UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`SAMSUNG ELECTRONICS CO. LTD.
`(“Samsung”),
`Petitioner
`
`v.
`
`ERICSSON INC. ET AL.
`(“Ericsson”),
`Patent Owner
`
`Case IPR2021-00645
`Patent No. 9,300,432
`
`DECLARATION OF DR. ROBERT AKL, D.Sc.
`
`1
`
`SAMSUNG 1003
`
`

`

`
`
`TABLE OF CONTENTS
`
`Introduction ..................................................................................................... 14
`I.
`II. Background and Qualifications ...................................................................... 15
`III. Level of Ordinary Skill in the Art ................................................................... 21
`IV. Materials Considered and Relied Upon .......................................................... 22
`V. Legal Standards ............................................................................................... 24
`A.
`Legal Standards for Prior Art .............................................................. 24
`B.
`Legal Standard for Priority Date ......................................................... 26
`C.
`Legal Standard for Obviousness ......................................................... 26
`VI. Overview of the ’432 Patent ........................................................................... 30
`A.
`Subject Matter Overview .................................................................... 30
`B.
`File History of the ’432 Patent ............................................................ 33
`C.
`Interpretation of the ’432 Patent Claims at Issue ................................ 34
`VII. Overview of the Cited References .................................................................. 35
`A.
`TS 25.331 (SAMSUNG-1004) ............................................................ 35
`B.
`TS 25.214 (SAMSUNG-1005) ............................................................ 36
`C.
`R1-074426 (SAMSUNG-1006) .......................................................... 37
`D.
`Sampath (SAMSUNG-1007) .............................................................. 38
`E. Wintzell (SAMSUNG-1008) ............................................................... 38
`F.
`Catreux-Erceg (SAMSUNG-1009) ..................................................... 39
`VIII. TS 25.331 in view of TS 25.214 renders claims 1, 2, 4-7, 9-12, 14-16,
`18 obvious ...................................................................................................... 41
`
`
`
`2
`
`

`

`A.
`B.
`
`C.
`D.
`E.
`
`F.
`
`[1pre] A method, in a user equipment, of enabling link quality
`estimation of a radio channel used for transmitting
`signals from a sending node to the user equipment, the
`
`[1a] receiving, from the sending node and by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter for adjusting signal power
`
`[1b] measuring properties based on reference symbols of the
`
`[1c] adjusting the measured properties of the radio channel
`based on the received measurement adjusting parameter;
`
`[1d] sending, to the sending node, a channel state information
`
`Combination of TS 25.331 and TS 25.214 ......................................... 41
`Independent Claim 1 ........................................................................... 42
`method comprising:................................................................... 43
`measurements; ........................................................................... 46
`radio channel transmitted by the sending node;........................ 48
`and ............................................................................................. 49
`report based on the adjusted measured properties. ................... 51
`Claim 2 ................................................................................................ 52
`Claim 4 ................................................................................................ 53
`Claim 5 ................................................................................................ 53
`node; and ................................................................................... 54
`signal measurements on the reference symbols; ....................... 56
`and data signals. ........................................................................ 57
`Claim 6 ................................................................................................ 58
`[6pre] A user equipment, comprising: ................................................ 59
`
`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`
`[5b] configuring the channel state information report based on
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`
`
`
`3
`
`

`

`user equipment specific measurement adjusting
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`
`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`
`parameter for adjusting signal power measurements; .............. 60
`transmitted by the sending node; .............................................. 61
`received measurement adjusting parameter; and ...................... 61
`measured properties. ................................................................. 62
`Claim 7 ................................................................................................ 63
`Claim 9 ................................................................................................ 63
`Claim 10 .............................................................................................. 64
`and reference symbols from the sending node; ........................ 64
`signal measurements on the reference symbols; ....................... 65
`measured signals and data signals. ........................................... 65
`Claim 11 .............................................................................................. 66
`method comprising:................................................................... 66
`measurements; and .................................................................... 67
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`
`[11pre] A method, in a sending node, for enabling link quality
`estimation of a radio channel used for transmitting
`signals from the sending node to a user equipment, the
`
`[11a] sending, by dedicated higher layer signaling, a user
`equipment specific measurement adjusting parameter to
`the user equipment for adjusting signal power
`
`G.
`H.
`I.
`
`J.
`
`[11b] receiving a channel state information report from the user
`equipment, the channel state information report including
`
`
`
`4
`
`

`

`measured properties defined by reference symbols of the
`radio channel transmitted by the sending node adjusted in
`accordance with the sent measurement adjusting
`
`parameter. .................................................................................. 68
`Claim 12 .............................................................................................. 68
`Claim 14 .............................................................................................. 69
`
`K.
`L.
`
`[14a] The method of claim 11, further comprising: sending
`payload data and reference symbols to the user
`equipment, which configures the channel state
`information report based on signal measurements on the
`
`[14b] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`
`reference symbols; .................................................................... 69
`measured signals and data signals. ........................................... 69
`M. Claim 15 .............................................................................................. 70
`sending node to a user equipment, comprising: ........................ 70
`signal power measurements; and .............................................. 71
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`
`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter to the user equipment for adjusting
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`
`with the sent measurement adjusting parameter. ...................... 72
`Claim 16 .............................................................................................. 72
`Claim 18 .............................................................................................. 73
`
`N.
`O.
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`
`
`
`5
`
`

`

`information report based on signal measurements on the
`
`[18b] configuring the channel state information report based on
`
`Combination of TS 25.331, TS 25.214, R1-074426, and
`
`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`
`[5b] configuring the channel state information report based on
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`
`D.
`
`reference symbols; and ............................................................. 74
`signal measurements on the reference symbols; ....................... 74
`IX. TS 25.331, TS 25.214, R1-074426, and Sampath renders claims 3, 5-
`10, 13, 15-18 obvious .................................................................................... 74
`A.
`Sampath ............................................................................................... 75
`B.
`Claim 3 ................................................................................................ 81
`C.
`Claim 5 ................................................................................................ 85
`node; and ................................................................................... 85
`signal measurements on the reference symbols; ....................... 86
`and data signals. ........................................................................ 88
`Claim 6 ................................................................................................ 88
`[6pre] A user equipment, comprising: ................................................ 89
`parameter for adjusting signal power measurements; .............. 90
`transmitted by the sending node; .............................................. 91
`received measurement adjusting parameter; and ...................... 93
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`user equipment specific measurement adjusting
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`
`
`
`6
`
`

`

`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`
`measured properties. ................................................................. 94
`Claim 7 ................................................................................................ 96
`Claim 8 ................................................................................................ 96
`Claim 9 ................................................................................................ 97
`Claim 10 .............................................................................................. 98
`and reference symbols from the sending node; ........................ 98
`signal measurements on the reference symbols; ....................... 99
`measured signals and data signals. ........................................... 99
`Claim 13 ............................................................................................100
`Claim 15 ............................................................................................100
`sending node to a user equipment, comprising: ......................101
`signal power measurements; and ............................................102
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`
`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter to the user equipment for adjusting
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`
`with the sent measurement adjusting parameter. ....................104
`Claim 16 ............................................................................................105
`
`E.
`F.
`G.
`H.
`
`I.
`J.
`
`K.
`
`
`
`7
`
`

`

`Claim 17 ............................................................................................106
`L.
`M. Claim 18 ............................................................................................107
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`information report based on signal measurements on the
`
`[18b] configuring the channel state information report based on
`
`reference symbols; and ...........................................................107
`signal measurements on the reference symbols; .....................108
`X. Wintzell in combination with Catreux-Erceg renders claims 1, 2, 4-7,
`9-12, 14-16, 18 obvious ...............................................................................108
`Combination of Wintzell and Catreux-Erceg ....................................108
`A.
`B.
`Independent Claim 1 .........................................................................111
`method comprising:.................................................................112
`measurements; .........................................................................114
`radio channel transmitted by the sending node;......................117
`and ...........................................................................................118
`report based on the adjusted measured properties. .................120
`Claim 2 ..............................................................................................121
`Claim 4 ..............................................................................................122
`Claim 5 ..............................................................................................122
`
`[1pre] A method, in a user equipment, of enabling link quality
`estimation of a radio channel used for transmitting
`signals from a sending node to the user equipment, the
`
`[1a] receiving, from the sending node and by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter for adjusting signal power
`
`[1b] measuring properties based on reference symbols of the
`
`[1c] adjusting the measured properties of the radio channel
`based on the received measurement adjusting parameter;
`
`[1d] sending, to the sending node, a channel state information
`
`C.
`D.
`E.
`
`
`
`8
`
`

`

`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`
`[5b] configuring the channel state information report based on
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`user equipment specific measurement adjusting
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`
`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`
`F.
`
`G.
`H.
`I.
`
`node; and .................................................................................123
`signal measurements on the reference symbols; .....................124
`and data signals. ......................................................................125
`Claim 6 ..............................................................................................125
`[6pre] A user equipment, comprising: ..............................................126
`parameter for adjusting signal power measurements; ............128
`transmitted by the sending node; ............................................129
`received measurement adjusting parameter; and ....................133
`measured properties. ...............................................................134
`Claim 7 ..............................................................................................135
`Claim 9 ..............................................................................................136
`Claim 10 ............................................................................................136
`and reference symbols from the sending node; ......................137
`signal measurements on the reference symbols; .....................137
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`
`
`
`9
`
`

`

`J.
`
`K.
`L.
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`
`measured signals and data signals. .........................................138
`Claim 11 ............................................................................................138
`method comprising:.................................................................138
`measurements; and ..................................................................139
`
`[11pre] A method, in a sending node, for enabling link quality
`estimation of a radio channel used for transmitting
`signals from the sending node to a user equipment, the
`
`[11a] sending, by dedicated higher layer signaling, a user
`equipment specific measurement adjusting parameter to
`the user equipment for adjusting signal power
`
`[11b] receiving a channel state information report from the user
`equipment, the channel state information report including
`measured properties defined by reference symbols of the
`radio channel transmitted by the sending node adjusted in
`accordance with the sent measurement adjusting
`
`parameter. ................................................................................140
`Claim 12 ............................................................................................140
`Claim 14 ............................................................................................141
`
`[14a] The method of claim 11, further comprising: sending
`payload data and reference symbols to the user
`equipment, which configures the channel state
`information report based on signal measurements on the
`
`[14b] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`
`reference symbols; ..................................................................141
`measured signals and data signals. .........................................141
`M. Claim 15 ............................................................................................142
`sending node to a user equipment, comprising: ......................142
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`
`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`
`
`
`10
`
`

`

`signal power measurements; and ............................................144
`
`adjusting parameter to the user equipment for adjusting
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`
`with the sent measurement adjusting parameter. ....................144
`Claim 16 ............................................................................................145
`Claim 18 ............................................................................................146
`
`N.
`O.
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`information report based on signal measurements on the
`
`[18b] configuring the channel state information report based on
`
`D.
`
`
`
`11
`
`reference symbols; and ...........................................................146
`signal measurements on the reference symbols; .....................147
`XI. Wintzell in combination with Catreux-Erceg and Sampath renders
`claims 3, 5-10, 13, 15-18 obvious ...............................................................147
`Combination of Wintzell, Catreux-Erceg, and Sampath ...................147
`A.
`B.
`Claim 3 ..............................................................................................150
`C.
`Claim 5 ..............................................................................................153
`node; and .................................................................................153
`signal measurements on the reference symbols; .....................153
`and data signals. ......................................................................156
`Claim 6 ..............................................................................................156
`
`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`
`[5b] configuring the channel state information report based on
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`
`

`

`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`user equipment specific measurement adjusting
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`
`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`
`E.
`F.
`G.
`H.
`
`I.
`J.
`
`[6pre] A user equipment, comprising: ..............................................156
`parameter for adjusting signal power measurements; ............158
`transmitted by the sending node; ............................................159
`received measurement adjusting parameter; and ....................160
`measured properties. ...............................................................162
`Claim 7 ..............................................................................................163
`Claim 8 ..............................................................................................164
`Claim 9 ..............................................................................................165
`Claim 10 ............................................................................................165
`and reference symbols from the sending node; ......................166
`signal measurements on the reference symbols; .....................166
`measured signals and data signals. .........................................167
`Claim 13 ............................................................................................167
`Claim 15 ............................................................................................167
`sending node to a user equipment, comprising: ......................168
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`
`
`
`12
`
`

`

`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter to the user equipment for adjusting
`
`signal power measurements; and ............................................169
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`
`with the sent measurement adjusting parameter. ....................171
`K.
`Claim 16 ............................................................................................173
`L.
`Claim 17 ............................................................................................174
`M. Claim 18 ............................................................................................175
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`information report based on signal measurements on the
`
`reference symbols; and ...........................................................175
`signal measurements on the reference symbols; .....................176
`XII. Additional Remarks ......................................................................................176
`
`[18b] configuring the channel state information report based on
`
`
`
`
`
`
`
`
`
`13
`
`

`

`I, Robert Akl, D.Sc. of Dallas, Texas, declare that:
`
`I.
`
`Introduction
`
`1. My name is Robert Akl, and I have been retained by counsel for
`
`Petitioner Samsung Electronics Co. Ltd. (“Samsung” or “Petitioner”) as an expert
`
`witness to provide assistance regarding U.S. Patent No. 9,300,432 (“the ’432
`
`Patent”). Specifically, I have been asked to consider the validity of claims 1-18 of
`
`the ’432 Patent (the “Challenged Claims”) in view of prior art, anticipation and
`
`obviousness considerations, and understanding of a person of ordinary skill in the
`
`art at the time of the invention (“POSITA”) as it relates to the ’432 Patent. I have
`
`personal knowledge of the facts and opinions set forth in this declaration and believe
`
`them to be true. If called upon to do so, I would testify competently thereto.
`
`2.
`
`I am being compensated for my time at my standard consulting rate. I
`
`am also being reimbursed for expenses that I incur during the course of this work.
`
`My compensation is not contingent upon the results of my study, the substance of
`
`my opinions, or the outcome of any proceeding involving the challenged claims. I
`
`have no financial interest in the outcome of this matter or on the pending litigation
`
`between Petitioner and Patent Owner.
`
`3. My analysis here is based on my years of education, research and
`
`experience, as well as my investigation and study of relevant materials, including
`
`those cited herein.
`
`
`
`14
`
`

`

`4.
`
`I may rely upon these materials, my knowledge and experience, and/or
`
`additional materials to rebut arguments raised by the Patent Owner. Further, I may
`
`also consider additional documents and information in forming any necessary
`
`opinions, including documents that may not yet have been provided to me.
`
`5. My analysis of the materials produced in this proceeding is ongoing and
`
`I will continue to review any new material as it is provided. This declaration
`
`represents only those opinions I have formed to date. I reserve the right to revise,
`
`supplement, and/or amend my opinions stated herein based on new information and
`
`on my continuing analysis of the materials already provided.
`
`II. Background and Qualifications
`
`6.
`
`I am an expert in the field of wireless communication systems. I have
`
`studied, taught, practiced, and researched this field for over 25 years. I have
`
`summarized in this section my educational background, work experience, and other
`
`relevant qualifications. Attached hereto as Appendix A, is a true and correct copy
`
`of my curriculum vitae describing my background and experience.
`
`7.
`
`I earned my Bachelor of Science degrees in Electrical Engineering and
`
`Computer Science summa cum laude with a grade point average of 4.0/4.0 and a
`
`ranking of first in my undergraduate class from Washington University in St. Louis
`
`in 1994. In 1996, I earned my Master of Science degree in Electrical Engineering
`
`from Washington University in St. Louis with a grade point average of 4.0/4.0. I
`
`
`
`15
`
`

`

`earned my Doctor of Science in Electrical Engineering from Washington University
`
`in St. Louis in 2000, again with a grade point average of 4.0/4.0, with my dissertation
`
`being on “Cell Design to Maximize Capacity in Cellular Code Division Multiple
`
`Access (CDMA) Networks.”
`
`8. While a graduate student, from 1996 through 2000, I worked at
`
`MinMax Corporation in St. Louis, where I designed software packages that provided
`
`tools to flexibly allocate capacity in a CDMA communications network and
`
`maximize the number of subscribers. I also analyzed and simulated different audio
`
`compression schemes. I also validated the hardware architecture for an
`
`Asynchronous Transfer Mode (ATM) switch capable of channel group switching, as
`
`well as performed logical and timing simulations, and developed the hardware
`
`architecture for the ATM switch. I also worked with Teleware Corporation in Seoul,
`
`South Korea, where I designed and developed algorithms that were commercially
`
`deployed in a software package suite for analyzing the capacity in a CDMA network
`
`implementing the IS-95 standard to maximize the number of subscribers.
`
`9.
`
`After obtaining my Doctor of Science degree, I worked as a Senior
`
`Systems Engineer at Comspace Corporation from October of 2000 to December of
`
`2001. At Comspace, I designed and developed advanced data coding and
`
`modulation methods for improving the reliability and increasing the available data
`
`rates for cellular communications. I coded and simulated different encoding
`
`
`
`16
`
`

`

`schemes (including Turbo coding, Viterbi decoding, trellis coded modulation, and
`
`Reed-Muller codes) and modulation techniques using amplitude and phase
`
`characteristics and multi-level star constellations. This work further entailed the
`
`optimization of soft decision parameters and interleavers for additive white Gaussian
`
`and Rayleigh faded channels. In addition, I also extended the control and trunking
`
`of Logic Trunked Radio (LTR) to include one-to-one and one-to-many voice and
`
`data messaging.
`
`10.
`
`In January of 2002, I joined the faculty of the University of