1
`QUALIFICATIONS ....................................................................................... 2
`II.
`III. MATERIALS CONSIDERED ....................................................................... 6
`IV. SCOPE OF OPINIONS .................................................................................. 9
`V.
`LEGAL PRINCIPLES .................................................................................... 9
`VI. LEVEL OF ORDINARY SKILL IN THE ART .......................................... 13
`VII. BACKGROUND TO THE TECHNOLOGY .............................................. 13
`A. Mobile Radio Communications ......................................................... 13
`B.
`Long Term Evolution ......................................................................... 16
`1.
`OFDMA and SC-FDMA .......................................................... 17
`2.
`LTE Uplink Signal Processing................................................. 23
`3.
`Reference Signals ..................................................................... 28
`Signal Processing Functionality ......................................................... 29
`1.
`Interleaving .............................................................................. 29
`2.
`Padding, Puncturing and Overwriting ..................................... 31
`VIII. SUMMARY OF THE ’833 PATENT .......................................................... 32
`A.
`Priority Date ....................................................................................... 32
`B.
`Overview of the ’833 Patent ............................................................... 33
`C.
`Prosecution History Summary of the ’833 Patent .............................. 45
`D.
`Challenged Claims ............................................................................. 46
`IX. CLAIM CONSTRUCTION ......................................................................... 46
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`C.
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`“serially multiplexing first control signals and data signals . . .,
`wherein the first control signals are placed at a front part of the
`multiplexed signals and the data signals are placed at a rear part
`of the multiplexed signals” (Claim 1) ................................................ 47
`“mapping” / “mapped” (Claims 1, 8) ................................................. 47
`“mapping the multiplexed signals to” (Claims 1, 8) .......................... 48
`“mapping ACK/NACK control signals to” (Claims 1, 8) .................. 48
`“the ACK/NACK control signals overwrite some of the
`multiplexed signals mapped to the 2-dimensional resource
`matrix at step (b) from the last row of the specific columns”
`(Claims 1, 8) ....................................................................................... 48
`“serially multiplexing first control signals and data signals,
`wherein the first control signals are placed at a front part of the
`multiplexed signals and the data signals are placed at a rear part
`of the multiplexed signals” (Claim 8) ................................................ 48
`“single carrier frequency divisional multiple access (SC-
`FDMA) and subcarriers for each SC-FDMA symbol” (Claim 8) ...... 49
`THE CHALLENGED CLAIMS OF THE ’833 PATENT ARE
`TAUGHT BY THE PRIOR ART ................................................................. 49
`A.
`Prior Art .............................................................................................. 49
`1.
`Papasakellariou (Ex. 1006) ..................................................... 49
`2.
`Cho (Ex. 1010) ......................................................................... 68
`3. Motorola (Ex. 1011) ................................................................ 77
`Ground I: Claims 1-14 Are Obvious Over the Combination of
`Papasakellariou, Cho, and Motorola ................................................. 81
`1.
`Claim 1 ..................................................................................... 81
`2.
`Claim 2 ................................................................................... 133
`3.
`Claim 3 ................................................................................... 134
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`B.
`C.
`D.
`E.
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`F.
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`G.
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`X.
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`B.
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`4.
`Claim 4 ................................................................................... 137
`Claim 5 ................................................................................... 142
`5.
`Claim 6 ................................................................................... 143
`6.
`Claim 7 ................................................................................... 149
`7.
`Claim 8 ................................................................................... 150
`8.
`Claim 9 ................................................................................... 152
`9.
`10. Claim 10 ................................................................................. 152
`11. Claim 11 ................................................................................. 153
`12. Claim 12 ................................................................................. 153
`13. Claim 13 ................................................................................. 153
`14. Claim 14 ................................................................................. 154
`XI. CONCLUSION ........................................................................................... 154
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`I.
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`INTRODUCTION
`1. My name is Jonathan Wells, and I have been retained as an expert on
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`behalf of Huawei Device Co., Ltd. (“Huawei”), the Petitioner in the present
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`proceeding. I am being compensated at my usual and customary hourly rate. I
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`have no financial interest in, or affiliation with, the petitioner, real parties-in-
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`interest, or the Patent Owner, which I understand to be Optis Cellular Technology,
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`LLC. My compensation is not dependent upon the outcome of, or my testimony
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`in, the present inter partes review or any related litigation proceedings.
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`2. My opinions are based on my years of education, research and
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`experience, as well as my investigation and study of relevant materials. The
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`materials that I studied for this declaration include all exhibits of the petition.
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`3.
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`I may rely upon my knowledge and experience, the materials set forth
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`in Section III below, and/or additional materials to rebut arguments raised by the
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`Patent Owner. Further, I may also consider additional documents and information
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`in forming any opinions, including documents that may not yet have been provided
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`to me.
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`4. My analysis of the materials produced in this litigation is ongoing and
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`I will continue to review any new material as it is provided. This Declaration
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`represents only those opinions I have formed to date. I reserve the right to revise,
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`supplement, and/or amend my opinions stated herein based on new information
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`and on my continuing analysis of the materials already provided.
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`II. QUALIFICATIONS
`I am an expert in the field of wireless communications. I have
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`studied, taught, practiced, and researched this field for thirty years. I summarize in
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`this section my educational background, work experience, and other relevant
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`qualifications. My curriculum vitae is attached as Exhibit 1009.
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`6.
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`I earned my Bachelor of Science degrees in Physics and Physical
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`Electronics with First Class Honors from the University of Bath in 1987. In 1991,
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`I earned my Ph.D. in Microwave Physics from the University of Bath. I earned my
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`Masters of Business Administration with distinction in 1998 from Massey
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`University in New Zealand.
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`7.
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`From 1990 to 1992, I worked at the University of Bath as a
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`Postdoctoral Research Officer. During this time, I researched and developed novel
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`integrated semiconductor devices, including developing software models to predict
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`the performance of these and other devices. I also taught undergraduate classes
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`and ran laboratory sessions.
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`8.
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`From 1993 to 1994, I was a Senior Design Engineer at Matra Marconi
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`Space, where I developed integrated electronic components and space-qualified
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`sub-systems for two satellite payloads.
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`9.
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`From 1994 to 1998, I was employed by MAS Technology (now Aviat
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`Networks) in Wellington, New Zealand; first as a Senior Design Engineer before
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`being promoted to Engineering Group Manager. During this time, I was
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`responsible for hardware development for three families of telecommunication
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`equipment and sustaining development for a family of satellite ground station
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`terminals. I personally designed a wide range of RF devices, and was responsible
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`for the company’s European regulatory approvals.
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`10. From 1998 to 2000, I was with Adaptive Broadband (now GE Digital
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`Energy) in Rochester, NY, first as an Engineering Group Leader, and then as
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`Director of Wideband Products. In this latter role, I had full profit and loss
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`responsibility for the Terrestrial Infrastructure Group, where I also oversaw the
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`development of a family of digital radios and associated switching and
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`multiplexing equipment.
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`11. From 2000 to 2004, I was Director of Product Development at Stratex
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`Networks (now Aviat Networks) in San Jose, CA. At Stratex Networks I was
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`responsible for global product development of a portfolio of high-end digital
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`microwave radios primarily for cellular applications. I led a development team of
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`35 engineers, and provided technical leadership of Stratex’s flagship Eclipse
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`product.
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`12. From 2005 to 2007, I was Director of Product Management and
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`Global Regulatory Affairs at GigaBeam Corporation in Herndon, VA. At
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`GigaBeam, I was responsible for overall product strategy for a novel, industry-
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`transforming wireless communication product. During this time, I had
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`responsibility for establishing a global regulatory framework for this new product,
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`which included developing Federal Communications Commission (“FCC”),
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`European Conference of Postal and Telecommunications Administrations
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`(“CEPT”), and European Telecommunications Standards Institute (“ETSI”)
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`standards to cover the specification and regulation of the system. I participated in
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`multiple standard setting meetings, including ETSI meetings, where I personally
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`submitted technical contributions, attended technical meetings, and contributed
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`input to technical specifications. I also personally met multiple times with over a
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`dozen different international regulatory bodies to help setup wireless regulations
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`within their countries.
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`13.
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`I have been Managing Partner of AJIS Consulting since 2007. As an
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`independent consultant, I provide expertise on various aspects of wireless
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`communications, including, but not limited to, cellular technologies, wireless
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`devices, network infrastructure, and wireless rules and regulations. In that
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`capacity, I have undertaken multiple projects consulting on these topics, as well as
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`analyzing patents and commercial equipment, for a variety of clients in the
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`communications industry. I have conducted a number of technical workshops on
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`various aspects of wireless technology, including cellular networks, mm-wave
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`radios, security sensors, and short-range radios. I have also helped public
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`companies, private entities, and startups with product development and marketing
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`strategies for wireless products, as well as preparing technical submissions for
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`standards setting meetings.
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`14.
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`I have written multiple books, industry reports and journal and
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`conference papers, most of which focus on wireless communications systems. For
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`example, I am the author of “Multi-Gigabit Microwave and Millimeter-Wave
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`Wireless Communications” (Artech House, 2010). I have authored four
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`comprehensive industry reports on cellular connectivity for Mobile Experts. I have
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`lectured as part of undergraduate programs at UC Berkeley, Carnegie Mellon
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`University, and University of Bath, and have given over two dozen lectures and
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`conference presentations on topics germane to wireless communications.
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`15.
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`I am a named inventor on the following issued patents and published
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`patent applications:
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`• U.S. Patent No. 7,623,829: Transceiver power detection and control
`architecture;
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`• U.S. Patent No. 7,236,745: Transceiver power detection architecture;
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`•
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`International Publication No. WO 2004/080035: Transceiver power
`detection architecture;
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`• European Patent Publication No. EP 1599952 A2: Transceiver power
`detection architecture; and
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`• Chinese Published Patent Application No. CN 1757186A: Transceiver
`power detection architecture.
`I have been a member of the Institute of Electrical and Electronic
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`16.
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`Engineers (“IEEE”) since 1995 and a Senior Member of IEEE since 1999. I am
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`also a Member of the IEEE Communications Society and the IEEE Microwave
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`Theory and Techniques Society. I was a reviewer for the U.S. Government’s
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`Broadband Technology Opportunity Program and the Broadband Initiatives
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`Program, both part of American Recovery and Reinvestment Act of 2009. I have
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`been a Chair or Co-Chair of numerous technology workshops and symposia related
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`to wireless communications technology. I have also been a member of ETSI and
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`the 3rd Generation Partnership Project (“3GPP”).
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`17.
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`If asked, I will testify regarding my qualifications, background and
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`experience in the field of wireless communications.
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`III. MATERIALS CONSIDERED
`In preparing this Declaration, I have reviewed and relied upon the
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`following list of materials:
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`Exhibit No. Description
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`1001
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`1002
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`U.S. Patent No. 8,102,833 (the “’833 patent”)
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`File History for the ’833 Patent
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`1003
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`File History for U.S. Provisional Application No. 60/972,244
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`1004
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`1005
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`1006
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`1007
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`1010
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`1011
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`1012
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`1013
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`1014
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`1015
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`1016
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`1017
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`File History for U.S. Provisional Application No. 60/987,427
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`U.S. Patent Publication No. 2008/0304467 (“Papasakellariou
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`Publication”)
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`U.S. Patent No. 8,331,328 (“Papasakellariou”)
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`U.S. Provisional Application No. 60/942,843 (“Papasakellariou
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`Provisional”)
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`U.S. Patent Publication No. 2006/0262871 (“Cho”)
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`Motorola, 3GPP TSG RAN WG1 #50, R1-073361, “Uplink
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`channel interleaving”
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`File History for U.S. Provisional Application No. 60/988,433
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`Claim Construction Order, Optis Wireless Tech., LLC and
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`PanOptis Patent Mgmt., LLC v. Huawei Techs. Co. Ltd., et al.,
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`Case No. 2:17-cv-123 JRG-RSP, Dkt. #114 (E.D. Tex. filed Jan.
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`18, 2018)
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`U.S. Patent Publication No. 2003/0185159 (“Seo”)
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`U.S. Patent Publication No. 2006/0098568 (“Oh”)
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`U.S. Patent No. 6,421,527 (“DeMartin”)
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`WIPO Publication No. 2007/081145 (“Kwak”)
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`1018
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`Second Amended Complaint, Optis Wireless Tech., LLC and
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`PanOptis Patent Mgmt., LLC v. Huawei Techs. Co. Ltd., et al.,
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`Case No. 2:17-cv-123 JRG-RSP, Dkt. #22 (E.D. Tex. filed March
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`21, 2017)
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`Declaration of Xiaoan Fan
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`File History for U.S. Provisional Application No. 60/942,843
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`(“Papasakellariou Provisional”)
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`Second Declaration of Dr. Jonathan Wells
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`EP Patent Publication No. 1793639
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`“3GPP – LTE” webpage, available at
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`1019
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`1020
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`1021
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`1022
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`1023
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`http://www.3gpp.org/technologies/keywords-acronyms/98-lte
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`1024
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`3GPP TS 36.211 v2.0.0 (2007-09), Technical Specification Group
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`Radio Access Network; Evolved Universal Terrestrial Radio
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`Access (E-UTRA); Physical Channels and Modulation (Release 8)
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`1025
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`3GPP TS 36.212 v2.0.0 (2007-09), 3rd Generation Partnership
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`Project; Technical Specification Group Radio Access Network;
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`Evolved Universal Terrestrial Radio Access (E-UTRA);
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`Multiplexing and channel coding (Release 8)
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`1026
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`U.S. Patent No. 6,732,316 (“Tong”)
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`IV. SCOPE OF OPINIONS
`I have been asked to provide my opinions regarding whether claims 1-
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`14 of U.S. Patent No. 8,102,833 (the “’833 patent”) would have been obvious to a
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`person of ordinary skill in the art, at the time of the alleged invention, over the
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`combination of U.S. Patent No. 8,331,328 (“Papasakellariou”), U.S. Patent
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`Application Publication No. 2006/0262871 (“Cho”), and 3GPP contribution
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`document R1-073361 (“Motorola”).
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`V. LEGAL PRINCIPLES
`20. Several legal standards have been explained to me that I should
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`consider as part of my analysis.
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`21.
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`I understand that the Petitioner Huawei bears the burden of proving
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`the instituted grounds of unpatentability by a preponderance of the evidence. I
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`understand that a “preponderance” means “more likely than not.” I understand that
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`general and conclusory assertions, without underlying factual evidence, may not
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`support a conclusion that something is “more likely than not.”
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`22. Rather, the preponderance of the evidence standard requires that a
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`reasonable finder of fact be convinced that the existence of a specific material fact
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`is more probable than the non-existence of that fact. The preponderance of the
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`evidence standard does not support speculation regarding specific facts, and is
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`instead focused on whether the evidence more likely than not demonstrates the
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`existence or non-existence of specific material facts. For Huawei’s Petition, I
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`understand that Huawei has argued that the claims at obvious in view of certain
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`prior art references.
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`23.
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`I have been informed that a reference may qualify as prior art if it was
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`known or used by others in this country, or patented or described in a printed
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`publication in this or a foreign country, before the invention by the patent holder.
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`24.
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`I have also been informed that a reference may qualify as prior art if
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`the invention was patented or described in a printed publication in this or a foreign
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`country or in public use or on sale in this country, more than one year before the
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`effective filing date.
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`25. For a printed publication to qualify as prior art, I understand that the
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`Petitioner must demonstrate that the publication was disseminated or otherwise
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`sufficiently accessible to the public.
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`26.
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`It is my understanding that information in prior art documents may be
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`considered part of the general knowledge of a person of ordinary skill in the art
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`(“POSITA”).
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`27. For a U.S. patent to rely on the filing date of a provisional patent
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`application to which the U.S. patent claims priority, I understand that the subject
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`matter of the provisional patent must be carried forward into the U.S. patent’s
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`disclosure, and the provisional patent must provide written description support to
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`one or more claims of the issued U.S. patent.
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`28.
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`It is my understanding that there are two ways in which prior art may
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`render a patent claim unpatentable. First, the prior art can be shown to “anticipate”
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`the claim. Second, the prior art can be shown to have made the claim “obvious” to
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`a POSITA.
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`29.
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`It is my understanding that a patent claim is unpatentable as being
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`obvious in view of prior art if the differences between the subject matter sought to
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`be patented and the prior art are such that the subject matter as a whole would have
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`been obvious, at the time the alleged invention was made, to a POSITA to which
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`said subject matter pertains. I further understand that an obviousness analysis
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`takes into consideration factual inquiries such as the level of ordinary skill in the
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`art, the scope and content of the prior art, and the differences between the prior art
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`and the patent claim.
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`30.
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`I understand that the U.S. Supreme Court has recognized several
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`rationales for combining references and for modifying a reference as part of an
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`obviousness analysis. These rationales include combining prior art elements
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`according to known methods to yield predictable results, simple substitution of a
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`known element for another to obtain predictable results, a predictable use of prior
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`art elements in accordance with their established functions, applying a known
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`technique to improve a known device (or process) and yield predictable results,
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`and Choosing from a finite number of known predictable solutions with a
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`reasonable expectation of success. It is further my understanding that an
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`obviousness analysis takes into consideration whether the prior art provides a
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`teaching, suggestion, or motivation to combine teachings of multiple prior art
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`references to arrive at the patent claim.
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`31.
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`I have also been informed that the claimed invention must be
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`considered as a whole in analyzing obviousness or non-obviousness. In
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`determining the differences between the prior art and the claims, the question
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`under the obviousness inquiry is not whether the differences themselves would
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`have been obvious, but whether the claimed invention as a whole would have been
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`obvious.
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`32. Relatedly, I understand that it may be appropriate to consider whether
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`there is evidence of a “teaching, suggestion, or motivation” to combine the prior art
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`teachings in the prior art, the nature of the problem or the knowledge of a POSITA.
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`33.
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`I further understand that certain objective indicia can be important
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`evidence regarding whether a patent is obvious or nonobvious, including the
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`existence of a long-felt but unsolved need, unexpected results, commercial success,
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`copying, and industry acceptance or praise. Evidence of such objective indicia
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`must be considered when present.
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`VI. LEVEL OF ORDINARY SKILL IN THE ART
`34. For the ’833 patent, a person of ordinary skill in the art at the time of
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`the alleged invention (“POSITA”) would be someone with a working knowledge
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`of wireless networking. The person would have gained this knowledge through an
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`undergraduate Bachelor of Science degree in Electronic Engineering or a related
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`field, and approximately two years of education, training or experience in the
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`design, development, and/or testing of cellular networks . This description is
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`approximate, and a higher level of education or skill might make up for less
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`experience, and vice-versa.
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`VII. BACKGROUND TO THE TECHNOLOGY
`A. Mobile Radio Communications
`In a radio communication system, data is transmitted from one place
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`to another wirelessly using a radio transmitter and a radio receiver. In a mobile
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`communication system, a user can move around and still send and receive data
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`without being disconnected. Such a mobile communication system would consist
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`of a base station, which transmits signals to (and receives signals from), devices
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`within an area surrounding the base station. This area of coverage is known as a
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`cell. As a user moves around the cell, the user remains connected to the base
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`station and can receive signals from (and transmit signals to) the base station. As a
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`user moves outside the cell and into the coverage area of an adjacent base station,
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`any ongoing connections are seamlessly transferred to the adjacent base station,
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`which then continues the communication with the user. This is known as hand
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`over or hand off.
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`36.
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`In such a mobile communications system, the base station
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`communicates with the user device in a bi-directional manner; the base station
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`sends signals to the user device, and the user devices sends signal to the base
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`station. These two transmissions can occur simultaneously. The signals
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`transmitted from the base station down to the user device are called “downlink”
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`signals, and signals from the user device up to the base station are “uplink” signals.
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`This is depicted below.
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`37. Both the downlink and uplink carry “user data signals.” For example,
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`when in user is engaged in a voice call on a mobile phone, the base station sends
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`user data signals corresponding to voice information on the downlink to the user
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`device (e.g., the user on the mobile phone is able to listen to talk during the phone
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`information on the uplink to the base station (e.g., the same user is able to talk back
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`on the phone call). Another example would be a downlink carrying user data
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`signals corresponding to digital information (e.g., a user device receiving a text
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`message or email, or downloading or streaming a video to the user’s smartphone).
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`Additionally, uplink signals can also carry user data signals (e.g., a user can send
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`emails or upload photos to a social media site). In all these situations, the data
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`signals received or sent are known as “user data signals” or more simply “data
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`signals.”
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`38.
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`In order to send such user data signals, the base stations and user
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`devices need to send additional signaling between the devices, so that the two can
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`synchronize together and share information about the user data signals so that they
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`can be properly received and decoded. Such information is known as “control
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`signals.” An example of a downlink control signal would be information about
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`how the transmitted data signal is encoded. This would be sent so that the user
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`device will then know how to decode the received information. An example of an
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`uplink control signal would be an acknowledgement sent by the user device back
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`to the base station to confirm that it has properly received the transmitted data
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`signal. Such acknowledgements can be a positive acknowledgment (known as an
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`ACK) if the data signal was properly received, or a negative acknowledgement
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`(NACK) if there was some problem receiving the data signal.
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`39. At the time of the filing of the ’833 patent, the concept of sending data
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`signals and control signals on an uplink in a mobile communication system was
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`well known. For example, as disclosed in the Discussion of the Related Art
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`section, the ’833 patent concedes: “A user equipment (UE) of a mobile
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`communication system transmits various signals through an uplink. Uplink signals
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`transmitted by the user equipment can be segmented into data signals and control
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`signals. Also, examples of the control signals transmitted to the uplink include
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`uplink ACK/NACK signals for HARQ [(hybrid automatic repeat request)]
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`communication, channel quality indicator (CQI) information, and preceding matrix
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`index (PMI).” Ex. 1001, 1:26-32.
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`Long Term Evolution
`B.
`40. Long Term Evolution (LTE) is the name given to the radio part of the
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`fourth generation (4G) mobile communication network widely deployed in the US
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`today. In relevant part, an LTE network consists of base stations (known as an
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`eNodeB or eNB) and multiple user devices (known as a User Equipment or UE).
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`The responsibility for managing the development and maintenance of LTE resides
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`with a group called 3GPP (Third Generation Partnership Project).1
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`41. The radio transmission between an eNodeB base station and a UE in
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`LTE uses a multicarrier transmission scheme known based on a technique known
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`as OFDM (orthogonal frequency division multiplexing). In most previous radio
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`systems, a single radio wave (known as a carrier) was used to carry the uplink
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`and/or downlink signal between the eNodeB and/or UE. Such systems are known
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`as single carrier systems. In LTE, a multicarrier system was chosen. Here radio
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`transmission occurs using a multitude of closely spaced carriers. These carriers are
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`known as “subcarriers” and are chosen with a particular property called
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`orthogonality that means that the subcarriers do not interfere with one another.
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`1. OFDMA and SC-FDMA
`In LTE, the uplink and downlink are both based on OFDM, but each
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`42.
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`is implemented differently. This is shown pictorially below.2 For the downlink, a
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`technique called OFDMA (orthogonal frequency division multiple access) is used.
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`In OFDMA the subcarriers can be shared between multiple users. OFDMA has a
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`1 Although 3GPP contains the acronym 3G, the group is also responsible for 4G/LTE
`specifications. This is because 3GPP was formed in 1998 to develop the original 3G
`specification. Since that time, their responsibility has grown to develop the 4G/LTE
`specifications and also future 5G specifications. However, 3GPP retains its original name,
`including the 3G acronym.
`2 See Ex. 1023 (available at http://www.3gpp.org/technologies/keywords-acronyms/98-lte).
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`number of performance advantages. However, a major downside of OFDMA is
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`that to transmit OFDMA signals, high performance amplifiers are required,
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`meaning expensive transmitters with high power consumption.3 The use of such
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`amplifiers at a base station is acceptable, but would be impractical in a UE. For
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`this reason, a different solution was selected for the uplink. Here a technique
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`called SC-FDMA (Single Carrier – Frequency Division Multiple Access) is used.
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`In SC-FDMA, information to be transmitted is not assigned directly to each
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`subcarrier independently, as it is in OFDMA. Instead, an additional signal
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`processing step is taken to assign information to be transmitted to a group of
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`subcarriers, whereby each subcarrier within the group of subcarrier carries a
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`combination of all the information to be transmitted. A DFT (Discrete Fourier
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`Transform) element is used for this purpose, which is why SC-FDMA is also
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`known as DFT-spread OFDMA.4 Because of this dependence, each group of
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`subcarriers behaves as if it were a single carrier. As such, the SC-FDMA uplink
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`used in LTE can be transmitted by a UE without the need for a high performa