UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Apple Inc.
`Petitioner
`
`v.
`
`Optis Cellular Technology, LLC
`Patent Owner
`
`Case IPR2020-00465
`
`DECLARATION OF MR. CRAIG BISHOP
`U.S. PATENT NO. 8,102,833
`
`APPLE 1003
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Apple Inc.
`Petitioner
`
`v.
`
`Optis Cellular Technology, LLC
`Patent Owner
`
`Case IPR2020-00465
`
`DECLARATION OF MR. CRAIG BISHOP
`U.S. PATENT NO. 8,102,833
`
`APPLE 1003
`
`
`
`
`
`TABLE OF CONTENTS
`
`INTRODUCTION .............................................................................................. 3
`I.
`II. 3GPP OVERVIEW........................................................................................... 12
`A. 3GPP Tdocs and Specifications..................................................................... 15
`B. 3GPP FTP Server ...........................................................................................18
`C. 3GPP Email Exploders .................................................................................. 25
`D. 3GPP Meetings................................................................................................28
`III. PUBLIC AVAILABILITY OF 3GPP DOCUMENTS.................................. 33
`A. R1-075037 (Ex. 1006, “Qualcomm”) ............................................................ 35
`B. R1-073269 (Ex. 1007, “Qualcomm-269”)..................................................... 42
`C. R1-073094 (Ex. 1008, “Samsung”)................................................................ 49
`IV. AVAILABILITY FOR CROSS EXAMINATION........................................ 56
`V. RIGHT TO SUPPLEMENT............................................................................ 56
`VI. JURAT ............................................................................................................... 56
`
`2
`
`
`
`I, Craig Bishop, declare as follows:
`
`I.
`
`INTRODUCTION
`1.
`My name is Craig Bishop. I am an engineer with 26 years of mobile
`
`telecommunications experience, including over 23 years of experience with second,
`
`third, and fourth generation (2G/3G/4G) mobile telecommunications technology,
`
`standards, and device development. My experience includes extensive knowledge
`
`of the European Telecommunications Standards Institute (“ETSI”) and the 3rd
`
`Generation Partnership Project (“3GPP”) specifications, publication practices, and
`
`procedures that I acquired as a practicing mobile telecommunications engineer
`
`since 1996.
`
`2.
`
`I have been retained in this matter by Apple Inc. (“Petitioner” or
`
`“Apple”) to provide testimony regarding the public availability of certain 3GPP
`
`documents based on my knowledge of 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 3GPP. I am being compensated for the time that I spend on this
`
`matter, but my compensation is not dependent on and in no way affects the
`
`substance of my statements in this declaration.
`
`3.
`
`My qualifications and professional experience are described in my
`
`curriculum vitae, a copy of which is attached as Exhibit 1028. The following is a
`
`3
`
`
`
`summary of my relevant qualifications and professional experience.
`
`4.
`
`I earned my Bachelor of Electronic Engineering degree with Honors
`
`from Polytechnic of Central London in 1989. In 2005, I earned my MSC in
`
`Computer Science with Distinction from the University of Kent. After graduating
`
`with my first degree, I worked as an operations engineer at the British Broadcasting
`
`Corporation (BBC) for 4 years, then as a civil servant at the UK
`
`Radiocommunications Agency until 1996, during which time I became involved in
`
`telecommunications standardization in ETSI, working in particular in Technical
`
`Committee TC RES 2 concerned with the standardization of Private Mobile Radio
`
`(PMR). From 1994 through 1996, I acted as Rapporteur for voice and data related
`
`PMR standards ETS 300 113, ETS 300 219 and ETS 300 390. I participated as the
`
`only TC RES 2 delegate on behalf of the UK Radiocommunications Agency,
`
`generating proposals in support of UK administration and business requirements,
`
`downloading and reviewing other meeting input documents, and proposing changes
`
`as necessary to ensure input documents and the resulting specifications were in line
`
`with said requirements.
`
`5.
`
`In 1996, I joined Samsung Electronic Research Institute as a Senior
`
`Standards Engineer where I worked for 16 years, eventually becoming Director of
`
`Standards and Industry Affairs in 2011. My work at Samsung mainly focused on
`
`the standardization of GSM/GPRS, UMTS, and LTE/EPS systems. Initially, I
`
`4
`
`
`
`participated in ETSI Special Mobile Group (SMG) committees SMG1, SMG2,
`
`SMG4, SMG5, SMG9 and relevant UMTS related sub-committees until 1999,
`
`working on the air interface radio access network protocols, service, and terminal
`
`aspects of UMTS and GSM/GPRS. I was particularly focused on the activities of
`
`ETSI SMG2 leading up to selection of WCDMA as the radio access technology for
`
`the Frequency Division Duplex mode of UMTS.
`
`6.
`
`From 1998 until 2000, I worked as a Principal Standards Engineer on
`
`3GPP’s UMTS, attending Radio Access Network (RAN) Working Group1, RAN
`
`Working Group 2, Service & Systems Aspects (SA) Working Group 1, Terminals
`
`Working Group 2, and other Working Groups and plenary meetings covering
`
`similar technical aspects as in my previous work in ETSI. As examples, RAN1
`
`was, and is, the Working Group responsible for the specification of the physical
`
`layer of various wireless cellular standards, and RAN2 was, and is, the Working
`
`Group responsible for signaling protocol layers 2 and 3 residing just above the
`
`physical layer. As part of this work, I would prepare meeting contributions in
`
`support of Samsung’s research and development activities. Also, by way of
`
`preparation for each meeting, I would identify contributions of interest to Samsung
`
`as they arrived in my inbox, review those of interest, and where necessary, prepare
`
`additional input to the meeting based on said review. I would also download all
`
`contributions that were available prior to the meeting either from the email in
`
`5
`
`
`
`which they were distributed or from the 3GPP server.
`
`7.
`
`From 2000 until 2004, I acted as project manager and then system
`
`engineer at Samsung providing technical requirements for the team working on
`
`Samsung’s UMTS modem development. This involved scrutiny of ongoing
`
`standardization work, particularly in 3GPP RAN Working Group 2 and Core
`
`Network and Terminals (CT) Working Group 1, from which I would download,
`
`and assess the impact of, contributions on the development project, ensuring that
`
`the development team was kept informed about the latest developments as layers 2
`
`and 3 of the UMTS standard were stabilized.
`
`8.
`
`During the period 1998 to 2004, in addition to authoring and
`
`presenting technical contributions for the 3GPP standard, and producing technical
`
`requirements for Samsung’s UMTS modem development, I acted as rapporteur for
`
`3GPP Technical Reports covering User Equipment (“UE”) capability requirements
`
`(3GPP TR 21.904) from 1999-2000, and the Evolution of the 3GPP System (3GPP
`
`TR 21.902) in 2003 (the first Study Item to consider the 3GPP system beyond
`
`UMTS towards LTE/EPS).
`
`9.
`
`In 2005, I became Head of Advanced Technologies, Standards and
`
`Regulation (ATSR) at Samsung. In addition to my managerial duties, which
`
`included but were not limited to responsibility for three standards engineers
`
`attending RAN2 and CT1 Working Groups, I continued to work on 3GPP
`
`6
`
`
`
`standardization issues. From 2005 until 2008, I worked in SA2, and from 2008
`
`until 2011 in SA1. I also attended SA plenary meetings from 2008 until I left
`
`Samsung in 2013. As well as generating contributions in support of Samsung's
`
`research and development as preparation for each meeting, I would download and
`
`review documents from other 3GPP members, identifying and where necessary
`
`preparing additional contributions on those of interest to Samsung. The work
`
`required a sound working knowledge of the broader 3GPP system to ensure
`
`effective management of the ATSR team, effective participation in meeting
`
`discussions, assessment of third-party contributions, and provision of
`
`implementation guidance to Samsung developers. This included keeping abreast of
`
`developments across 3GPP including RAN WG1 and remaining aware of 3GPP
`
`document distribution and publication practices including those for RAN WG1.
`
`10.
`
`From 2006 until the time I stopped attending SA1 meetings in 2011, I
`
`authored and presented over 100 contributions to SA2 and SA1 meetings at 3GPP
`
`and appeared as an author/co-author on 18 patent applications related to User
`
`Equipment operation in the IMS and the 3GPP Core Network. In 2011, I became
`
`Director of Standards and Industry Affairs at Samsung, and in November of that
`
`year I was elected to the Board of ETSI on which I served for a term of 3 years
`
`until November 2014.
`
`11. After leaving Samsung, I formed my own consulting company Bishop
`
`7
`
`
`
`Communications Ltd., which is a full ETSI member. I have continued to regularly
`
`access the 3GPP and ETSI document servers, and to keep abreast of 3GPP and
`
`ETSI document handling practices.
`
`12.
`
`Through my extensive work on 3GPP standardization issues, I have
`
`become very familiar with 3GPP’s practices relating to making draft standards and
`
`contributions publicly available, including in the 2007 timeframe.
`
`13. As part of my analysis, I have reviewed and considered the following
`
`materials.
`
`Exhibit Description
`
`1006
`
`1007
`
`1008
`
`1028
`1029
`
`1030
`
`1031
`
`1032
`
`1033
`
`Qualcomm Europe, Draft Change Request: 36.212.v.8.0.0, Document
`R1-075037
`Qualcomm Europe, Rate matching details for control and data
`multiplexing, 3GPP TSG-RAN #50, Document R1-073269
`Samsung, Control Signaling Location in Presence of Data in E-UTRA
`UL, 3GPP TSG RAN #49, Document R1-073094
`CV of Craig Bishop
`Press Release, GSMA, Global Mobile Communication is 20 years old
`(Sept. 6, 2007), https://www.gsma.com/newsroom/press-
`release/global-mobile-communication-is-20-years-old/
`ETSI, LISTSERV Archives (last visited Jan. 24, 2020)(Available at
`https://list.etsi.org/scripts/wa.exe?INDEX=&p=2)
`ETSI, LISTSERV Archives at LIST.ETSI.ORG (Jan. 04, 2006),
`http://list.etsi.org/archives/index.html[https://web.archive.org/web/200
`60104073144/http://list.etsi.org/archives/index.html]
`3GPP, List of 3GPP Individual Members (Dec. 5, 1999)
`http://www.3gpp.org/Participation/3GPP_IM.htm[https://web.archive.o
`rg/web/19991205075508/http://www.3gpp.org:80/Participation/3GPP_
`IM.htm]
`Adrian Scrase, MCC Activity Report, 3GPP PCG#20 Tdoc 23 (Apr. 22,
`2008) (Available at
`http://www.3gpp.org/ftp/pcg/pcg_20/docs/PCG20_23.zip)
`8
`
`
`
`1034
`
`1035
`
`1036
`
`1037
`
`1038
`
`1039
`
`1040
`
`1041
`
`1043
`
`1044
`
`1045
`
`3GPP TSG RAN WG1 Meeting #50 Attendees List (Jan. 1, 2008)
`(Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Report)
`3GPP TSG RAN WG1 Meeting #51 Attendees List (Jan. 29, 2008)
`(Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_51/Report)
`Email from Juan Montojo to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Nov. 4, 2007) (Available
`at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;9deb8c
`5f.0711A)
`ETSI, LISTSERV Archives at LIST.ETSI.ORG (Oct. 13, 2007),
`http://list.etsi.org/[https://web.archive.org/web/20071013085602/http://
`list.etsi.org:80/]
`Email from Patrick Merias to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Sept. 4, 2007) (Available
`at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;fea408
`ee.0709)
`Patrick Mérias, Draft Report of 3GPP TSG RAN WG1 #51 v1.0.0,
`Document R1-080002 (Jan. 29, 2008) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_51/Report)
`3GPP TSG RAN WG1 Meeting #51 FTP Documents List (last
`accessed Jan. 29, 2020) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_51/Docs/)
`3GPP TSG RAN WG1 Meeting #51 Draft Agenda, Document R1-
`074525 (Oct. 24, 2007) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_51/Agenda)
`Email from Juan Montojo to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Aug. 15, 2007)
`(Available at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;b2a9a8
`83.0708C)
`ETSI, LISTSERV Archives at LIST.ETSI.ORG (Jul. 6, 2007),
`http://list.3gpp.org/[
`https://web.archive.org/web/20070706074307/http://list.3gpp.org:80/]
`Email from Emmanuelle Wurffel to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Apr. 5, 2007) (Available
`at
`
`9
`
`
`
`1046
`
`1047
`
`1048
`
`1049
`
`1050
`
`1051
`
`1052
`
`1053
`
`1054
`
`1055
`
`1056
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;52d34
`331.0704A)
`Patrick Mérias, Draft Report of 3GPP TSG RAN WG1 #50 v0.2.0,
`Document R1-073896 (Jan. 29, 2008) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Report)
`3GPP TSG RAN WG1 Meeting #50 FTP Documents List (last
`accessed Jan. 24, 2020) (Available at www.3gpp.org -
`/ftp/tsg_ran/WG1_RL1/TSGR1_50/Docs/)
`Tdoclist, 3GPP TSG RAN Meeting #50 (Aug. 29, 2007) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Docs/)
`3GPP TSG RAN WG1 Meeting #50 Draft Agenda, Document R1-
`073240 (Aug. 6, 2007) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Agenda/)
`3GPP TSG RAN WG1 Meeting #50 FTP Agenda (last accessed Jan.
`27, 2020) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_50/Agenda/)
`Email from Patrick Merias to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Aug. 6, 2007) (Available
`at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;32293
`2c6.0708A)
`Email from Juho Lee to 3GPP_TSG_RAN_WG1@LIST.ETSI.ORG
`(Jun. 20, 2007) (Available at
`Juhlist.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;6a2ecaab.
`0706C)
`ETSI, LISTSERV Archives at LIST.ETSI.ORG (Jun. 13, 2007),
`http://list.etsi.org/
`[https://web.archive.org/web/20070613124514/http://list.etsi.org/]
`Email from Don Zelmer to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Mar. 20, 2007)
`(Available at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;8be29c
`1a.0703C)
`3GPP TSG RAN WG1 Meeting #49bis Attendees List (Jan. 29, 2008)
`(Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49b/Report)
`Patrick Mérias, Draft Report of 3GPP TSG RAN WG1 #49b v0.3.0,
`Document R1-073815 (Jan. 29, 2008) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49b/Report)
`
`10
`
`
`
`1057
`
`1058
`
`1059
`
`1060
`
`1061
`
`1062
`
`1063
`
`3GPP TSG RAN WG1 Meeting #49bis FTP Documents List (last
`accessed Jan. 29, 2020) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49b/Docs/)
`Tdoclist, 3GPP TSG RAN Meeting #49bis (Jul. 24, 2007) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49b/Docs)
`3GPP TSG RAN WG1 Meeting #49bis Draft Agenda, Document R1-
`072645 (Jun. 11, 2007) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49b/Agenda)
`3GPP TSG RAN WG1 Meeting #49bis FTP Agenda (last accessed Jan.
`29, 2020) (Available at
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_49b/Agenda/)
`Email from Dirk Gerstenberger to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Jun. 5, 2007) (Available
`at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;d5f68f
`ea.0706A)
`Email from Xin Michael Qian to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Mar. 31, 2007)
`(Available at
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN;b06f8b08.040
`3)
`Email from Dirk Gerstenberger to
`3GPP_TSG_RAN_WG1@LIST.ETSI.ORG (Oct. 17, 2007) (Available
`at
`https://list.etsi.org/scripts/wa.exe?A2=ind0710C&L=3GPP_TSG_RAN
`_WG1&O=D&P=7621)
`
`14.
`
`To the best of my knowledge, I have no financial interest in Petitioner.
`
`I have been informed that Optis Wireless Technology, LLC (hereinafter referred to
`
`as “Patent Owner”) is asserting, and alleges ownership of, U.S. Patent No.
`
`8,102,833 (“’833 patent”). To the best of my knowledge, I have no financial
`
`interest in the Patent Owner or the ’833 patent. To the extent any mutual funds or
`
`other investments I own have a financial interest in Apple, Patent Owner, or the
`
`’833 patent, I am not aware of, nor do I have control over, any financial interest
`11
`
`
`
`that would affect or bias my judgment.
`
`II.
`
`3GPP OVERVIEW
`15. Based on my years of experience working in various capacities in
`
`3GPP and on 3GPP standards issues, I am familiar with the regular business
`
`practices of the 3rd Generation Partnership Project (“3GPP”) relating to technical
`
`documents, including standards contributions. 3GPP is a global initiative
`
`partnership that unites seven 3GPP Organizational Partners from Asia, Europe, and
`
`North America: the Association of Radio Industries and Businesses (ARIB) and
`
`Telecommunication Technology Committee (TTC) from Japan; the China
`
`Communications Standards Association (CCSA) from China; the
`
`Telecommunications Standards Development Society (TSDSI) from India; the
`
`Telecommunications Technology Association (TTA) from Korea; the European
`
`Telecommunications Standards Institute (ETSI); and the Alliance for
`
`Telecommunications Industry Solutions (ATIS) from the United States. The
`
`remainder of my declaration focuses on activities in the 2007 timeframe unless
`
`stated otherwise.
`
`16. One goal of 3GPP is to provide its members with an environment to
`
`produce reports and specifications that define technologies covering cellular
`
`telecommunications networks, including User Equipment or Mobile Device (UE)
`
`technologies, Radio Access Network (RAN) technologies, Core Network (CN)
`
`12
`
`
`
`technologies, and service and system capabilities—including work on codecs,
`
`security, and quality of service. By 2007, 3GPP was the preeminent organization
`
`for mobile telecommunications standards development and the only one serving a
`
`truly global market. By way of example, the GSMA (the official organization
`
`representing the interests of cellular operators worldwide implementing 3GPP
`
`systems) estimated in September 2007 that there were more than 2.5 billion
`
`subscribers to 3GPP 2G and 3G systems across 218 countries and territories (see
`
`Exhibit 1029, at 1).
`
`17.
`
`The technical specifications developed by 3GPP were, and remain,
`
`contribution-driven by the 3GPP member companies and the many individual
`
`participants from these companies. In the ordinary course of its regularly
`
`conducted business activities, and pursuant to its standard business practices, 3GPP
`
`publishes these technical specifications, proposals, reports, and other documents
`
`related to the development of cellular telecommunications standards. Such
`
`documents are published for the purposes of discussion and establishment of
`
`industry standards for cellular telecommunications. This has been 3GPP’s ordinary
`
`course of business since it was first created in December 1998, when I began
`
`working in 3GPP.
`
`18.
`
`3GPP initially comprised four Technical Specification Groups (TSGs).
`
`Two of those were, and still are, responsible for UMTS and LTE: Radio Access
`
`13
`
`
`
`Network (RAN) and Service & Systems Aspects (SA). The activities of Core
`
`Networks (CN) & Terminals (T) were later combined under Core Network and
`
`Terminals (CT) TSG following the closure of TSG T in 2005, with responsibility
`
`for test specifications being moved to a TSG RAN Working Group (RAN WG5).
`
`A fifth TSG, GSM EDGE Radio Access Networks (GERAN), was responsible for
`
`evolution of the GSM radio technology from 2000 (when work was transferred
`
`from ETSI SMG) until its closure in 2016, when the work was transferred to a new
`
`RAN Working Group (RAN WG6). During the 2007 timeframe there were
`
`therefore four TSGs: Random Access Network (RAN), Service & Systems Aspects
`
`(SA), Core Network & Terminals (CT), and GSM EDGE Radio Access Networks
`
`(GERAN).
`
`19.
`
`The TSGs were, and still are, broken down into individual Working
`
`Groups (WGs). TSG RAN currently includes the following Working Groups: RAN
`
`WG1 (covering the radio layer 1 specification); RAN WG2 (covering the radio
`
`layers 2 and 3 specification); RAN WG3 (covering lub spec, lur spec, lu spec and
`
`UTRAN O&M requirements); RAN WG4 (covering radio performance and
`
`protocol aspects); RAN WG5 (covering mobile terminal conformance testing); and
`
`RAN WG6 (covering GERAN and UTRAN technologies). These Working Groups
`
`met regularly. Quarterly plenary meetings for each TSG (which included all the
`
`Working Groups within the TSG) were also held where member companies’
`
`14
`
`
`
`Change Requests, draft specifications or reports, and other documents that had been
`
`agreed by the Working Groups, were presented for formal approval.
`
`3GPP Tdocs and Specifications
`A.
`20. As mentioned, the technical specifications developed by 3GPP were,
`
`and remain, contribution-driven by the 3GPP member companies and the many
`
`individual participants from these companies. 3GPP member companies and
`
`individual participants contribute to the technical specifications by submitting draft
`
`technical specifications, proposals, reports, and other temporary documents to the
`
`relevant Working Groups. The term “temporary” is used to designate documents
`
`that are submitted to and dealt with by 3GPP TSGs and WGs in the process of
`
`elaborating the standards, but do not constitute permanent 3GPP deliverables such
`
`as Technical Specifications and Reports. Such documents are referred to as
`
`“Tdocs” or “contributions” and are permanently archived by and freely available
`
`from 3GPP once they have been submitted. In the ordinary course of 3GPP’s
`
`regularly conducted business activities, and pursuant to its standard business
`
`practices, all Tdocs to be discussed or considered in relation to 3GPP’s
`
`telecommunications standards activities were, and continue to be, assigned a
`
`temporary document number.
`
`21.
`
`Each TSG and Working Group (such as TSG RAN WG1) adopts a
`
`structured numbering system to generate a Tdoc number for each Tdoc. Those
`
`15
`
`
`
`systems typically follow a consistent system comprising five elements
`
`(xminnzzzz):
`
`(cid:120)
`
`(cid:120)
`
`(cid:120)
`
`(cid:120)
`
`(cid:120)
`
`x: a single letter corresponding to the TSG; in 2007 x was one of R
`
`(RAN), S (SA), T (CT), or G (GERAN);
`
`m: a single character corresponding to the Working Group identity
`
`(typically 1, 2, 3, etc.) or, in the case of the TSG itself, the letter
`
`“P”;
`
`i: Normally the hyphen character “-”;
`
`nn: the calendar year of the meeting to which the document was
`
`submitted; and
`
`zzzz1: a running number for the respective Working Group.
`
`22.
`
`3GPP technical specifications on the other hand bear a specification
`
`number. The specification number consists of five digits2, (e.g., 29.002). The first
`
`two digits define the series, followed by three further digits indicating the particular
`
`Technical Specification within the series. 3GPP technical specifications also bear a
`
`1
`
`Since 2016, RAN WG1 has introduced a five-digit running number “zzzzz”
`
`due to the large number of Tdocs being submitted.
`
`2
`
`GSM / GPRS specifications inherited from ETSI prior to the first 3GPP
`
`release have four-digit specification numbers.
`
`16
`
`
`
`version number. As explained in the “Foreword” section of all 3GPP deliverables,
`
`the version format x.y.z is as follows: x = 0 for draft versions, x = 1 when the
`
`deliverable is presented to TSG for information, x = 2 when the deliverable is
`
`presented to TSG for approval, and x = 3 or greater when the TSG has approved the
`
`deliverable and it is formally published and placed under change control; “y” is
`
`incremented for all substantive changes, i.e., technical enhancements, corrections,
`
`updates, etc.; and “z” is incremented when only editorial changes have been
`
`incorporated in the document.
`
`23. Working Groups created and still create incremental versions of draft
`
`specifications until such time that the specification is first approved by the relevant
`
`TSG plenary. The first approved version of a technical specification is therefore
`
`based upon the draft version formally approved by the relevant TSG. Subsequent
`
`versions are then subject to change control. After a technical specification has been
`
`placed under change control, it can only be modified by a formal Change Request
`
`(CR), which is a specific type of Tdoc submitted to a Working Group, revised if
`
`necessary into a new Tdoc based on discussions, and if acceptable to delegates,
`
`agreed by said Working Group. Agreed CRs are then formally submitted to TSG
`
`plenary for approval. The next approved version of a Technical Specification is
`
`thus created based on approved CRs and made available shortly after the TSG
`
`meeting that approved said CRs. The date (year and month) shown at the top of the
`
`17
`
`
`
`technical specification’s cover page indicates either the last day of the meeting
`
`where approval occurred, or the month in which the new version was prepared.
`
`Thus, an interested person of ordinary skill in the art who was familiar with 3GPP
`
`practices would have known that the 3GPP standard practice was to make the latest
`
`version of a given specification available shortly after the corresponding TSG
`
`plenary meeting. 3GPP specifications also often include a listing of “Keywords”
`
`usually on the second page, which typically indicates the particular cellular network
`
`generation to which a specification corresponds.
`
`B.
`24.
`
`3GPP FTP Server
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, at least as early as
`
`January 1999, 3GPP published all Tdocs and draft and approved versions of
`
`technical specifications on its ftp server, which has always been easily and freely
`
`accessible from its website. It currently resides at ftp.3gpp.org. The 3GPP ftp site
`
`was, and is, organized according to each meeting of the respective TSG Working
`
`Groups.3
`
`3
`
`For example, TSG RAN Working Group 1 meeting #50 may be accessed by
`
`going to the ftp server webpage, selecting the TSG RAN folder, selecting the
`
`18
`
`
`
`25.
`
`Tdocs are usually uploaded to 3GPP’s ftp server before the meeting
`
`where they are to be discussed. Documents created or revised during the course of
`
`a meeting are normally uploaded as separate Tdocs at the latest during the week
`
`following the meeting (e.g., a draft meeting report of the meeting is usually
`
`published for review during the week following the meeting). When a Tdoc was
`
`uploaded, as part of the regular business practices of 3GPP, the ftp server
`
`automatically assigned the document a date and time stamp. This provided, and
`
`continues to provide, an accurate and automatically computer-generated electronic
`
`record of when the document was uploaded, and therefore made publicly accessible
`
`on the ftp server.
`
`26.
`
`For each Working Group meeting, a document list (or in some cases
`
`skeleton meeting report) including all meeting Tdocs that had been submitted
`
`would normally be generated. The document list is a spreadsheet indexed by Tdoc
`
`number4 that includes details of the Tdoc’s source, title, and agenda item among
`
`other aspects. This document list would also typically be uploaded to the relevant
`
`Working Group 1 subfolder, and selecting the folder relevant to meeting #50 (in this
`
`case “TSGR1_50”). This folder is further organized by subfolders containing the
`
`meeting agenda, report and submitted Tdocs for that particular meeting.
`
`4
`
`The spreadsheet may also be filtered to index by fields such as by agenda item.
`
`19
`
`
`
`meeting folder on the ftp server with a corresponding date stamp indicating when
`
`the respective document list was made publicly accessible on the ftp server.
`
`Accordingly, once the document list (or skeleton meeting report) for a particular
`
`meeting was uploaded to the ftp server, each Tdoc submitted for that meeting and
`
`already made available in the ftp server was indexed in one location by title, source,
`
`and Tdoc number. A person interested in the subject matter covered by a particular
`
`Working Group could thus review the document list for each meeting of that
`
`Working Group to identify developments and proposals relevant to their wireless
`
`communications technology of interest.
`
`27.
`
`Draft and approved versions of the technical specifications also were,
`
`and continue to be, publicly available from the same ftp server from the date that
`
`they were created (or shortly thereafter5). This includes all versions of the
`
`technical specifications including some pre-approval draft versions (when
`
`available). 3GPP technical specifications are almost always available from at least
`
`two and sometimes more locations on the ftp server. One location corresponds to a
`
`“snapshot” of the specifications corresponding to a particular plenary meeting
`
`5
`
`There may have sometimes been a delay between when a Technical
`
`Specification was created and when it was uploaded, but that was rarely more than
`
`14 days.
`
`20
`
`
`
`cycle, e.g., the 2018-12 folder contains a snapshot of the latest versions of
`
`specifications after the December 2018 3GPP plenary meetings. The second
`
`location is an “archive” that contains all versions over time for a given
`
`specification. Further, specifications that are not yet approved (so called “draft”
`
`specifications) are also available as Tdocs at Working Groups and at plenary
`
`meetings once the Working Group decides to submit the specification to the
`
`plenary meeting for information or approval (and so accessible on the ftp server
`
`from the Working Group / TSG meeting directories). The approved technical
`
`specifications are also available via the specification numbering pages on 3GPP
`
`website (as shown below).
`
`28. At least as early as January 1999, 3GPP’s ftp server containing the
`
`Tdocs, draft and approved versions of technical specifications, and other
`
`documents, was freely accessible to the general public with no login, password, or
`
`membership requirement. This remained the case during the 2007 timeframe. An
`
`interested person of ordinary skill in the art would have known that the 3GPP
`
`standard practice was, and still is, to make all versions of the technical
`
`specifications and related contributions, including draft versions, available on the
`
`3GPP file server, which is accessible from the 3GPP specifications page.
`
`29. By way example, a person seeking to access a Tdoc (or Tdoc list) in
`
`January 2006 could have accessed the ftp server directly via
`
`21
`
`
`
`http://www.3gpp.org/ftp/ or selected the “click here for access to the 3GPP ftp site”
`
`link on the 3GPP website homepage:
`
`In order to access Tdocs from, for example, TSG RAN Working Group 1, the
`
`person could have selected the “tsg_ran” folder:
`
`22
`
`
`
`Then he or she could have selected the “WG1_RL1” folder:
`
`This would then have presented folders containing the meeting documents sorted
`
`by each meeting:
`
`23
`
`
`
`For example, selecting the “TSGR1_42” folder would have then presented a folder
`
`containing the “Docs” (i.e. Tdocs) for that particular meeting:
`
`This “Docs” folder also contains the Tdoc list that a person could have consulted
`
`for a spreadsheet indexed by Tdoc number that included details of the Tdoc’s
`
`source, title, and agenda item.
`
`24
`
`
`
`C.
`30.
`
`3GPP Email Exploders
`Each 3GPP TSG and Working Group has always operated one or more
`
`email exploders to which interested members of the public could subscribe and that
`
`were, and still are, used for the distribution of technical and administrative
`
`documents, and for discussion of technical and administrative issues. For example,
`
`there was, and continues to be, an email exploder list for the TSG RAN WG1, and
`
`a more general TSG RAN discussion group. The TSG RAN WG1 email exploder
`
`list currently has 1,557 subscribers (see Exhibit 1030, at 1). On January 4, 2006,
`
`the TSG RAN WG1 email exploder had 933 subscribers (see Exhibit 1031, at 2).
`
`3GPP also maintained, and continues to maintain, publicly available archives of
`
`email communications sent via the email exploder lists. 3GPP archives emails sent
`
`via the email exploders as and when they are sent, including information on send
`
`25
`
`
`
`date and time, sender email, and any attached documents (such as Tdocs).
`
`31.
`
`The email exploder lists were used, and continue to be used, by
`
`members of the respective Working Groups to send emails notifying others as soon
`
`as new or additional documents had been uploaded to 3GPP’s ftp server. This
`
`would inform those subscribed to an email exploder list of, for example, Tdocs that
`
`had been recently uploaded.
`
`32. At least as early as January 1999, the 3GPP email exploders were
`
`freely accessible to the general public to join with no membership requirement. All
`
`that was and continues to be required is to select the relevant email exploder list
`
`and provide a name and email address. The subscription process was, and
`
`con
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