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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`SAMSUNG ELECTRONICS CO., LTD.,
`Petitioner,
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`v.
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`TELEFONAKTIEBOLAGET LM ERICSSON,
`Patent Owner
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`
`
`U.S. PATENT NO. 10,193,600
`
`Case IPR2021-TBD
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`
`
`
`DECLARATION OF FRIEDHELM RODERMUND
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF U.S.
`PATENT NO. 10,193,600
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`
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`Samsung Ex. 1009
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`TABLE OF CONTENTS
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`Page
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`I.
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`II.
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`III.
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`IV.
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`INTRODUCTION AND ENGAGEMENT ............................................................ 1
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`BACKGROUND AND QUALIFICATIONS ........................................................ 2
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`SUMMARY OF MY OPINIONS ........................................................................... 7
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`PUBLICATION OF 3GPP SPECIFICATIONS AND RELATED DOCUMENTS
`7
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`A.
`
`B.
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`General Practices .................................................................................................... 7
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`Specific Documents .............................................................................................. 16
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`1.
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`2.
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`TS 36.213 V10.1.0 .................................................................................... 16
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`TS 36.213 V12.3.0 .................................................................................... 19
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`V.
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`AVAILABILITY FOR CROSS-EXAMINATION .............................................. 22
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`Right To Supplement ............................................................................................ 22
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`Signature ............................................................................................................... 23
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`A.
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`B.
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`Declaration of Friedhelm Rodermund
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`I, Friedhelm Rodermund, do hereby declare as follows:
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`I.
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`INTRODUCTION AND ENGAGEMENT
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`1.
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`I have been retained in this matter by Samsung Electronics Co., Ltd
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`(“Petitioner” or “Samsung”) to provide testimony regarding 3GPP’s standard
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`business practices for record keeping and publishing technical specifications, change
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`request proposals, reports, and other documents developed during the course of
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`standards activities carried out by the 3rd Generation Partnership Project (“3GPP”)
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`and the European Telecommunications Standards Institute (“ETSI”).
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`2.
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`I have been asked to provide my opinions regarding the authenticity
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`and dates of public accessibility of the following 3GPP documents:
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`• Version 10.1.0 of technical specification 3GPP TS 36.213 (“Technical
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`Specification Group Radio Access Network; Evolved Universal
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`Terrestrial Radio Access (E-UTRA); Physical layer procedures
`
`(Release 10)”) (hereinafter “TS 36.213 v10.1.0”, Ex. 1007)
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`• Version 12.3.0 of technical specification 3GPP TS 36.213 (“Technical
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`Specification Group Radio Access Network; Evolved Universal
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`Terrestrial Radio Access (E-UTRA); Physical layer procedures
`
`(Release 12)”) (hereinafter “TS 36.213 v12.3.0”, Ex. 1006)
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`3.
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`As an ETSI Project Manager and Secretary, from June 1998 to
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`December 2004, I have personal knowledge of 3GPP’s standard business and
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`records keeping practices. I continued following 3GPP’s work ever since. Thus,
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`based on my experience, personal knowledge, and review of 3GPP’s business
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`records, I am able to testify regarding the authenticity of certain documents
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`published by 3GPP and the timing of their publication.
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`4.
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`I am being compensated for my time spent on this matter at my usual
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`rate of €450 per hour. My fee is not contingent on the outcome of this or any matter,
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`or on the content of any of the testimony I give in this declaration. I have no financial
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`interest in Petitioner.
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`5.
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`I have been informed that Ericsson (hereinafter referred to as “Patent
`
`Owner”) alleges ownership and is the current assignee of U.S. Patent No. 10,193,600
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`(“the ’600 Patent”) (Ex. 1001). I have no financial interest in the Patent Owner or
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`the ’600 patent.
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`II.
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`BACKGROUND AND QUALIFICATIONS
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`6.
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`I have more than 20 years of experience working with standards
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`development organizations including the Third Generation Partnership Project
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`(“3GPP”), the European Telecommunications Standards Institute (“ETSI”), and the
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`Open Mobile Alliance (“OMA”). I have particular experience with the development
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`of standards related to cellular telecommunications, including the standards for the
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`Universal Mobile Telecommunications System (“UMTS”), Long Term Evolution
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`(“LTE”), and 5G, which are all standards developed by the 3GPP.
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`7.
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`I attended the University of Technology Aachen in Aachen, Germany,
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`where I performed graduate studies in Electrical Engineering with a focus on
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`telecommunications technologies (“Dipl.-Ing. TH” degree). I also attended the
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`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
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`in power electronics,” in 1993.
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`8.
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`From December 1993 to June 1998, I worked at Mannesmann
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`Mobilfunk as a System Engineer and Project Manager in Quality Assurance and
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`Technical Standards. One of my responsibilities was to ensure by managing and
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`performing related test activities that cellular network equipment was compatible
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`with the Global System for Mobile Communications (“GSM”) standard developed
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`by ETSI. During that time, I also started working as a standards delegate. I attended
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`my first ETSI meeting in 1996 (although I was already following ETSI
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`developments from 1992 during my studies).
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`9.
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`From June 1998 to December 2004, I worked at ETSI as a project
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`manager for various ETSI Special Mobile Group (“SMG”) and 3GPP working
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`groups. First, I served as a secretary of SMG4 “Data Services” and SMG8 “Base
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`Stations Testing.” Then, as a project manager with the ETSI Mobile Competence
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`Center (“MCC”), I supported establishing 3GPP as the new international standards
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`development organization for cellular telecommunications. One of my roles was
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`acting as Secretary for 3GPP’s Technical Specifications Group Terminals, Working
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`Group (“T2”), the group which played a leading role in the creation of standards for
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`Multimedia such as the Multimedia Messaging Service (“MMS”).
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`10. Later, I was a secretary of the highest-level Technical Specifications
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`Group Terminals which was besides other things responsible for the development of
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`test specifications including tests for the radio interface.
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`11.
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`I edited all technical specifications produced by my working groups and
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`presented results to the parent body for approval. I attended all meetings (apart from
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`some sub-working group meetings) and was also responsible for compiling meeting
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`reports, for handling all the meeting documents, and managing the work plan. It was
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`also my role to guide the groups and to advise the chairmen regarding 3GPP working
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`methods and procedures including document handling, and to make sure delegates
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`were aware of their company’s obligations under the 3GPP Intellectual Property
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`Right policy.
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`12. As part of my responsibilities at ETSI, I acted as a 3GPP custodian of
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`records by personally managing 3GPP’s public File Transfer Protocol (ftp) folders,
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`which I used to make publicly accessible various 3GPP documents, including
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`versions of 3GPP specifications, technical reports, liaison statements, change
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`requests, contributions, agendas, meeting reports, and other 3GPP documents from
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`my working groups. I am also knowledgeable about document management
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`practices used in other working groups and within 3GPP in general with regard to
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`making documents publicly accessible through the same, public ftp server of 3GPP.
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`13. Since I left ETSI as a staff member in 2005, I have been continuously
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`involved in standardization activities, including with Open Mobile Alliance, ETSI,
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`and 3GPP. Since 2017, I also have been attending the ETSI IPR Special Committee,
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`which is responsible for the maintenance of the ETSI IPR Policy.
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`14. After I left ETSI, I worked from January 2005 to October 2014 at
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`Vodafone, first as a Project Manager for Mobile Broadcast Standards, and then as
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`Vice Chairman of the Device Management working group of the Open Mobile
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`Alliance, and then as a Senior Standards Strategist, all with responsibilities as
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`described on my C.V. At Vodafone, I was deeply involved in standards work with
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`ETSI and 3GPP and other standards setting organizations, including as a delegate to
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`3GPP SA1 “Services.” As part of my responsibilities, I attended selected 3GPP
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`meetings, submitted documents to 3GPP, used 3GPP resources (including 3GPP’s
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`ftp server) extensively, and remained knowledgeable about 3GPP policies and
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`procedures with regard to document management and public accessibility. I was also
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`involved in the creation of patents, defense activities related to patent litigations, and
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`patent evaluation, mostly in the context of standards development.
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`15. Since leaving Vodafone in 2014, I have performed consulting work
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`regarding Internet of Things (IoT) and Machine to Machine (M2M) technology and
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`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
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`standards such as OMA’s Lightweight M2M, 3GPP’s LTE, Narrowband IoT (NB-
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`IoT) and 5G standards. And I have extensively used 3GPP resources and have
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`remained knowledgeable about 3GPP policies and procedures with regard to
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`document management and public accessibility.
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`16.
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`I also provide consulting services related to patents, in particular around
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`3GPP Standard Essential Patents (“SEPs”), and I have been working as an expert
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`witness on a number of occasions. I continue to closely follow the maintenance of
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`the ETSI IPR Policy as a delegate to the ETSI IPR Special Committee. Furthermore,
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`I’m conducting a seminar on SEPs and the Internet of Things at the Technical
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`University of Ilmenau, Germany.
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`17. At the time of writing this declaration, I am following – including
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`attending selected meetings - the following standards committees: ETSI oneM2M,
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`ETSI IPR Special Committee, Open Mobile Alliance, and 3GPP.
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`18. A copy of my curriculum vitae, which includes a detailed description
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`of my experience and education, is attached as Appendix A. A list of litigation
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`matters on which I have worked over the last five years is also included in my
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`curriculum vitae.
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`III.
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`SUMMARY OF MY OPINIONS
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`19.
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`It is my opinion that TS 36.213 v10.1.0 (Ex. 1007) is a technical
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`specification published by 3GPP and would have been publicly accessible through
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`ftp.3gpp.org as of March 30, 2011.
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`20.
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`It is my opinion that TS 36.213 v12.3.0 (Ex. 1006) is a technical
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`specification published by 3GPP and would have been publicly accessible through
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`ftp.3gpp.org as of September 26, 2014.
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`IV. PUBLICATION OF 3GPP
`SPECIFICATIONS AND RELATED DOCUMENTS
`A. General Practices
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`21. Unless otherwise noted, the following is an accurate description of
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`3GPP general practices from 1998 to the present, regardless of whether I use the
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`present or past tense to describe those practices.
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`22.
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`3GPP was established in 1998 by a group of telecommunications
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`standard development organizations from Japan, Korea, China, Europe, and the
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`United States
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`to
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`jointly develop worldwide
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`standards
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`for mobile
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`telecommunications. Today, 3GPP consists of seven partners: Association of Radio
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`Industries and Businesses, Japan (“ARIB”), Alliance for Telecommunications
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`Industry Solutions, USA (“ATIS”), China Communications Standards Association
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`(“CCSA”), European Telecommunications Standards
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`Institute
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`(“ETSI”),
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`Telecommunications Technology Association, Korea (“TTA”), Telecommunication
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`Technology Committee, Japan (“TTC”). In addition to being one of the founding
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`partners, ETSI hosts the Mobile Competence Centre (“MCC”), which provides
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`administrative and technical support to the day-to-day work of 3GPP. Furthermore,
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`ETSI manages 3GPP’s IT services such as the 3GPP website, ftp server, and email
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`exploders.
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`23.
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`3GPP is the world’s leading organization for developing and
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`maintaining cellular telecommunications standards, which it has done since its
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`foundation in 1998. As noted above and in my C.V., I began working for 3GPP, as
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`part of my work at ETSI, the European-based organizational partner of 3GPP.
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`24.
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`In the ordinary course of its regularly conducted business activities, and
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`pursuant to its standard business practices, 3GPP publishes technical specifications,
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`proposals, reports, and other documents related to the development of cellular
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`telecommunications standards. Such documents are published for the purposes of
`
`discussion and establishment of industry standards for cellular telecommunications.
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`This has been 3GPP’s ordinary course of business since when I began working at
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`ETSI in 1998.
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`25.
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`In the ordinary course of 3GPP’s regularly conducted business
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`activities, and pursuant to its standard business practices, all draft technical
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`specifications, proposals, reports, and other temporary documents to be discussed or
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`considered in relation to 3GPP’s telecommunications standards activities were, and
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`continue to be, assigned a temporary document number and made publicly available,
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`including on the ftp server associated with the 3GPP website, currently residing at
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`ftp.3gpp.org. Such documents are referred to as “T-docs.” Final versions of the
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`technical specifications also were, and continue to be, publicly available from that
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`same ftp server.
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`26. The names and the structure of 3GPP working groups, as of April 2007
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`can be found reproduced below and at
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`https://web.archive.org/web/20071230120440/http://www.3gpp.org/TB/home.htm.
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`
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`27. Each Technical Specification Group (TSG) or Working Group adopts
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`a structured numbering system for the documents associated with their meetings,
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`and those systems typically follow a consistent numbering system as shown in the
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`following example: xminnzzzz. The numbering system normally comprises five
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`logical elements: (1) x: a single letter corresponding to the TSG; where in 2007/2008
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`x was one of R (Radio Access Network), C (Core and Terminals), S (Service and
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`System Aspects), or G (GSM/EDGE Radio Access Network); (2) m: A single
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`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 “-”;
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`(4) nn: the calendar year of the meeting to which the document was submitted; (5)
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`zzzz: a running number.
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`28.
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`In the ordinary course of 3GPP’s regularly conducted business
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`activities, and pursuant to its standard business practices, from December 1998
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`onwards, 3GPP published all of its T-docs and all final versions of its technical
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`specifications on its ftp server, which has always been easily and publicly accessible
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`from its website and currently resides at ftp.3gpp.org.
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`29. As early as December 1998, 3GPP’s ftp server was freely accessible to
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`the general public with no login, password, or membership requirement.
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`30. By 1999, at least 100 companies were members of 3GPP (by December
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`2020: 719 companies), ranging from Bosch to Ericsson to Nokia to Samsung and
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`generally including those interested in the discussion, creation, and adoption of
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`cellular telecommunications standards, including UMTS. Each of these companies
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`typically delegated multiple individuals to regularly participate in 3GPP meetings.
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`Further, pursuant to 3GPP’s standard business practices, 3GPP working groups sent
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`emails notifying these individuals as soon as new or additional documents had been
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`uploaded to 3GPP’s ftp server. Thus, not only did the general public have access to
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`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
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`by email. Based on my experience with 3GPP and the telecommunications industry,
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`I would expect any person implementing a cellular network or device, e.g., an LTE
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`network or device, to consult the corresponding specifications on the 3GPP ftp
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`server, as well as other related documents. The whole purpose of 3GPP creating and
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`making these specifications available was so that engineers and other individuals
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`would have ready access to them when developing and implementing cellular
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`networks and devices.
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`31. By June 1999, 3GPP’s ftp server was well-known to persons in the
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`cellular telecommunications industry as a source of public information regarding
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`industry standards and technological advances.
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`32.
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`3GPP specifications bear a specification number consisting of four or
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`five digits, e.g., 09.02 or 29.002. The first two digits define the specification series
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`which are defined to group the different aspects of the 3GPP system into e.g.
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`requirements, service aspects, radio aspects codecs, security aspects, and test
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`specifications. The series digits are followed by two additional digits for the 01 to
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`13 series or three further digits for the 21 to 55 series. The subjects of the individual
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`specification
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`series
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`are
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`explained
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`on
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`3GPP’s
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`website
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`at
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`https://www.3gpp.org/specifications/specification-numbering,
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`and
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`reproduced
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`below:
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`33. The LTE radio standard is covered in the “36 series” and is further
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`subdivided into separate sections or specifications. The LTE radio specification
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`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
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`from a few pages to hundreds of pages. One full version of the LTE standard is
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`massive, spanning tens of thousands of pages.
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`34.
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`In the ordinary course of 3GPP’s regularly conducted business
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`activities, and pursuant to its standard business practices, T-docs are usually
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`uploaded to 3GPP’s ftp server and website before the meeting where they are to be
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`discussed. Documents created or revised during the course of a meeting are
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`normally uploaded at the latest during the week following the meeting (e.g., the
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`meeting report of the meeting is usually published for review during the week
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`following the meeting).
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`35.
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`In the ordinary course of 3GPP’s regularly conducted business
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`activities, and pursuant to its standard business practices, 3GPP maintains archives
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`that include different versions of the specifications, as well as email communications
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`to its membership, including emails announcing the uploading of new or additional
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`documents to 3GPP’s ftp server. These archives are created at the time the emails
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`are initially sent.
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`36.
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`3GPP specifications almost always are duplicated in at least two and
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`sometime more locations on the ftp server. One location corresponds to a “snapshot”
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`of the specifications corresponding to a particular plenary meeting cycle, e.g., the
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`2018-12 snapshot contains a snapshot of numerous specifications after the December
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`2018 3GPP plenary meetings. The second location is an “archive” that contains all
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`versions over time for a given specification. While 3GPP aims to upload the updated
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`specifications to both locations at the same time, occasionally there may be a small
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`difference in the upload date, and thus the date stamp, for the same specification
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`uploaded to the two locations. Additionally, specifications which are not yet
`
`approved (so call “draft” specifications) are available as T-docs at working group
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`and at plenary meetings (as soon the working group decides to submit the
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`specification to the plenary meeting for information or approval).
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`37. 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
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`document became publicly available and accessible on 3GPP’s ftp server. The given
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`document might have been available earlier and the original timestamp might have
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`been overwritten because the document was uploaded again. According to my
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`experience, this is something which happened quite frequently. Thus, the ftp
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`timestamp is reliable as the latest possible upload date but one cannot determine
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`whether it represents the first upload of a document to the ftp server.
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`38.
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`3GPP’s working practice to store their documents on their ftp server, as
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`described above, has not changed over time. Starting from the first 3GPP meetings
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`in 1998 until present, all WGs and plenary meetings are represented by dedicated
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`meeting folders on the ftp server. These meeting folders include the documents
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`discussed at the meetings. Both the folders and the documents are accessible to the
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`public. Almost every week, a new meeting folder with the respective documents is
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`added. In addition to the plenary and WG meeting folders, and some other folders,
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`there is also the “Specs” folder, which holds all 3GPP specifications including the
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`aforementioned “snapshot” and archive folders. Since the early days of 3GPP a new
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`folder is added inside the “Specs” folder after each TSG plenary meeting to hold the
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`latest versions of specifications approved at those TSG plenary meetings. This is still
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`3GPP’s working practice today; thus, this practice has not changed over time.
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`B.
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`Specific Documents
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`1.
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`TS 36.213 V10.1.0
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`39. Based on my personal knowledge and my review of 3GPP’s business
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`records, I recognize Ex. 1007 as a true and correct copy of version 10.1.0 of technical
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`specification 3GPP TS 36.213 (“Technical Specification Group Radio Access
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`Network; Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer
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`procedures (Release 10)”), which shows on its cover page “2011-03” as the year
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`(2011) and month (March) during which this document was released by 3GPP. The
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`document was published and freely available on 3GPP’s ftp server by March 30,
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`2011. This is confirmed by the date stamp shown on the historic 3GPP ftp server for
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`the corresponding downloadable file (“36213-a10.zip”), as maintained by the
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`Internet Archive at
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`https://web.archive.org/web/20140601044332/http://www.3gpp.org/ftp/specs/archi
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`ve/36_series/36.213/. This information is also shown on the date stamp for the
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`present-day listing of the same document on the 3GPP ftp server at
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`
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`https://www.3gpp.org/ftp/Specs/archive/36_series/36.213, as shown by the screen
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`shot below:
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`40.
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`In addition, metadata information for the downloaded and extracted
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`specification file states a last Modified date of “30. March 2011”, as shown in the
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`screen shot below:
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`41. Thus, based on my personal knowledge and experience with ETSI’s
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`and 3GPP’s standard business practices, this information tells me that this document
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`was available to all 3GPP members and the general public by March 30, 2011, at the
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`latest.
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`2.
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`TS 36.213 V12.3.0
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`42. Based on my personal knowledge and my review of 3GPP’s business
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`records, I recognize Ex. 1006 as a true and correct copy of version 12.3.0 of technical
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`specification 3GPP TS 36.213 (“Technical Specification Group Radio Access
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`Network; Evolved Universal Terrestrial Radio Access (E-UTRA); Physical layer
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`procedures (Release 12)”), which shows on its cover page “2014-09” as the year
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`(2014) and month (September) during which this document was released by 3GPP.
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`The document was published and freely available on 3GPP’s ftp server by
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`September 26, 2014. This is confirmed by the date stamp shown on the historic 3GPP
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`ftp server for the corresponding downloadable file (“36213-c30.zip”), as maintained
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`by the Internet Archive at
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`https://web.archive.org/web/20150308205153/http://www.3gpp.org/ftp/Specs/archi
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`ve/36_series/36.213. This information is also shown on the date stamp for the
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`present-day listing of the same document on the 3GPP ftp server at
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`
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`https://www.3gpp.org/ftp/Specs/archive/36_series/36.213, as shown by the screen
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`shot below:
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`19
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`Samsung Ex. 1009
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`Declaration of Friedhelm Rodermund
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`43.
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`In addition, metadata information for the downloaded and extracted
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`specification file states a last Modified date of “26. Sep 2014”, as shown in the screen
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`shot below:
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`20
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`Samsung Ex. 1009
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`Declaration of Friedhelm Rodermund
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`44. Thus, based on my personal knowledge and experience with ETSI’s
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`and 3GPP’s standard business practices, this information tells me that this document
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`was available to all 3GPP members and the general public by September 26, 2014,
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`at the latest.
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`21
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`Declaration of Friedhelm Rodermund
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`V.
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`AVAILABILITY FOR CROSS-EXAMINATION
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`45.
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`In signing this declaration, I recognize that the declaration may be filed
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`as evidence in a contested case before the Patent Trial and Appeal Board of the
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`United States Patent and Trademark Office. I also recognize that I may be subject
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`to cross examination in the case and that cross examination will take place within
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`the United States. If cross examination is required of me, I will cooperate to the best
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`of my ability to appear for cross examination within the United States during the
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`time allotted for cross examination.
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`A. Right To Supplement
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`46.
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`I reserve the right to supplement my opinions in the future to respond
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`to any arguments that the Patent Owner raises and to take into account new
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`information as it becomes available to me.
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`Declaration of Friedhelm Rodermund
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`B.
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`47.
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`Signature
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`I declare that all statements made herein of my own knowledge are true
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`and that all statements made on information and belief are believed to be true; and
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`further that these statements were made with the knowledge that willful false
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`statements and the like so made are punishable by fine or imprisonment, or both,
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`under Section 1001 of Title 18 of the United States Code.
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`48.
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`I declare under penalty of perjury under the laws of the United States
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`of America that the foregoing is true and correct.
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`Dated: March 10, 2021
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`____________________________
`Friedhelm Rodermund
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`23
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`Samsung Ex. 1009
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