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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`SAMSUNG ELECTRONICS CO., LTD.,
`Petitioner,
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`Patent Owner
`
`
`
`U.S. PATENT NO. 9,860,044
`
`Case IPR2021-TBD
`
`
`
`
`DECLARATION OF FRIEDHELM RODERMUND
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF U.S.
`PATENT NO. 9,860,044
`
`
`
`Samsung Ex. 1016
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`
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`TABLE OF CONTENTS
`
`Page
`
`I.
`
`II.
`
`III.
`
`IV.
`
`
`INTRODUCTION AND ENGAGEMENT ............................................................ 1
`
`BACKGROUND AND QUALIFICATIONS ........................................................ 3
`
`SUMMARY OF MY OPINIONS ........................................................................... 7
`
`PUBLICATION OF 3GPP SPECIFICATIONS AND RELATED DOCUMENTS
`8
`
`A.
`
`B.
`
`General Practices .................................................................................................... 8
`
`Specific Documents .............................................................................................. 18
`
`1.
`
`2.
`
`3.
`
`4.
`
`R1-083679................................................................................................. 18
`
`R1-090792................................................................................................. 23
`
`TS 36.211 V8.5.0 ...................................................................................... 27
`
`TS 36.213 V8.5.0 ...................................................................................... 30
`
`V.
`
`AVAILABILITY FOR CROSS-EXAMINATION .............................................. 34
`
`Right To Supplement ............................................................................................ 34
`
`Signature ............................................................................................................... 35
`
`A.
`
`B.
`
`
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`Samsung Ex. 1016
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`Declaration of Friedhelm Rodermund
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`I, Friedhelm Rodermund, do hereby declare as follows:
`
`I.
`
`INTRODUCTION AND ENGAGEMENT
`
`1.
`
`I have been retained in this matter by Samsung Electronics Co., Ltd
`
`(“Petitioner” or “Samsung”) 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”).
`
`2.
`
`I have been asked to provide my opinions regarding the authenticity
`
`and dates of public accessibility of the following 3GPP document:
`
`• T-doc R1-083679, which represents a document with the title “UL
`
`Layered Control Signal Structure in LTE-Advanced” (hereinafter “R1-
`
`083679”, Ex. 1008)
`
`• T-doc R1-090792, which represents a document with the title “Control
`
`Signalling Design for Supporting Carrier Aggregation” (hereinafter
`
`“R1-090792”, Ex. 1007)
`
`• Version 8.5.0 of technical specification 3GPP TS 36.211 (“Technical
`
`Specification Group Radio Access Network; Evolved Universal
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`Terrestrial Radio Access
`
`(E-UTRA); Physical Channels and
`
`Modulation (Release 8)”) (hereinafter “TS 36.211 v8.5.0”) (Ex. 1009)
`
`• Version 8.5.0 of technical specification 3GPP TS 36.213 (“Technical
`
`Specification Group Radio Access Network; Evolved Universal
`
`Terrestrial Radio Access (E-UTRA); Physical layer procedures
`
`(Release 8)”) (hereinafter “TS 36.213 v8.5.0”, Ex. 1011)
`
`3.
`
`As an ETSI Project Manager and Secretary, from June 1998 to
`
`December 2004, I have personal knowledge of 3GPP’s standard business and
`
`records keeping practices. I continued following 3GPP’s work ever since. Thus,
`
`based on my experience, personal knowledge, and review of 3GPP’s business
`
`records, I am able to testify regarding the authenticity of certain documents
`
`published by 3GPP and the timing of their publication.
`
`4.
`
`I am also knowledgeable about document management practices and
`
`the usage of email reflectors in TSG RAN WG1. This is due to the fact that all 3GPP
`
`working groups used the same document repository on ftp.3gpp.org and all working
`
`groups use the same email exploder tool. Thus, I’m able to testify regarding the
`
`availability and authenticity of any 3GPP documents.
`
`5.
`
`I am being compensated for my time spent on this matter at my usual
`
`rate of €450 per hour. My fee is not contingent on the outcome of this or any matter,
`
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`Declaration of Friedhelm Rodermund
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`or on the content of any of the testimony I give in this declaration. I have no financial
`
`interest in Petitioner.
`
`6.
`
`I have been informed that Ericsson (hereinafter referred to as “Patent
`
`Owner”) alleges ownership and is the current assignee of U.S. Patent No. 9,860,044
`
`(“the ’044 Patent”) (Ex. 1001). I have no financial interest in the Patent Owner or
`
`the ’044 patent.
`
`II.
`
`BACKGROUND AND QUALIFICATIONS
`
`7.
`
`I have more than 20 years of experience working with standards
`
`development organizations including the Third Generation Partnership Project
`
`(“3GPP”), the European Telecommunications Standards Institute (“ETSI”), and the
`
`Open Mobile Alliance (“OMA”). I have particular experience with the development
`
`of standards related to cellular telecommunications, including the standards for the
`
`Universal Mobile Telecommunications System (“UMTS”), Long Term Evolution
`
`(“LTE”), and 5G, which are all standards developed by the 3GPP.
`
`8.
`
`I attended the University of Technology Aachen in Aachen, Germany,
`
`where I performed graduate studies in Electrical Engineering with a focus on
`
`telecommunications technologies (“Dipl.-Ing. TH” degree). I also attended the
`
`University of Technology Trondheim in Trondheim, Norway, and completed my
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`Diploma thesis, “Design of a dual processor computer for digital signal processing
`
`in power electronics,” in 1993.
`
`9.
`
`From December 1993 to June 1998, I worked at Mannesmann
`
`Mobilfunk as a System Engineer and Project Manager in Quality Assurance and
`
`Technical Standards. One of my responsibilities was to ensure by managing and
`
`performing related test activities that cellular network equipment was compatible
`
`with the Global System for Mobile Communications (“GSM”) standard developed
`
`by ETSI. During that time, I also started working as a standards delegate. I attended
`
`my first ETSI meeting in 1996 (although I was already following ETSI
`
`developments from 1992 during my studies).
`
`10. From June 1998 to December 2004, I worked at ETSI as a project
`
`manager for various ETSI Special Mobile Group (“SMG”) and 3GPP working
`
`groups. First, I served as a secretary of SMG4 “Data Services” and SMG8 “Base
`
`Stations Testing.” Then, as a project manager with the ETSI Mobile Competence
`
`Center (“MCC”), I supported establishing 3GPP as the new international standards
`
`development organization for cellular telecommunications. One of my roles was
`
`acting as Secretary for 3GPP’s Technical Specifications Group Terminals, Working
`
`Group (“T2”), the group which played a leading role in the creation of standards for
`
`Multimedia such as the Multimedia Messaging Service (“MMS”).
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`11. Later, I was a secretary of the highest-level Technical Specifications
`
`Group Terminals which was besides other things responsible for the development of
`
`test specifications including tests for the radio interface.
`
`12.
`
`I edited all technical specifications produced by my working groups and
`
`presented results to the parent body for approval. I attended all meetings (apart from
`
`some sub-working group meetings) and was also responsible for compiling meeting
`
`reports, for handling all the meeting documents, and managing the work plan. It was
`
`also my role to guide the groups and to advise the chairmen regarding 3GPP working
`
`methods and procedures including document handling, and to make sure delegates
`
`were aware of their company’s obligations under the 3GPP Intellectual Property
`
`Right policy.
`
`13. As part of my responsibilities at ETSI, I acted as a 3GPP custodian of
`
`records by personally managing 3GPP’s public File Transfer Protocol (ftp) folders,
`
`which I used to make publicly accessible various 3GPP documents, including
`
`versions of 3GPP specifications, technical reports, liaison statements, change
`
`requests, contributions, agendas, meeting reports, and other 3GPP documents from
`
`my working groups. I am also knowledgeable about document management
`
`practices used in other working groups and within 3GPP in general with regard to
`
`making documents publicly accessible through the same, public ftp server of 3GPP.
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`14. Since I left ETSI as a staff member in 2005, I have been continuously
`
`involved in standardization activities, including with Open Mobile Alliance, ETSI,
`
`and 3GPP. Since 2017, I also have been attending the ETSI IPR Special Committee,
`
`which is responsible for the maintenance of the ETSI IPR Policy.
`
`15. After I left ETSI, I worked from January 2005 to October 2014 at
`
`Vodafone, first as a Project Manager for Mobile Broadcast Standards, and then as
`
`Vice Chairman of the Device Management working group of the Open Mobile
`
`Alliance, and then as a Senior Standards Strategist, all with responsibilities as
`
`described on my C.V. At Vodafone, I was deeply involved in standards work with
`
`ETSI and 3GPP and other standards setting organizations, including as a delegate to
`
`3GPP SA1 “Services.” As part of my responsibilities, I attended selected 3GPP
`
`meetings, submitted documents to 3GPP, used 3GPP resources (including 3GPP’s
`
`ftp server) extensively, and remained knowledgeable about 3GPP policies and
`
`procedures with regard to document management and public accessibility. I was also
`
`involved in the creation of patents, defense activities related to patent litigations, and
`
`patent evaluation, mostly in the context of standards development.
`
`16. Since leaving Vodafone in 2014, I have performed consulting work
`
`regarding Internet of Things (IoT) and Machine to Machine (M2M) technology and
`
`standards, first at Friedhelm Rodermund Consulting and then as the Founder and
`
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`Director of IOTECC GmbH. In connection with my work, I regularly deal with
`
`standards such as OMA’s Lightweight M2M, 3GPP’s LTE, Narrowband IoT (NB-
`
`IoT) and 5G standards. And I have extensively used 3GPP resources and have
`
`remained knowledgeable about 3GPP policies and procedures with regard to
`
`document management and public accessibility.
`
`17.
`
`I also provide consulting services related to patents, in particular around
`
`3GPP Standard Essential Patents (“SEPs”), and I have been working as an expert
`
`witness on a number of occasions. I continue to closely follow the maintenance of
`
`the ETSI IPR Policy as a delegate to the ETSI IPR Special Committee. Furthermore,
`
`I’m conducting a seminar on SEPs and the Internet of Things at the Technical
`
`University of Ilmenau, Germany.
`
`18. At the time of writing this declaration, I am following – including
`
`attending selected meetings - the following standards committees: ETSI oneM2M,
`
`ETSI IPR Special Committee, Open Mobile Alliance, and 3GPP.
`
`19. A copy of my curriculum vitae, which includes a detailed description
`
`of my experience and education, is attached as Appendix A. A list of litigation
`
`matters on which I have worked over the last five years is also included in my
`
`curriculum vitae.
`
`III.
`
`SUMMARY OF MY OPINIONS
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`20.
`
`It is my opinion that R1-083679 (Ex. 1008) is an authentic 3GPP T-doc
`
`and would have been publicly accessible through ftp.3gpp.org no later than
`
`September 24, 2008.
`
`21.
`
`It is my opinion that R1-090792 (Ex. 1007) is an authentic 3GPP T-doc
`
`and would have been publicly accessible through ftp.3gpp.org no later than February
`
`3, 2009.
`
`22.
`
`It is my opinion that TS 36.211 v8.5.0 (Ex. 1009) is a technical
`
`specification published by 3GPP and would have been publicly accessible through
`
`ftp.3gpp.org as of December 18, 2008.
`
`23.
`
`It is my opinion that TS 36.213 v8.5.0 (Ex. 1011) is a technical
`
`specification published by 3GPP and would have been publicly accessible through
`
`ftp.3gpp.org as of December 22, 2008.
`
`IV. PUBLICATION OF 3GPP
`SPECIFICATIONS AND RELATED DOCUMENTS
`A. General Practices
`
`24. Unless otherwise noted, the following is an accurate description of
`
`3GPP general practices from 1998 to the present, regardless of whether I use the
`
`present or past tense to describe those practices.
`
`25.
`
`3GPP was established in 1998 by a group of telecommunications
`
`standard development organizations from Japan, Korea, China, Europe, and the
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`United States
`
`to
`
`jointly develop worldwide
`
`standards
`
`for mobile
`
`telecommunications. Today, 3GPP consists of seven partners: Association of Radio
`
`Industries and Businesses, Japan (“ARIB”), Alliance for Telecommunications
`
`Industry Solutions, USA (“ATIS”), China Communications Standards Association
`
`(“CCSA”), European Telecommunications Standards
`
`Institute
`
`(“ETSI”),
`
`Telecommunications Technology Association, Korea (“TTA”), Telecommunication
`
`Technology Committee, Japan (“TTC”). In addition to being one of the founding
`
`partners, ETSI hosts the Mobile Competence Centre (“MCC”), which provides
`
`administrative and technical support to the day-to-day work of 3GPP. Furthermore,
`
`ETSI manages 3GPP’s IT services such as the 3GPP website, ftp server, and email
`
`exploders.
`
`26.
`
`3GPP is the world’s leading organization for developing and
`
`maintaining cellular telecommunications standards, which it has done since its
`
`foundation in 1998. As noted above and in my C.V., I began working for 3GPP, as
`
`part of my work at ETSI, the European-based organizational partner of 3GPP.
`
`27.
`
`In the ordinary course of its regularly conducted business activities, and
`
`pursuant to its standard business practices, 3GPP publishes technical specifications,
`
`proposals, reports, and other documents related to the development of cellular
`
`telecommunications standards. Such documents are published for the purposes of
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`discussion and establishment of industry standards for cellular telecommunications.
`
`This has been 3GPP’s ordinary course of business since when I began working at
`
`ETSI in 1998.
`
`28.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, all draft technical
`
`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 and made publicly available,
`
`including on the ftp server associated with the 3GPP website, currently residing at
`
`ftp.3gpp.org. Such documents are referred to as “T-docs.” Final versions of the
`
`technical specifications also were, and continue to be, publicly available from that
`
`same ftp server.
`
`29. The names and the structure of 3GPP working groups, as of April 2007
`
`can be found reproduced below and at
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`https://web.archive.org/web/20071230120440/http://www.3gpp.org/TB/home.htm.
`
`TSG ORGANIZATION
`
`Project Co-ordination Group
`(PCG)
`
`TSOGERAH
`GSMEDGE
`-"'1<
`Radio Ace-
`
`TSO RAN
`Rl<llo ~c.a Ntlwo<l<1
`
`TSOSA
`SolVMI I
`sy,t.m Aaptela
`
`GE.RAN WG1
`R.ldio Alpodl
`
`GE.RAN WG2
`Ptt>locol Alped1
`
`GERAN WG3
`hr,nlnllTe•·l'CI
`
`RAH WG1
`Radio l • r• 1
`•~d~i>O
`
`RAH WG2
`
`~:L':;;;:r.i!
`....... .,. ..... ,
`
`RAN WG3
`
`UTVJIO,UI ............
`
`CLC5€DGRl)l.f'S
`
`CN!.!!t-·••
`1 ~
`C.'11\Gt•CT'l,G,
`l 'l,Gt•AA'i \\\;S
`CNI\C1
`If.Cl
`C.'l,\GJ•CH1GJ Tl,G' •er A~
`CNIIG< . . ct h~ ..,
`
`CHIIGS•c1 hG5 GE!Wlh'G-4..aR•J(J
`GE/WI Ali5<4GE'l,ll'<l
`
`Apnl2007
`
`RANW~
`Rf4IO Pt110,-nca f.
`l'lolocol Aapocll
`
`RAN WG5
`Uoble T 1'"111\11
`COftlOffl\lllca Tllill'CI
`
`SAWG1
`Sotvlc"
`
`SAWG2
`Attlllt1duro
`
`SAWG3
`~ .. ,tty
`
`SA WG4
`Coq91:
`
`SAWG5
`T tlocom Mlf\lgemtffl
`
`TSOCT
`CoroNflwot11
`& hnninalo
`
`CTWG1
`LUI.CC/SIi Oul
`
`CTWG3
`tn11rwoli.ia19 wllll
`Exlomal Nelwllru
`
`CTWG4
`l,IAP GTP111CHISS
`
`CTWG~
`OSA
`
`°""" Sffilct , . _
`
`CTWG6
`SmartCtnl
`Apj)llc~llollAlpt<tJ
`
`
`
`30. Each Technical Specification Group (TSG) or Working Group adopts
`
`a structured numbering system for the documents associated with their meetings,
`
`and those systems typically follow a consistent numbering system as shown in the
`
`following example: xminnzzzz. The numbering system normally comprises five
`
`logical elements: (1) x: a single letter corresponding to the TSG; where in 2007/2008
`
`x was one of R (Radio Access Network), C (Core and Terminals), S (Service and
`
`System Aspects), or G (GSM/EDGE Radio Access Network); (2) m: A single
`
`character corresponding to the Working Group identity (typically 1, 2, 3, etc.) or, in
`
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`the case of the TSG itself, the letter “P”; (3) i: Normally the hyphen character “-”;
`
`(4) nn: the calendar year of the meeting to which the document was submitted; (5)
`
`zzzz: a running number.
`
`31.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, from December 1998
`
`onwards, 3GPP published all of its T-docs and all final versions of its technical
`
`specifications on its ftp server, which has always been easily and publicly accessible
`
`from its website and currently resides at ftp.3gpp.org.
`
`32. As early as December 1998, 3GPP’s ftp server was freely accessible to
`
`the general public with no login, password, or membership requirement.
`
`33. By 1999, at least 100 companies were members of 3GPP (by December
`
`2020: 719 companies), ranging from Bosch to Ericsson to Nokia to Samsung and
`
`generally including those interested in the discussion, creation, and adoption of
`
`cellular telecommunications standards, including UMTS. Each of these companies
`
`typically delegated multiple individuals to regularly participate in 3GPP meetings.
`
`Further, pursuant to 3GPP’s standard business practices, 3GPP working groups sent
`
`emails notifying these individuals as soon as new or additional documents had been
`
`uploaded to 3GPP’s ftp server. Thus, not only did the general public have access to
`
`the documents on the ftp server, but some of the most interested members of the
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`public—those working to develop standards for cellular telecommunication or
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`working to implement the standards—were personally informed of their availability
`
`by email. Based on my experience with 3GPP and the telecommunications industry,
`
`I would expect any person implementing a cellular network or device, e.g., an LTE
`
`network or device, to consult the corresponding specifications on the 3GPP ftp
`
`server, as well as other related documents. The whole purpose of 3GPP creating and
`
`making these specifications available was so that engineers and other individuals
`
`would have ready access to them when developing and implementing cellular
`
`networks and devices.
`
`34. By June 1999, 3GPP’s ftp server was well-known to persons in the
`
`cellular telecommunications industry as a source of public information regarding
`
`industry standards and technological advances.
`
`35.
`
`3GPP specifications bear a specification number consisting of four or
`
`five digits, e.g., 09.02 or 29.002. The first two digits define the specification series
`
`which are defined to group the different aspects of the 3GPP system into e.g.
`
`requirements, service aspects, radio aspects codecs, security aspects, and test
`
`specifications. The series digits are followed by two additional digits for the 01 to
`
`13 series or three further digits for the 21 to 55 series. The subjects of the individual
`
`specification
`
`series
`
`are
`
`explained
`
`on
`
`3GPP’s
`
`website
`
`at
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`https://www.3gpp.org/specifications/specification-numbering,
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`and
`
`reproduced
`
`below:
`
`Subject of specification series
`
`General information (long defunct)
`
`Requirements
`
`Service aspects ("'stage 1")
`
`Technical realization ("stage 2")
`
`3G and beyond I GSM GSM only (Re~ GSM only
`(R99 and later)
`4 and later)
`(before Rel-4)
`
`21 series
`
`22 series
`
`23 series
`
`00 series
`
`01 series
`
`02 series
`
`41 series
`
`42 series
`
`43 series
`
`03 series
`
`Signalling protocols ("stage 3") - user equipment to network
`
`24 series
`
`44 series
`
`04 series
`
`Radio aspects
`
`CODECS
`
`Data
`
`25 series
`
`26 series
`
`27 series
`
`Signalling protocols ("stage 3") -(RSS-CN) and OAM&P and
`Charging (overflow from 32.- range)
`
`28 series
`
`Signalling protocols ("stage 3") - intra-fixed-network
`
`Programme management
`
`Subscriber ldenttty Module (SIM / USIM), IC Cards. Test
`specs.
`
`29 series
`
`30 series
`
`31 series
`
`45 series
`
`05 series
`
`46 series
`
`06 series
`
`47 series (none
`exists)
`
`07 series
`
`48 series
`
`08 series
`
`49 series
`
`50 series
`
`09 series
`
`10 series
`
`51 series
`
`11 series
`
`OAM&P and Charging
`
`32 series
`
`52 series
`
`12 series
`
`Access requirements and test specifications
`
`13 series (1)
`
`13 series (1)
`
`Security aspects
`
`UE and (U)SIM test specifications
`
`Security algorithms (3)
`
`LTE (Evolved UTRA), LTE-Advanced, LTE-Advanced Pro
`radio technology
`
`Multiple radio access technology aspects
`
`Radio technology beyond LTE
`
`33 series
`
`34 series
`
`35 series
`
`36 series
`
`37 series
`
`38 series
`
`(2)
`
`(2)
`
`(2)
`
`11 series
`
`55 series
`
`(4)
`
`1
`
`
`
`36. The LTE radio standard is covered in the “36 series” and is further
`
`subdivided into separate sections or specifications. The LTE radio specification
`
`starts at TS 36.101 and ends at TR 36.978. Excluding withdrawn specifications, the
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`LTE standard consists of more than 250 specifications. Each specification can span
`
`from a few pages to hundreds of pages. One full version of the LTE standard is
`
`massive, spanning tens of thousands of pages.
`
`37.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, T-docs are usually
`
`uploaded to 3GPP’s ftp server and website before the meeting where they are to be
`
`discussed. Documents created or revised during the course of a meeting are
`
`normally uploaded at the latest during the week following the meeting (e.g., the
`
`meeting report of the meeting is usually published for review during the week
`
`following the meeting).
`
`38.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, 3GPP maintains archives
`
`that include different versions of the specifications, as well as email communications
`
`to its membership, including emails 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.
`
`39. At least as early as July 1999, all of 3GPP’s email archives, including
`
`the dedicated email list for TSG RAN WG1 and TSG RAN WG2 were freely
`
`accessible to the general public with no login, password, or membership
`
`15
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`Samsung Ex. 1016
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`Declaration of Friedhelm Rodermund
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`requirement. Each of 3GPP’s member companies typically assigned one or more
`
`individuals to regularly participate in these email lists. Thus, not only did the general
`
`public have access to the emails in 3GPP’s email archives, but some of the most
`
`interested members of the public–those working to develop standards for cellular
`
`telecommunication–personally received copies of such emails through their
`
`participation in the email lists.
`
`40. By June 1999, 3GPP’s email archives were well-known to persons in
`
`the cellular telecommunications industry as a source of public information and of
`
`technical specifications, proposals, meeting announcements, technical discussions
`
`and reports regarding industry standards and technological advances.
`
`41. Based on my experience with 3GPP and the telecommunications
`
`industry, I would expect a person interested in the development of cellular standards,
`
`e.g., LTE, to consult the emails archives of the working groups and TSGs that person
`
`is interested in, and/or, to be subscribed to the corresponding email reflectors to
`
`receive any email notifications in real-time.
`
`42.
`
`3GPP specifications almost always are duplicated in at least two and
`
`sometime more locations on the ftp server. One location corresponds to a “snapshot”
`
`of the specifications corresponding to a particular plenary meeting cycle, e.g., the
`
`2018-12 snapshot contains a snapshot of numerous specifications after the December
`
`16
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`Declaration of Friedhelm Rodermund
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`2018 3GPP plenary meetings. The second location is an “archive” that contains all
`
`versions over time for a given specification. While 3GPP aims to upload the updated
`
`specifications to both locations at the same time, occasionally there may be a small
`
`difference in the upload date, and thus the date stamp, for the same specification
`
`uploaded to the two locations. Additionally, specifications which are not yet
`
`approved (so call “draft” specifications) are available as T-docs at working group
`
`and at plenary meetings (as soon the working group decides to submit the
`
`specification to the plenary meeting for information or approval).
`
`43. The timestamp on 3GPP’s ftp server shows the date when the document
`
`was uploaded the last time. Thus, the timestamp shows the latest possible date the
`
`document became publicly available and accessible on 3GPP’s ftp server. The given
`
`document might have been available earlier and the original timestamp might have
`
`been overwritten because the document was uploaded again. According to my
`
`experience, this is something which happened quite frequently. Thus, the ftp
`
`timestamp is reliable as the latest possible upload date but one cannot determine
`
`whether it represents the first upload of a document to the ftp server.
`
`44.
`
`3GPP’s working practice to store their documents on their ftp server, as
`
`described above, has not changed over time. Starting from the first 3GPP meetings
`
`in 1998 until present, all WGs and plenary meetings are represented by dedicated
`
`17
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`Declaration of Friedhelm Rodermund
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`meeting folders on the ftp server. These meeting folders include the documents
`
`discussed at the meetings. Both the folders and the documents are accessible to the
`
`public. Almost every week, a new meeting folder with the respective documents is
`
`added. In addition to the plenary and WG meeting folders, and some other folders,
`
`there is also the “Specs” folder, which holds all 3GPP specifications including the
`
`aforementioned “snapshot” and archive folders. Since the early days of 3GPP a new
`
`folder is added inside the “Specs” folder after each TSG plenary meeting to hold the
`
`latest versions of specifications approved at those TSG plenary meetings. This is still
`
`3GPP’s working practice today; thus, this practice has not changed over time.
`
`B.
`
`Specific Documents
`
`1.
`
`R1-083679
`
`45. Based on my personal knowledge and my review of 3GPP’s business
`
`records, I recognize Ex. 1008 as a true and correct copy of T-doc R1-083679, which
`
`represents a document submitted by NTT DOCOMO, Inc. with the title “UL Layered
`
`Control Signal Structure in LTE-Advanced.” The document discusses various
`
`aspects of the PUCCH transmission scheme for LTE-Advanced. On its face, R1-
`
`083679 refers to the RAN WG1 meeting #54bis held on September 29 – October 3,
`
`2008 in Prague, Czech Republic. Thus, based on my personal knowledge and
`
`experience with ETSI’s and 3GPP’s standard business practices, this information
`
`18
`
`
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`Samsung Ex. 1016
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`
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`Declaration of Friedhelm Rodermund
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`tells me that R1-083679 was available either prior or during that meeting to at least
`
`all attending 3GPP members. The availability of the document is confirmed by the
`
`date stamp, September 24, 2008, shown on the historic 3GPP ftp server for the
`
`corresponding downloadable file (“R1-083679.zip”), as maintained by the Internet
`
`Archive at
`
`
`
`https://web.archive.org/web/20140328150953/http://3gpp.org/ftp/tsg_ran/WG1_R
`
`L1/TSGR1_54b/Docs. This information is also shown on the date stamp for the
`
`present-day listing of the same document on the 3GPP ftp server at
`
`
`
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_54b/Docs which is shown by
`
`the screen shot below.
`
`
`
`
`
`19
`
`
`
`Samsung Ex. 1016
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`
`
`Declaration of Friedhelm Rodermund
`
`• •
`~ ftp.3gpp.org
`
`Open Connection
`
`Quick Connect
`
`_: ftp.3gpp.org - FTP
`
`I Unregistered j
`
`Action Refresh
`
`Disconnect
`
`=ilename
`n. I -uu.:,u / L.LIJJ
`R 1-083673.zip
`R 1-08367 4.zip
`R1 -083675.zip
`R 1-083676.zip
`R 1-083677 .zip
`R 1-083678.zip
`Iii R1 -083679.ZIP
`R1 -083680.zip
`R1 -083681 .zip
`R1 -083682.zip
`R1 -083683.zip
`R 1-083684.zip
`R 1-083685.zip
`R 1-083686.zip
`R 1-083687 .zip
`589 Files
`
`/tsg_ran/ WG1_RL 1/TSGR1_54b/Docs
`
`Q
`
`" Size
`
`Modified
`L .... v.:,.vu, V::::J • L I
`69.0 KB 24.09.08, 09:28
`144. 7 KB 24.09.08, 09:28
`16. 7 KB 24.09.08, 09:28
`50.5 KB 24.09.08, 09:28
`128.0 KB 24.09.08, 09:28
`26.8 KB 24.09.08, 09:28
`104.0 KB 24.09.08, 09:28
`85.9 KB 24.09.08, 14:44
`364.6 KB 24.09.08, 14:44
`126.7 KB 28.09.08, 13:23
`96.1 KB 24.09.08, 09:28
`240.9 KB 24.09.08, 09:28
`437.8 KB 28.09.08, 13:23
`122.1 KB 28.09.08, 13:23
`305.5 KB 24.09.08, 09:28
`
`[
`
`
`
`46.
`
`In addition, the information for the downloaded and extracted T-doc
`
`file states a last Modified date of “24. Sep 2008.” Here is a screen shot showing
`
`those file details:
`
`
`
`
`
`
`
`
`
`
`
`20
`
`Samsung Ex. 1016
`
`
`
`Declaration of Friedhelm Rodermund
`
`3CPP TSC RAN WCJ M« ling. #S4bi8
`083679
`; t
`I cg
`
`b I p bl i 8 p
`
`b U
`
`RI •
`
`UL Layered Control Signal Structure
`in LTE-Advanced
`
`~
`
`TT DOCOMO, ~
`
`Agtnd• ittm: II
`Dotu,utnl tor: Oiic.u$d-On a.nd Deti.s:i-0n
`
`R1-083679 UL layered
`control signal.ppt
`286 KB
`
`Information
`
`Created
`Modified
`
`24. Sep 2008 at 01 :46
`24. Sep 2008 at 01 :46
`
`
`
`47. The official meeting report of the RAN WG1 meeting #54bis held on
`
`September 29 – October 3, 2008 in Prague, Czech Republic can be found in
`
`Appendix
`
`B.
`
`
`
`According
`
`to
`
`the
`
`3GPP
`
`website
`
`at
`
`https://portal.3gpp.org/Meetings.aspx#/ which is shown by the screen shot below,
`
`that meeting was attended by 181 individuals (out of 205 registered participants):
`
`21
`
`
`
`Samsung Ex. 1016
`
`
`
`Declaration of Friedhelm Rodermund
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`• • • < >
`
`[!]
`
`(J
`
`Iii portal.3gpp.org
`
`C,
`
`!'!'J
`
`c5l
`
`a
`
`RAN1#54-BIS - Meeting information
`
`Meeting identifier :
`Meeting Contacts :
`Meeting Reference :
`Meeting Type :
`Location :
`Start Date :
`
`End Date :
`
`Check-In starts at :
`
`27174
`
`3GPPRAN1#54-BIS
`Ordinary
`Prague , CZ
`29 Sep 2008 09:00 (GMT +02.00) Brussels, Copenhagen,
`Madrid, Paris
`03 Oct 2008 17:00 (GMT +02.00) Brussels, Copenhagen,
`Madrid, Paris
`00:00 (GMT +02.00) Brussels, Copenhagen, Madrid, Paris
`
`More options
`
`Me..e..ting's contributions (IQQg)
`View Meeting Contributions Setting§
`&g~
`&rnort
`
`Invitation
`List pf 585 T docs
`Contribution not available
`Download TDoc list (~
`
`}
`
`list of participants: 205 registered, 181 attended
`
`Ill
`
`A
`
`V
`
`
`
`48. The meeting report mentions T-doc R1-083679 on page 56 which
`
`clearly indicates that the document was registered for the meeting. The screen shot
`
`below shows an excerpt of page 57 of the meeting report:
`
`
`
`I R1-083679
`
`I UL Layered Control Signal Structure in L TE-Advanced
`
`I NTT DOCOMO
`
`
`
`49. Furthermore,
`
`the
`
`document was
`
`distributed
`
`via
`
`the
`
`3GPP_TSG_RAN_WG1 email exploder on September 24, 2008 as shown in
`
`Appendix C. At that time this email exploder had more than 1000 subscribers as can
`
`22
`
`
`
`Samsung Ex. 1016
`
`
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`Declaration of Friedhelm Rodermund
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`be
`
`seen
`
`by
`
`the
`
`Internet
`
`Archive
`
`at
`
`https://web.archive.org/web/20080919101919/http://list.etsi.org/.
`
`50. Thus, based on my
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