Declaration of Xiaoan Fan
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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
`v.
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`OPTIS CELLULAR TECHNOLOGY, LLC,
`Patent Owner
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`Case No. To Be Assigned
`Patent No. 8,102,833
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`DECLARATION OF XIAOAN FAN
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 8,102,833: CLAIMS 1-14
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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
`v.
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`OPTIS CELLULAR TECHNOLOGY, LLC,
`Patent Owner
`
`Case No. To Be Assigned
`Patent No. 8,102,833
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`DECLARATION OF XIAOAN FAN
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 8,102,833: CLAIMS 1-14
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`Declaration of Xiaoan Fan
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,102,833
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`Introduction
`I.
`1. My name is Xiaoan (Elean) Fan. I am the 3GPP Radio Access Network
`
`(RAN) coordinator and a principal engineer at Huawei Technologies Co., Ltd.
`
`(“Huawei”). I have been employed by Huawei since 2005.
`
`2.
`
`The Third Generation Partnership Project (“3GPP”) is an organization
`
`consisting of seven telecommunications standard development groups—The
`
`Association of Radio Industries and Businesses, Japan (ARIB), The Alliance for
`
`Telecommunications Industry Solutions, USA (ATIS), China Communications
`
`Standards Association (CCSA), The European Telecommunications Standards
`
`Institute (ETSI), Telecommunications Standards Development Society, India
`
`(TSDSI), Telecommunications Technology Association, Korea (TTA), and
`
`Telecommunication Technology Committee, Japan (TTC), which are also known
`
`as “Organizational Partners”. Members of 3GPP develop complete network
`
`system specifications by exchanging information regarding cellular
`
`telecommunications network technologies, including radio access, non-radio
`
`access, the core transport network, Wi-Fi integration, and service capabilities—
`
`such as codecs, security, quality of service. 3GPP’s specifications and studies are
`
`driven by contributions by member companies. The 3GPP technologies from these
`
`groups are constantly evolving through generations of commercial cellular/mobile
`
`1
`
`
`
`
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`systems (such as the Universal Mobile Telecommunications System (UMTS)
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`Wideband Code Division Multiple Access (WCDMA)).
`
`3.
`
`For more than 10 years, since May 2007, I have served as one of Huawei’s
`
`delegates to 3GPP in one of the 3GPP’s Specification Groups—Radio Access
`
`Network Working Group 1 (“RAN WG1”). Since September 2015, I have also
`
`served as one of Huawei’s delegates to the 3GPP in another specification group—
`
`Technical Specification Group Radio Access Network (TSG RAN) Plenary group.
`
`Additionally, I served as the “Rapporteur” (i.e. primary contact) for the study items
`
`and work items of Small Cell Enhancements for E-UTRA and U-UTRAN - Physical
`
`Layer Aspects in 3GPP, and I was the editor of the associated Technical Report
`
`TR36.872. I am also a vice leader of IMT-2020 (5G) Promotion Group.
`
`4.
`
`During my time as a delegate to each Specification Group, I have regularly
`
`attended the meetings for the group. Since May 2007, I have attended most of the
`
`RAN WG1 meetings. In total, I have attended approximately 63 meetings for
`
`RAN WG1. I have also attended all of the TSG RAN Plenary meetings since
`
`September 2015.
`
`5.
`
`As a delegate to RAN WG1, I have been subscribed to RAN WG1’s e-mail
`
`reflector list “3GPP_TSG_RAN_WG1@LIST.ETSI.ORG” since 2007. I have
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`been active in RAN WG1, and over the past decade I have sent hundreds of e-mail
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`messages to RAN WG1’s e-mail reflector list and received tens of thousands of e-
`
`2
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`
`
`
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`mail messages from the RAN WG1’s e-mail reflector list. I have also been
`
`subscribed to the “3GPP_TSG_RAN_WG@LIST.ETSI.ORG” e-mail reflector list
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`and the “3GPP_TSG_RAN_DRAFTS@LIST.ETSI.ORG” e-mail reflector list
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`since around 2011.
`
`6.
`
`In general, before a RAN WG1 meeting, I exchanged e-mail messages with
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`delegates of other companies through RAN WG1’s e-mail reflector list to provide
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`and receive technical documents, called contributions, for discussion at the
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`meeting. Some of those e-mail messages provided the technical documents as e-
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`mail attachments. Right after the e-mail messages are received by the 3GPP email
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`reflector server, they become available publicly at
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`http://list.etsi.org/scripts/wa.exe?A0=3gpp_tsg_ran_wg1&D=0&H=0&O=T&T=
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`0. Since 2015, 3GPP has developed a 3GU portal for contribution submission and
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`delegates started to use the portal before each meeting for contribution submission.
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`7.
`
`The documents submitted to RAN WG1 are also uploaded to and available
`
`for download at 3GPP’s publicly available FTP server at
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`http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/. Some contributions were discussed
`
`at the RAN WG1 meetings, and all contributions submitted for the meeting were
`
`available electronically to any meeting attendee at a local server via a local WiFi
`
`network setup at the location where the meeting took place.
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`3
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`8.
`
`As a delegate for RAN WG1, I have sent e-mail messages to RAN WG1’s
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`reflector many times, submitting hundreds of technical documents on Huawei’s
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`behalf for discussion at the meetings.
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`9.
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`In my 11 years as a delegate for RAN WG1, I have also regularly accessed
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`3GPP’s website, including the location on 3GPP’s website storing technical
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`documents submitted to RAN WG1. That location is available at
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`http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/, which I refer to in this Declaration as
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`“RAN WG1’s public FTP directory.” Since 2007, I have accessed RAN WG1’s
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`public FTP directory in many ways. For example, I could enter the uniform
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`resource identifier of RAN WG1’s public FTP directory into an Internet browser.
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`Alternatively, I could access 3GPP’s homepage http://www.3gpp.org and then
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`navigate to the FTP folder for RAN WG1’s public FTP directory. Regardless of
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`which method I used to access RAN WG1’s public FTP directory, I have never
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`encountered a password requirement or any other restriction that would prevent me
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`or a member of the general public from accessing RAN WG1’s public FTP
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`directory.
`
`II. Materials Considered
`In preparing this Declaration, I have reviewed and relied upon the following
`
`10.
`
`list of materials:
`
`Exhibit No. Description
`
`4
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`Exhibit No. Description
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`1050
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`Internet Archive’s record of “3GPP E-mail Exploder Lists” webpage as
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`of July 5, 2007
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`1051
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`Internet Archive’s record of “Archives of
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`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG” webpage as of July 28,
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`2007
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`1052
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`Internet Archive’s record of “List Archives at LIST.ETSI.ORG”
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`webpage as of July 6, 2007
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`1053
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`3GPP RAN WG1 Meeting #50, List of Registered Attendees, View
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`1054
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`1055
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`1056
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`1057
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`1058
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`1059
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`Badges
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`3GPP RAN WG1 Meeting #50, List of Registered Attendees
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`List Archives at LIST.ETSI.ORG
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`Brian’s Classon’s e-mail message to RAN WG1’s e-mail reflector
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`dated August 14, 2007, as found on 3GPP’s public e-mail website
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`R1-073361_UL_channel_interleaver.doc
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`R1-073361_UL_channel_interleaver.doc
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`Internet Archive’s record of “http://www.3gpp.org/ftp/” webpage as of
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`July 30, 2007
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`1060
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`Internet Archive’s record of “TSG Organization” webpage as of July 5,
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`5
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`
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`Exhibit No. Description
`
`2007
`
`1061
`
`Internet Archive’s record of “TSG RAN WG1 (Radio layer 1)
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`Overview” webpage as of July 16, 2007
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`1062
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`Internet Archive’s record of “http://www.3gpp.org/ftp/” on August 13,
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`2007
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`1063
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`Internet Archive’s record of “http://www.3gpp.org/ftp/tsg_ran/” on
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`August 10, 2007
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`1064
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`Internet Archive’s record of
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`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/” on July 1, 2007
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`1065
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`Internet Archive’s record of
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`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/” on July 14,
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`2007
`
`1066
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`Internet Archive’s record of
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`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/” on
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`November 16, 2007
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`1067
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`Internet Archive’s record of
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`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Docs/” on
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`January 19, 2008
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`6
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`Exhibit No. Description
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`Tdoclist_RAN1 #50(Aug_2007).xls
`
`1068
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`
`
`III. General Practices of 3GPP
`A. 3GPP Specifications and Contributions
`In its ordinary course of business, and pursuant to its standard business
`
`11.
`
`practices, 3GPP publishes technical specifications, proposals, reports, and other
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`documents related to the development of cellular telecommunications standards.
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`Such documents are published to establish industry standards for cellular
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`telecommunications.
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`12. By 2007, more than 100 companies were members of 3GPP. The members
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`generally included companies that are interested in the discussion, creation, and
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`adoption of cellular telecommunications standards. Each of these companies
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`typically delegated one or more individuals to regularly participate in 3GPP
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`meetings, which were also open for registration to members of the general public.
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`As a regular delegate of Huawei, a member of 3GPP, as noted above, I regularly
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`attended the meetings for RAN WG1.
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`13. The 3GPP email archive is available to the general public without restriction
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`at https://list.etsi.org/scripts/wa.exe?INDEX. RAN WG1’s email archive is
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`7
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`available to the general public without restriction at
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`https://list.etsi.org/scripts/wa.exe?A0=3GPP_TSG_RAN_WG1.
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`14. Pursuant to 3GPP’s standard business practices, members of the public who
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`are subscribed to RAN WG1’s e-mail reflector list have been able to receive
`
`contribution documents submitted to the 3GPP email reflector. Subscribing to the
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`RAN WG1 e-mail reflector merely required a name and e-mail address. See, e.g.,
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`Ex. 1050 (Internet Archive’s record of “3GPP E-mail Exploder Lists” webpage as
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`of July 5, 2007 stating “[i]n order to subscribe to any of these [e-mail exploder]
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`lists please scroll down until you find the list you are interested in, click on the link
`
`and follow the simple instructions.”); Ex. 1051 (Internet Archive’s record of
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`“Archives of 3GPP_TSG_RAN_WG1@LIST.ETSI.ORG” webpage as of July 28,
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`2007 showing the link: “Join or leave the list (or change settings)”). Subscribers
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`did not need to be affiliated with 3GPP Organizational Partners or members of
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`those organizations. As of July 2007, the RAN WG1 e-mail reflector list had
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`1,161 subscribers. Ex. 1052, at 2 (Internet Archive’s record of “List Archives at
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`LIST.ETSI.ORG” webpage as of July 6, 2007 showing “tsg ran working group 1
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`(1,143 subscribers)”).
`
`15. The 3GPP’s FTP server is available to the general public without restriction
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`at http://www.3gpp.org/ftp/. RAN WG1’s FTP server is available to the general
`
`public without restriction at http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/.
`
`8
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`
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`Pursuant to 3GPP’s standard business practices, members of the public have been
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`able to access and download contribution documents when the documents had been
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`uploaded to 3GPP’s FTP server. RAN WG1 publishes proposals, technical
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`reports, technical specifications and other documents related to the development of
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`cellular telecommunications standards for the Radio Access Network (“RAN”) to
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`3GPP’s FTP server. By 2007, 3GPP’s FTP server was well-known to persons in
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`the cellular telecommunications industry as a source of public information
`
`regarding industry standards and technological advances. See Ex. 1062 (Internet
`
`Archive’s record of “http://www.3gpp.org/ftp/” on August 13, 2007).
`
`16. Thus, the general public had access to RAN WG1 documents through the
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`RAN WG1 e-mail reflector list and RAN WG1’s FTP server.
`
`B. Naming Convention for Contribution Documents
`In the ordinary course of 3GPP’s business, and pursuant to its standard
`
`17.
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`business practices, all draft technical specifications, proposals, reports, and other
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`documents to be discussed or considered in relation to 3GPP’s telecommunications
`
`standards activities are assigned a document number.
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`18. Each Technical Specification Group or Working Group selects a structured
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`numbering system for the contribution documents associated with their meetings,
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`and those systems typically follow a consistent numbering system as shown in the
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`following example: xminnzzzz. This numbering system has five elements:
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`9
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`
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`(1) x: a single letter corresponding to the TSG; where x is one of R (Radio
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`Access Network), N (Core Network), S (Service and System Aspects), T
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`(Terminals), G (GSM/EDGE Radio Access Network), C (Core network and
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`Terminals);
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`(2) m: a single character corresponding to the Working Group identity
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`(typically 1, 2, 3, etc.) or, in the case of the TSG itself, the letter “P”;
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`(3) i: normally the hyphen character “-“, although it may take on other
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`values depending on the nature of the meeting at which the document is
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`presented, e.g. the identity of a subgroup, or an “h” to indicate an ad hoc
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`meeting;
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`(4) nn: two digits to indicate the year, i.e. 99, 00, 01, etc.; and
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`(5) zzzz: a unique number of the document.
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`19.
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`In the 2007-2010 timeframe, if a 3GPP delegate wanted to make a
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`contribution, for example a change request to a Technical Report (“TR”) or
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`Technical Specification (“TS”) document, the delegate would first request a
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`document number from the secretary of the TSG or WG. A unique number was
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`then created based on a format for that TSG or WG, like the example disclosed in
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`the preceding paragraph, and assigned to that member. At that point, the number
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`and title for that contribution is fixed, and the filename for the document that is
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`stored on the 3GPP FTP server is that fixed number.
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`10
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`20.
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`It is also 3GPP’s standard business practice to list on the face of each
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`contribution, the date, location, and meeting number of the meeting where the
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`document is to be discussed. This information is recorded on the first page of the
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`document by one of the document’s authors or editors at or near the time the
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`document is created or presented to 3GPP.
`
`IV. Public Dissemination of R1-073361
`21. Based on my personal knowledge, I recognize Ex. 1011 (“R1-073361”) as a
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`true and correct copy of R1-073361, which document was published and freely
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`available by August 31, 2007 for the three reasons discussed in this section.
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`22. R1-073361 is a technical contribution submitted to 3GPP TSG RAN WG1.
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`It follows the naming convention (“xminnzzzz”) described in the preceding
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`section. Accordingly, “07” indicates the year (2007) that this technical
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`contribution was submitted to RAN WG1, and “3361” is the unique number that
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`was assigned to this contribution document. A portion of R1-073361 is excerpted
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`below.
`
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`23. As shown on the top-left portion of the face of the R1-073361 document,
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`
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`this contribution was submitted for “discussion and decision” at “3GPP TSG
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`11
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`
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`RAN1 #50,” which refers to Meeting 50 of RAN WG1. RAN WG1 Meeting #50
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`was held in Athens, Greece on August 20-24, 2007.
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`A. Public Dissemination at 3GPP TSG RAN WG1 Meeting #50
`I attended RAN WG1 Meeting #50, which was held on August 20-24, 2007,
`
`24.
`
`in Athens, Greece. Below is a digital copy of my badge from this meeting. See
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`Ex. 1053 (3GPP RAN WG1 Meeting #50, List of Registered Attendees, View
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`Badges), at 8:
`
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`25. RAN WG1 Meeting #50 was attended by 205 individuals representing more
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`
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`than 70 different organizations. Attached as Exhibit 1054 is a true and correct
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`copy of the list of registered attendees for RAN WG1 Meeting #50 (also available
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`at http://webapp.etsi.org/3GPPRegistration//fViewPart.asp?mid=26036). The
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`dates and locations of 3GPP Meetings for RAN WG1 are normally announced
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`more than a year in advance of the meetings.
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`26. Based on my personal knowledge, R1-073361 was electronically available
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`to attendees at RAN WG1 Meeting #50 via a local electronic distribution system.
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`Specifically, a local Wi-Fi server was set up by 3GPP for the meeting and
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`12
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`
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`accessible to all attendees of the meeting. The local server included, among other
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`things, all the contributions submitted before the meeting. The attendees were
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`informed and instructed by the meeting secretary on how to access documents on
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`the local server. In the rare event that one attendee did not know how to access a
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`contribution of interest on the local server, he or she could conveniently ask
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`another fellow attendee and could then easily find and download the contribution
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`of interest, if he or she had not already done so before the meeting. Because I
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`attended RAN WG1 Meeting #50, I had access to the local server at which R1-
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`073361 was made available for download to all attendees at that meeting on
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`August 20-24, 2007.
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`B. Public Dissemination through RAN WG1 E-mail Reflector:
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG
`27. Based on my personal knowledge, in the ordinary course of 3GPP RAN
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`WG1’s business and pursuant to 3GPP’s standard business practices before 2015,
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`contributions and discussion documents were typically distributed using 3GPP
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`RAN WG1’s public email reflector
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`list:“3GPP_TSG_RAN_WG1@LIST.ETSI.ORG.” In my experience, when an
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`email was sent to the RAN WG1 reflector list, the email and any attachments were
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`immediately available to (1) members of the public who are subscribed to the RAN
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`WG1 reflector list; and (2) members of the public who navigated to the RAN WG1
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`email reflector’s online archive that is maintained by one of 3GPP’s Organizational
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`13
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`
`
`
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`Partners, the European Telecommunications Standards Institute (ETSI) at
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`http://list.etsi.org/scripts/wa.exe?A0=3GPP_TSG_RAN_WG1. Subscribing to the
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`RAN WG1 e-mail reflector merely required a name and e-mail address. See, e.g.,
`
`Ex. 1050 (Internet Archive’s record of “3GPP E-mail Exploder Lists” webpage as
`
`of July 5, 2007 stating “[i]n order to subscribe to any of these [e-mail exploder]
`
`lists please scroll down until you find the list you are interested in, click on the link
`
`and follow the simple instructions.”); Ex. 1051 (Internet Archive’s record of
`
`“Archives of 3GPP_TSG_RAN_WG1@LIST.ETSI.ORG” webpage as of July 28,
`
`2007 showing the link: “Join or leave the list (or change settings)”). Subscribers
`
`did not need to be affiliated with 3GPP Organizational Partners or members of
`
`those organizations. As of July 2007, the RAN WG1 e-mail reflector list had
`
`1,143 subscribers. Ex. 1052, at 2 (Internet Archive’s record of “List Archives at
`
`LIST.ETSI.ORG” webpage as of July 6, 2007 showing “tsg ran working group 1
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`(1,143 subscribers)”). At present, RAN WG1’s e-mail reflector list has 1,720
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`subscribers. Ex. 1055, at 1.
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`28. Attached as Exhibit 1056 is a true and correct copy of an e-mail message to
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`RAN WG1’s e-mail reflector dated August 14, 2007 (“Tue, 14 Aug 2007 23:48:12
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`-0400”), shortly before Meeting #50, which I would have received. The header of
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`the email message is annotated below. The e-mail message included multiple ZIP
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`file attachments, one of which is titled “R1-073361.zip.” That ZIP file contained a
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`14
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`single Microsoft Word document, a true and correct copy of which is attached as
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`Exhibit 1058. Neither the ZIP file nor the Word document enclosed in the ZIP file
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`had a password or anything else that would have restricted my ability to access its
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`contents.
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`29.
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`I obtained this email message from 3GPP’s public e-mail website at
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`
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`https://list.etsi.org/scripts/wa.exe?A2=ind0708B&L=3GPP_TSG_RAN_WG1&P=
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`90155. I have become familiar with 3GPP’s public e-mail website as a RAN WG1
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`delegate.
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`30. Emails and documents uploaded to RAN WG1’s publicly-available,
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`unrestricted, online e-mail reflector archive show the date on which the e-mail was
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`sent to the reflector list, as well as the contents of that e-mail. In my experience,
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`all e-mails including their attachments are retained on the RAN WG1’s e-mail
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`reflector archive indefinitely, and the date for each archived e-mail in RAN WG1’s
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`archive can be relied upon to indicate when the e-mail was actually sent to RAN
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`WG1’s e-mail reflector list (“3GPP_TSG_RAN_WG1@LIST.ETSI.ORG”).
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`15
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`31.
`
`In preparing this Declaration, I compared Ex. 1058, which was sent to the
`
`RAN WG1 e-mail reflector list (“3GPP_TSG_RAN_WG1@LIST.ETSI.ORG”) on
`
`August 14, 2007, with Ex. 1011, and I have determined that those two documents
`
`are identical.
`
`C. Public Dissemination through 3GPP FTP
`32. Based on my personal knowledge, R1-073361 was also published and freely
`
`available on 3GPP’s FTP server on August 15, 2007. It was my practice in 2007,
`
`and it continues to be my practice now, to review RAN WG1 contributions before
`
`the meetings at which they are discussed. The 3GPP FTP is a location where I
`
`knew I could access a RAN WG1 contribution before the relevant meeting.
`
`Because I attended RAN WG1 Meeting #50 where R1-073361 was discussed, I
`
`expect that I would have reviewed this document before that meeting.
`
`33.
`
`Indeed, members of the public could have navigated in 3GPP’s public FTP
`
`directory to the R1-073361 contribution as follows.
`
`16
`
`
`
`
`
`34. Here is how the 3GPP FTP looked on July 30, 2007:
`
`
`Ex. 1059 (Internet Archive’s record of “http://www.3gpp.org/ftp/” webpage as of
`
`
`
`July 30, 2007).
`
`35. The 3GPP specification work was done in Technical Specifications Groups
`
`(TSGs) and Working Groups (WGs). There were four TSGs, each of which
`
`consisted of multiple WGs. The TSG organizational structure as of April 2007 is
`
`illustrated as follows:
`
`
`
`17
`
`
`
`
`
`
`Ex. 1060 (Internet Archive’s record of “TSG Organization” webpage as of July 5,
`
`2007).
`
`36. As explained by 3GPP, “TSG RAN WG1 works on the physical layer of the
`
`radio Interface for UE and UTRAN. This includes the specification of the physical
`
`channel structures, the mapping of transport channels to physical channels,
`
`spreading, modulation, physical layer multiplexing, channel coding and error
`
`detection. The physical layer procedures and the measurements provided to upper
`
`layers are specified in WG1 as well.” See Ex. 1061 (Internet Archive’s record of
`
`“TSG RAN WG1 (Radio layer 1) Overview” webpage as of July 16, 2007).
`
`37.
`
`Individuals from the public interested in the work of RAN WG1 would
`
`therefore select the “tsg_ran” directory on the 3GPP FTP:
`
`18
`
`
`
`
`
`
`Ex. 1062 (Internet Archive’s record of “http://www.3gpp.org/ftp/” on August 13,
`
`
`
`2007) (highlighting added).
`
`38.
`
`Individuals from the public interested in the work of RAN WG1 would then
`
`select the “WG1_RL1” directory in the TSG RAN folder:
`
`
`Ex. 1063 (Internet Archive’s record of “http://www.3gpp.org/ftp/tsg_ran/” on
`
`
`
`August 10, 2007) (highlighting added).
`
`19
`
`
`
`
`
`39. From there, individuals from the public interested in the work of TSG RAN
`
`WG1 would select a meeting number. The meetings are sequentially numbered,
`
`and the highest numbered meeting represents the latest meeting for the Working
`
`Group. For example, as of August 2007, individuals from the public who wanted
`
`to review the latest contribution documents for RAN WG1 would select the
`
`“TSGR1_50” directory in the WG1 RL1 folder to access the contributions to be
`
`discussed at the August 20-24, 2007 meeting of RAN WG1:
`
`
`Ex. 1064 (Internet Archive’s record of
`
`
`
`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/” on July 1, 2007) (highlighting
`
`added).
`
`40. From there, individuals from the public who wanted to review contribution
`
`documents to be discussed at the August 20-24, 2007 meeting of RAN WG1 would
`
`select the “Docs” directory in the TSGR1_50 folder:
`
`
`
`
`
`20
`
`
`
`
`
`
`
`Ex. 1065 (Internet Archive’s record of
`
`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/” on July 14, 2007)
`
`(highlighting added);
`
`
`
`Ex. 1066 (Internet Archive’s record of
`
`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/” on November 16, 2007
`
`showing the same “Docs” directory) (highlighting added).
`
`41.
`
`Individuals from the public would then select a ZIP file, named according to
`
`the naming convention for contributions discussed above. To assist individuals
`
`from the public with selecting the appropriate ZIP file, there was an index
`
`document for the contributions to RAN WG1 Meeting #50 titled “Tdoclist_RAN1
`
`#50(Aug_2007).xls.”
`
`42.
`
`“Tdoclist_RAN1 #50(Aug_2007).xls” was included in the “Docs” directory
`
`with the contribution documents for TSG RAN WG1 Meeting #50. Based on my
`
`personal knowledge, my review of 3GPP’s business records, the name of the index
`
`file, and the timestamp associated with the index document, I understand that
`
`21
`
`
`
`
`
`“Tdoclist_RAN1 #50(Aug_2007).xls” was freely available to individuals from the
`
`public on August 29, 2007.
`
`
`
`Ex. 1067, at 14 (Internet Archive’s record of
`
`“http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Docs/” on January 19,
`
`2008 with highlighting to show “Tdoclist_RAN1 #50(Aug_2007).xls”)
`
`(highlighting added).
`
`43. Because the link for downloading “Tdoclist_RAN1 #50(Aug_2007).xls” in
`
`the Internet Archive is not working, I downloaded “Tdoclist_RAN1
`
`#50(Aug_2007).xls” from
`
`http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Docs/, and attached a
`
`copy of it as Exhibit 1068.
`
`44.
`
`“Tdoclist_RAN1 #50(Aug_2007).xls” opens as a Microsoft Excel document
`
`that includes columns for “Tdoc Number,” “Title,” and “Source,” as well as other
`
`information for each contribution document submitted for RAN WG1 Meeting
`
`#50. “Tdoclist_RAN1 #50(Aug_2007).xls” is text searchable and would allow
`
`individuals from the public to search the contribution titles by keyword and/or by
`
`source.
`
`22
`
`
`
`45. By way of example, individuals from the public searching “Tdoclist_RAN1
`
`#50(Aug_2007).xls” for “uplink” in the “Title” column would find R1-073361 as
`
`the fifth contribution submitted for RAN WG1 Meeting #50 that include the term
`
`“uplink” in the title of the contribution.
`
`Ex. 1068 (showing the results of a search for “uplink” in the contribution
`
`document index “Tdoclist_RAN1 #50(Aug_2007).xls”) (highlighting added).
`
`46.
`
`Individuals from the public could then review relevant contributions by
`
`selecting the ZIP file corresponding to the desired Tdoc number from the index.
`
`23
`
`
`
`
`
`Ex. 1067, at 3 (highlighting added to show the link for “R1-073361.zip”)
`
`47. As a delegate to 3GPP RAN WG1, I have uploaded documents to 3GPP’s
`
`FTP server. Based on my personal knowledge, I understand that documents
`
`uploaded to the publicly-available, unrestricted, 3GPP FTP server would receive a
`
`date and time stamp.
`
`48. As one example, for “Tdoclist_RAN1 #50(Aug_2007).xls,” there is a date
`
`and time stamp (“29 August 2007 08:34”) to the left of the link to “Tdoclist_RAN1
`
`#50(Aug_2007).xls.”
`
`
`
`Ex. 1067, at 14 (highlighting added).
`
`49. Based on my personal knowledge, I understand this date and time stamp to
`
`mean that “Tdoclist_RAN1 #50(Aug_2007).xls” was uploaded to 3GPP’s publicly
`
`available website on August 29, 2007 at 8:34 AM, and that members of the public
`
`could have downloaded the file and viewed the Excel Spreadsheet without
`
`restriction on August 29, 2007 at 8:34 AM and thereafter. I have no reason to
`
`believe this date and time stamp is inaccurate.
`
`50. Additionally, for R1-073361, there is a date and time stamp (“15 August
`
`2007 12:44”) to the left of the link to “R1-073361.zip.”
`
`24
`
`
`
`
`
`
`Ex. 1067, at 3 (highlighting added to show the link to “R1-073361.zip”).
`
`
`
`51. Based on my personal knowledge, I understand this date and time stamp to
`
`mean that “R1-073361.zip” was uploaded to 3GPP’s publicly available website on
`
`August 15, 2007 at 12:44 PM, and that members of the public could have
`
`downloaded the ZIP file, extracted the Word document it enclosed, and viewed the
`
`contents of that Word document without restriction on August 15, 2007 at 12:44
`
`PM and thereafter. I have no reason to believe this date and time stamp is
`
`inaccurate.
`
`52.
`
`I downloaded “R1-073361.zip” from the link in Exhibit 1067 and found that
`
`it contains a single Microsoft Word file, a true and correct copy of which is
`
`attached as Exhibit 1057. I compared Exhibit 1057 with Exhibit 1011, and I have
`
`determined that those two documents are identical. Similarly, Exhibit 1057 is
`
`25
`
`
`
`identical to Exhibit 1058, which was sent from Brian Classon to the RAN WG1 e-
`
`mail reflector list on August 14, 2007.
`
`26
`
`
`
`V. Conclusion
`53. Based on my personal knowledge and my review of 3GPP’s business
`
`records, Ex. 1011 is a true and correct copy of 3GPP TSG-RAN WG1 Meeting
`
`#50, document R1-073361, Uplink channel interleaving (August 20-24, 2007).
`
`For the three reasons described in Section IV above, I am confident that Ex. 1011
`
`was published and freely available by August 31, 2007 because it was (1)
`
`disseminated at the August 20-24, 2007 3GPP RAN WG1 Meeting #50, which I
`
`attended; (2) disseminated to the RAN WG1 e-mail reflector list
`
`(“3GPP_TSG_RAN_WG1@LIST.ETSI.ORG”) on August 14, 2007; and (3)
`
`published and freely accessible on 3GPP’s public FTP server on August 15, 2007.
`
`54.
`
`I declare under penalty of perjury that the statements made herein are
`
`believed to be true based upon either my personal knowledge or to the best of my
`
`knowledge, information, and belief. I hereby declare that all statements made
`
`herein of my own knowledge are true and that all statements made on information
`
`and belief are believed to be true; and further that these statements were made with
`
`the knowledge that willful false statements and the like so made are punishable by
`
`fine or imprisonment, or both, under Section 1001 of Title 18 of the United States
`
`Code.
`
`Date: March 19, 2018
`
`By: /Xiaoan Fan/
`
`Printed Name:
`
` /Xiaoan Fan/
`
`27
`
`
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