`
`_________________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________
`MICROSOFT CORPORATION,
`Petitioner,
`v.
`UNILOC 2017 LLC,
`Patent Owner.
`U.S. Patent No.: 7,075,917
`Issued: Jul. 11, 2006
`Application No.: 09/973,312
`Filed: Oct. 9, 2001
`Title: WIRELESS NETWORK WITH A DATA EXCHANGE ACCORDING TO
`THE ARQ METHOD
`_________________
`
`FIRST SUPPLEMENTAL DECLARATION OF
`FRIEDHELM RODERMUND
`
`
`
`Page 1
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`Patent 7,075,917
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`TABLE OF CONTENTS
`
`I.
`II.
`
`Page
`INTRODUCTION AND ENGAGEMENT .................................................... 3
`3GPP EMAIL EXPLODER LISTS ................................................................. 4
`A. General Practices ................................................................................... 4
`B.
`Specific 3GPP Exploder Emails ..........................................................13
`III. LINKING 3GPP T-DOC NUMBERS TO DOCUMENTS ..........................17
`IV. ADDITIONAL DOCUMENTS ....................................................................18
`V.
`SUMMARY OF OPINIONS .........................................................................20
`VI. AVAILABILITY FOR CROSS-EXAMINATION ......................................21
`A.
`Right To Supplement ..........................................................................22
`B.
`Signature ..............................................................................................23
`
`
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`Patent 7,075,917
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`I, Friedhelm Rodermund, do hereby declare as follows:
`
`I.
`
`INTRODUCTION AND ENGAGEMENT
`
`1.
`
`On April 12, 2019 I submitted an initial declaration for this case
`
`explaining 3GPP document handling procedures and establishing authenticity and
`
`public availability of certain 3GPP documents including 3GPP TR 25.835 (“First
`
`Declaration”). In that First Declaration, I stated my background, qualifications, and
`
`experience to opine on the subject matters contained therein and provided a copy
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`of my most recent CV.
`
`2.
`
`As I previously explained, I have been retained in this matter by
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`Microsoft Corporation (“Petitioner” or “Microsoft”) to provide testimony
`
`regarding 3GPP’s standard business practices for record keeping and publishing
`
`technical specifications, change request proposals, reports, and other documents
`
`developed during the course of standards activities carried out by the 3rd
`
`Generation Partnership Project (“3GPP”) and the European Telecommunications
`
`Standards Institute (“ETSI”).
`
`3.
`
`I have been asked by the Petitioner to expand upon certain issues
`
`addressed by my earlier testimony, including to provide additional detail on
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`3GPP’s usage of email reflector lists, the availability of certain emails related to
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`3GPP TR 25.835, and how interested individuals would locate relevant 3GPP
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`documents such as TR 25.835. I have direct experience with these issues during the
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`time period from 1998 to the present, as reflected by my background,
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`Patent 7,075,917
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`qualifications, and experience.
`
`II.
`
`3GPP EMAIL EXPLODER LISTS
`A. General Practices
`
`4.
`
`Unless otherwise noted, the following description of 3GPP general
`
`practices describes its practices from 1998 until the present, regardless of whether I
`
`use the present or past tense to describe those practices.
`
`5.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, all draft technical
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`specifications, proposals, reports, and other temporary documents to be discussed
`
`or considered in relation to 3GPP’s telecommunications standards activities were,
`
`and continue to be, assigned a temporary document number. Such documents are
`
`referred to as “T-docs.” These documents also were, and continue to be, made
`
`publicly available, including on the ftp server associated with the 3GPP website,
`
`currently residing at ftp.3gpp.org, which may also be referred to as the “3GPP ftp
`
`server” or just “the ftp server.” The location of this ftp server, which is also
`
`discussed in my initial April 2019 declaration, was and continues to be well-known
`
`and readily accessible to the interested public, and especially to those interested in
`
`the development and implementation of wireless networks. Draft and approved
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`versions of the technical specifications also were, and continue to be, publicly
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`available from that same ftp server.
`
`6.
`
`In addition to sharing information and documents via 3GPP’s website
`
`and ftp server, communication via 3GPP’s email exploder lists was, and remains,
`
`very important for 3GPP’s day-to-day work. I discussed the emails sent through
`
`these email exploders in paragraphs 19 and 23 of my First Declaration, including
`
`how such emails announced to interested people the availability and uploading of
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`new documents to the 3GPP ftp site. All 3GPP groups have at least one email
`
`exploder list to which delegates and any interested individuals (regardless of
`
`corporate of 3GPP affiliation) can subscribe to for receiving and posting emails.
`
`Some 3GPP groups have more than one email exploder lists e.g. for their sub-
`
`working groups, or, for dedicated discussion topics. The email exploder lists are
`
`used for various communication purposes, discussions, and the announcement and
`
`distribution of documents. If somebody sends an email to an email exploder list
`
`that email is sent to everybody subscribed to that list. Furthermore, every email
`
`sent via the email exploder list is stored and maintained in a publicly-accessible
`
`email archive managed by ETSI, which can accessed from
`
`https://list.etsi.org/scripts/wa.exe?INDEX. A copy of page two of that email
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`archive webpage is submitted as Exhibit 1012.
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`7.
`
`Thus, in the ordinary course of 3GPP’s regularly conducted business
`
`activities, 3GPP maintained and maintains publicly-accessible archives that include
`
`not only documents, but also all email communications to its membership and
`
`interested individuals, including emails including new documents or announcing
`
`the uploading of new or additional documents to 3GPP’s ftp server. These archives
`
`are created at the time the emails are initially sent.
`
`8.
`
`All 3GPP working groups use the same email exploder tool (product
`
`name “LISTSERV”) which is managed by ETSI. ETSI’s email exploder tool
`
`allows for the creation and management of email exploder lists (sometimes just
`
`called “email lists” or “email reflectors” or “email exploders”) for the various
`
`committees including 3GPP.
`
`9.
`
`At least as early as June 1999, all of 3GPP’s email archives, including
`
`the dedicated email archives for TSG RAN and TSG RAN WG2 (discussed further
`
`below), were freely accessible to the general public with no login, password, or
`
`membership requirement. Each of 3GPP’s member companies typically assigned
`
`one or more individuals to regularly participate in these email exploder lists. In
`
`addition, other interested individuals have regularly participated in these email
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`exploder lists. Thus, not only did the general public have access to the emails in
`
`3GPP’s email archives, but the most interested members of the public–those
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`working to develop standards for cellular telecommunication–personally received
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`copies of such emails through their participation in the email exploder lists.
`
`10. By June 1999, 3GPP’s email exploder lists and their archives were
`
`well-known to persons in the cellular telecommunications industry as a source of
`
`public information including technical specifications, proposals, meeting
`
`announcements, technical discussions and reports regarding industry standards and
`
`technological advances.
`
`11. Based on my experience with 3GPP and the telecommunications
`
`industry, I would expect a person interested in the development and
`
`implementation of cellular standards, e.g., UMTS, to consult the relevant email
`
`archives of the 3GPP working groups and TSGs and/or, to be subscribed to the
`
`corresponding email exploders to receive any email notifications in real-time.
`
`12. E.g., a person interested in developments and implementation details
`
`for the radio layer of cellular networks described inter alia in TR 25.835 v0.0.2
`
`(Exhibit 1006) – including the Hybrid ARQ or “HARQ” technologies
`
`implemented in that layer – would have sought out and easily located email
`
`exploders and related archives for the Radio Access Network (“RAN”), including
`
`by their name as listed on the publicly-accessible webpage for the email exploders
`
`such as “TSG RAN WG2 – Radio Layer 2 specification and Radio Layer 3 RR
`
`specification.” Such a person’s interest in these groups is confirmed by TR 25.835
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`v0.0.2 (Ex. 1006), which on its cover list “TSG-RAN Working Group 2 (Radio L2
`
`and L3” as handling this HARQ document. These exploders and archives included
`
`3GPP_TSG_RAN and 3GPP_TSG_RAN_WG2. Interested persons could also
`
`easily locate the proper email exploder and archive by asking one of the 3GPP
`
`officials. During my time working as an 3GPP official (3GPP secretary and project
`
`manager) at ETSI from 1998 to 2004, I was frequently contacted by persons
`
`interested in 3GPP’s work and pointed them to the right 3GPP working group
`
`and/or documents corresponding to their areas of interest. Both the structure of
`
`3GPP and relevant contact persons were already available via 3GPP’s website
`
`www.3gpp.org in the year 2000 (see Ex. 1013). Had someone contacted me with
`
`interest in HARQ or other technologies described in TR 25.835 v0.2.0 I would
`
`have directed them to the 3GPP_TSG_RAN and 3GPP_TSG_RAN_WG2 email
`
`exploders. Furthermore, all required information about 3GPP’s email exploder lists
`
`was also available via the 3GPP website, including on the readily accessible Email
`
`Exploder / Discussion Lists. The August 15, 2000 Internet Archive copy of this
`
`Email Exploder / Discussion Lists page is consistent with my recollection of that
`
`page as it existed historically (see Ex. 1014).
`
`13. Thus, a person interested in HARQ and other radio layer aspects
`
`would have been easily able to locate and follow related developments by signing
`
`up to the 3GPP_TSG_RAN and 3GPP_TSG_RAN_WG2 email exploder lists and
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`then, if desired, additionally accessing any announced documents from the publicly
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`accessible ftp server at ftp.3gpp.org. Such developments would have included the
`
`HARQ II/III developments discussed in TR 25.835 v0.2.0 (Ex. 1006) and TR
`
`25.835 v1.0.0 (Ex. 1005).
`
`14. By October 2000, the 3GPP_TSG_RAN_WG2 email exploder had
`
`over 1000 subscribers, and the 3GPP_TSG_RAN email exploder had over 800
`
`subscribers who all received such emails. This is reflected in and confirmed by
`
`Exs. 1015-1016, which shows ETSI’s email list archives from August 2000 and
`
`October 2000, respectively, as preserved by the Wayback Machine. Although I
`
`cannot personally recall the exact numbers of subscribers associated with each
`
`working group, I do recall that the list of available working group lists provided
`
`this information and the archived versions from the Wayback Machine appear to
`
`be an authentic archival copy that is consistent with my personal recollection of the
`
`information and appearance of the website in the year 2000. 3GPP email exploders
`
`often had hundreds or sometimes over a thousand subscribers, and the above
`
`numbers for 3GPP_TSG_RAN_WG2 and 3GPP_TSG_RAN are in line with that.
`
`15. The 3GPP email archives were and still are public. The 3GPP website
`
`at https://www.3gpp.org/specifications-groups/e-mail-lists provides information
`
`and the link where to find and subscribe to the “email exploders lists.” The URL
`
`list.3gpp.org is identical to list.etsi.org and includes not only 3GPP email exploder
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`lists but also all exploder lists from various ETSI working groups. The website is
`
`listing all the available email exploders lists, offers a web interface to subscribe,
`
`and provides direct access to the archive. For subscribing, one just has to select the
`
`desired email exploder list and then click on “Subscribe or Unsubscribe” which
`
`then opens a window with simple instructions. The simplest way of subscribing is
`
`to just enter name and email address which will then trigger an email to confirm
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`the operation. Alternatively, everybody can register a LISTSERV password which
`
`makes it easier to manage subscriptions to the various email exploder lists.
`
`16. The subscription page for 3GPP RAN WG2 and other email exploders
`
`were easily located and available at least as early as June 1999. Ex. 1017 shows a
`
`screenshot from the Internet Archive which represented the subscription page of
`
`the 3GPP RAN WG2 email list as captured in July 2002. The screenshot is also
`
`shown below. This is the earliest copy of this webpage available from Internet
`
`Archive’s Wayback Machine, however, I recall that this user interface, and similar
`
`user interfaces for all other email exploders, were already available much earlier
`
`than that. This demonstrates, and reinforces my firsthand recollection, that these
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`email exploder webpages were publicly available by at least August 2000 and that
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`only email address and name had to be entered to join the email list. And as noted
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`already, any interested person could also obtain a LISTSERV password for
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`managing various subscriptions interactively without email confirmations.
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`17. Alternatively, it was also possible to contact the secretary of a 3GPP
`
`working group, or, other dedicated ETSI staff personal, to request being subscribed
`
`to an email exploder list. Another alternative was sending a LISTSERV
`
`“subscribe” command via email to listserv@list.etsi.fr. I remember that this
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`method was also well explained on the 3GPP website in the year 2000, which is
`
`confirmed by Ex. 1018, an archived copy of the August 2000 3GPP webpage titled
`
`“Discussion Lists, How to subscribe.” Although still operational today, the usage
`
`of this “subscribe” command method shrunk in the early 2000s given the ease with
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`which the public could use the above mentioned more convenient web interface for
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`subscribing to any email exploder.
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`18. Ex. 1015, “List archives at LIST.ETSI.FR,” represents a screenshot of
`
`the Wayback Machine copy of the 3GPP/ETSI email archive from August 24,
`
`2000. This confirms my personal recollection that, and illustrates the form of how,
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`the content of the email archive was made publicly accessible at that time. Note
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`that at that time the archive’s URL was list.etsi.fr, which then changed to
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`list.etsi.org later that same year, also consistent with my personal recollection as
`
`ETSI secretary.
`
`19. Myself, I was not only a user of the email exploder lists but also an
`
`administrator. As a 3GPP secretary and project manager I used the email exploder
`
`lists very extensively for sharing information e.g. about upcoming meetings, for
`
`distributing documents, announcing document uploads, managing discussions and
`
`various other purposes. I had administrator’s rights enabling me to create new
`
`email exploders lists and close lists which were not needed anymore. Furthermore,
`
`I was able to add interested persons to email exploder lists. As I mentioned earlier,
`
`all 3GPP groups used the same LISTSERV tool and all groups used this in similar
`
`ways. Thus, I am knowledgeable about the 3GPP RAN and 3GPP RAN WG2
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`email exploder lists.
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`B.
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`Specific 3GPP Exploder Emails
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`20. Based on my personal knowledge and experience, and my review of
`
`3GPP’s business records, I recognize Ex. 1019 as a true and accurate reproduction
`
`of an email from the public 3GPP RAN WG 2 email archive which is hosted at
`
`list.etsi.org. Specifically, this email is from the
`
`3GPP_TSG_RAN_WG2@LIST.ETSI.ORG email exploder list. The email is
`
`maintained in ETSI’s regular course of business and can also be found in the 3GPP
`
`email archive at the following URL
`
`https://list.etsi.org/scripts/wa.exe?A2=ind0009&L=3GPP_TSG_RAN_WG2&O=
`
`D&P=54497. The email was sent on September 25th, 2000, by Christoph Hermann,
`
`the named inventor of the ’917 patent, and was related to a discussion on TR
`
`25.835 as shown by the email subject “Re: Question on 25.835v010 Report on h-
`
`ARQ II/III”. This email was one of four emails with the same subject sent in
`
`September 2000. Each email was sent to the around 1000 persons subscribed to the
`
`3GPP RAN2 email exploder list at that time. Each email also would have been
`
`immediately available (as it remains available) and readily located in the publicly-
`
`accessible email exploder archives.
`
`21.
`
` Based on my personal knowledge and experience, and my review of
`
`3GPP’s business records, I recognize Ex. 1020 as a true and accurate reproduction
`
`of an email from the public 3GPP RAN WG 2 email archive which is hosted at
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`list.etsi.org. Specifically, this email is from the
`
`3GPP_TSG_RAN_WG2@LIST.ETSI.ORG email exploder list. The email is
`
`maintained in ETSI’s regular course of business and can also be found in the 3GPP
`
`email archive at the following URL
`
`https://list.etsi.org/scripts/wa.exe?A2=ind0009&L=3GPP_TSG_RAN_WG2&O=
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`D&P=28946 . The email was sent on September 13th, 2000 by Hans van der Veen,
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`my colleague and RAN WG2 secretary during that time. The email gave
`
`notification about the availability of the updated documents TR 25.834 v1.0.0 and
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`TR 25.835 v1.0.0 and had both documents attached. The email subject
`
`“25.834v1.0.0 & 25.835v1.0.0” made it easy to identify what this email was about.
`
`The email was sent to the around 1000 persons subscribed to the 3GPP RAN2
`
`email exploder list at that time. Each email also would have been immediately
`
`available (as it remains available) and readily located in the publicly-accessible
`
`email exploder archives. Exhibit 1021 is a copy of the TR 25.835 v1.0.0 that was
`
`attached to the September 13, 2000 van der Veen email, as accessible through the
`
`email archive that has been maintained by ETSI since that time. Exhibit 1021 is
`
`identical to Ex. 1005, thus confirming that TR 25.835 v1.0.0 was distributed to
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`around 1000 interested individuals by September 13, 2000, and thereafter readily
`
`available and easily found by any interested person on the email archive site.
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`22. Based on my personal knowledge and experience, and my review of
`
`3GPP’s business records, I recognize Ex. 1022 as a true and accurate reproduction
`
`of an email from the public 3GPP RAN WG 2 email archive which is hosted at
`
`list.etsi.org. Specifically, this email is from the
`
`3GPP_TSG_RAN_WG2@LIST.ETSI.ORG email exploder list. The email is
`
`maintained in ETSI’s regular course of business and can also be found in the 3GPP
`
`email archive at the following URL
`
`https://list.etsi.org/scripts/wa.exe?A2=ind0009&L=3GPP_TSG_RAN_WG2&O=
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`D&P=40490. The email was sent on September 15th, 2000 by Hans van der Veen,
`
`the RAN WG2 secretary during that time. The email announced the upload of
`
`documents including TR 25.835 to the 3GPP ftp server at ftp://ftp.3gpp.org/
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`TSG_RAN/WG2_RL2/Specifications. The email subject “25.304, 25.834 and
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`25.835” made it easy to identify that this was another email covering TR 25.835.
`
`The email was sent to the around 1000 persons subscribed to the 3GPP RAN2
`
`email exploder list at that time. Each email also would have been immediately
`
`available (as it remains available) and readily located in the publicly-accessible
`
`email exploder archives. This email further confirms that confirming interested
`
`individuals were made aware of the availability of TR 25.835 v1.0.0 by September
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`15, 2000, and that thereafter the document was readily available and easily found
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`by any interested person on the 3GPP ftp site, with a clear link available to any
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`interested person on the email exploder archive.
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`23. Based on my personal knowledge and experience, and my review of
`
`3GPP’s business records, I recognize the Ex. 1023 as a true and accurate
`
`reproduction of an email from the public 3GPP TSG RAN email archive which is
`
`hosted at list.etsi.org. Specifically, this email is from the
`
`3GPP_TSG_RAN@LIST.ETSI.ORG email exploder list. The email is maintained
`
`in ETSI’s regular course of business and can also be found in the 3GPP email
`
`archive at the following URL
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`https://list.etsi.org/scripts/wa.exe?A2=ind0009&L=3GPP_TSG_RAN&O=D&P=1
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`3746. The email was sent on September 15th, 2000 by Hans van der Veen, who was
`
`not only the RAN WG2 secretary but also the TSG RAN secretary during that
`
`time. The email announced the upload of documents and the document list (“Tdoc
`
`list”) for the upcoming 3GPP TSG RAN#9 meeting to the 3GPP ftp server. That
`
`meeting was held September 20-22, 2000 in Oahu, Hawaii, USA. That meeting
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`took place together with 3GPP TSG SA#9 and TSG-T#9 meetings which I
`
`personally attended in Oahu, Hawaii. The email subject “Documents for RAN#9”
`
`made it easy to identify what this email was about. The email was sent to more
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`than 800 persons subscribed to the 3GPP TSG RAN email exploder list at that time
`
`(see Exs. 1015-1016). Each email also would have been immediately available (as
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`it remains available) and readily located in the publicly-accessible email exploder
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`archives.
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`
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`III. LINKING 3GPP T-DOC NUMBERS TO DOCUMENTS
`
`24. As I previously explained, all documents handled at 3GPP meetings
`
`are assigned a T-doc number. Furthermore, that T-doc number is also used as the
`
`file name. Obviously, delegates and other interested persons need to know which
`
`document is identified by a given T-doc number without having to retrieve and
`
`open the specific file. This is achieved e.g. by document lists which map the T-doc
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`numbers to the actual documents. Today the document lists for 3GPP meetings are
`
`also available as web-based versions via the 3GPP website. By the year 2000, the
`
`document lists were either shared via email exploder lists and/or announced to be
`
`available on the ftp server. Furthermore, a document list is also included in the
`
`meeting minutes either embedded, or, as an attachment.
`
`25. As an example, the documents distributed through Ex. 1023 included
`
`3GPP document “RP_2000.xls” (a PDF copy of the RAN sheet from that .xls
`
`document is submitted as Ex. 1025) which represents the document list of 3GPP
`
`TSG RAN for the year 2000. The document was and still is available on the ftp
`
`server at https://www.3gpp.org/ftp/tsg_ran/TSG_RAN .
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`26. As reflected in Ex. 1025, RP_2000.xls has the following entry in line
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`423 which makes it clear that T-doc RP-000416 corresponds to TR 25.835 v1.0.0:
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`27. As mentioned in section II.B., on September 15, 2000, the availability
`
`of documents and document list (“Tdoc list”) on the 3GPP ftp server was
`
`announced by the 3GPP TSG RAN secretary (see Ex. 1023) via respective email
`
`
`
`exploder list.
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`
`
`IV. ADDITIONAL DOCUMENTS
`
`28. Based on my personal knowledge and my review of 3GPP’s business
`
`records (see First Declaration, ¶¶ 12-24), I recognize Ex. 1027 as a true and correct
`
`copy of version 3.1.0 of technical report 3GPP TS 25.201 (“Technical
`
`Specification Group Radio Access Network; Physical layer - General description
`
`(Release 1999)”), which was published and freely available on 3GPP’s ftp server
`
`by July 13, 2000. The availability of the document is confirmed by the present-day
`
`listing of the document on the 3GPP ftp server (“25201-310.doc”), as maintained
`
`in 3GPP’s ordinary course of business at
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`https://www.3gpp.org/ftp/Specs/archive/25_series/25.201 as shown by the
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`screenshot below:
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`In addition, the information for the downloaded specification file states a last
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`Modified date of July 13, 2000:
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`Patent 7,075,917
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`V.
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`SUMMARY OF OPINIONS
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`
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`29.
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`3GPP emails, distributed and maintained in the ordinary course of
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`business through the email exploder tool and its archives, confirm that TR 25.835
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`v1.0.0 was announced via email using the real document name “25.835” in the
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`email subject (see Ex.1022), and even the document TR 25.835 v1.0.0 itself was
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`shared via email with roughly 1000 individuals (Exs. 1020-21). Furthermore, these
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`emails – including the attachment of TR 25.835 v1.0.0 (Ex. 1021) – have been
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`publicly accessible and easily located by interested individuals on the email
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`exploder archive since at least their September 2000 mailing dates.
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`30. With respect to linking the T-doc TP-000416 and TR 25.835 v1.0.0,
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`additional 3GPP emails pointing to easy-to-locate documents would have made it
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`simple and straightforward to know that TP-000416 was the T-Doc corresponding
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`to TR 25.835 v1.0.0.
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`31. Therefore, for somebody interested in HARQ functionality and
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`similar radio layer technologies, TR 25.835 v1.0.0 (Ex. 1005) would have been
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`easily locatable and, in fact quite hard to miss, in September 2000. This would
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`have been especially so given that such individuals already would have known
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`about earlier versions of the same document, such as TR 25.835 v.0.0.2
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`(Ex. 1006).
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`VI. AVAILABILITY FOR CROSS-EXAMINATION
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`32.
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`In signing this declaration, I recognize that the declaration may be
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`filed as evidence in a contested case before the Patent Trial and Appeal Board of
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`the United States Patent and Trademark Office. I also recognize that I may be
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`subject to cross examination in the case and that cross examination will take place
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`within the United States. If cross examination is required of me, I will cooperate to
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`the best of my ability to appear for cross examination within the United States
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`Patent 7,075,917
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`during the time allotted for cross examination.
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`A. Right To Supplement
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`33.
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`I reserve the right to supplement my opinions in the future to respond
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`to any arguments that the Patent Owner raises and to take into account new
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`information as it becomes available to me.
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`Patent 7,075,917
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`B.
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`Signature
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`34.
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`I declare that all statements made herein of my own knowledge are
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`true and that all statements made on information and belief are believed to be true;
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`and further that these statements were made with the knowledge that willful false
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`statements and the like so made are punishable by fine or imprisonment, or both,
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`under Section 1001 of Title 18 of the United States Code.
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`35.
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`I declare under penalty of perjury that the foregoing is true and
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`correct.
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`Dated: May
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`6 2020
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`__5
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` /
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`Friedhelm Rodermund
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