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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`
`SAMSUNG ELECTRONICS CO., LTD.,
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`Patent Owner
`
`
`U.S. PATENT NO. 10,193,600
`
`Case IPR2021-TBD
`
`
`DECLARATION OF DR. APOSTOLOS K. KAKAES, PH.D.
`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. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`TABLE OF CONTENTS
`ASSIGNMENT ................................................................................................ 5
`I.
`BACKGROUND AND QUALIFICATIONS ................................................. 5
`II.
`III. MATERIALS CONSIDERED ...................................................................... 11
`IV. UNDERSTANDING OF PATENT LAW .................................................... 11
`A. Obviousness ......................................................................................... 11
`B.
`Claim Construction Standard .............................................................. 15
`SUMMARY OF OPINIONS ......................................................................... 15
`V.
`VI. OVERVIEW OF THE TECHNOLOGY ....................................................... 16
`VII.
`’THE ’600 PATENT...................................................................................... 29
`A. Overview ............................................................................................. 29
`B.
`Prosecution History ............................................................................. 31
`VIII. ORDINARY SKILL ...................................................................................... 31
`IX. OVERVIEW OF THE PRIOR ART ............................................................. 33
`A. Novlan ................................................................................................. 33
`B.
`36.213 .................................................................................................. 36
`X. DETAILED ANALYSIS OF GROUND I .................................................... 39
`A.
`Claims 1-28 Are Rendered Obvious By Novlan In View Of
`36.213 .................................................................................................. 39
`1.
`Independent Claim 1 ................................................................. 39
`2.
`Dependent Claim 2 ................................................................... 52
`3.
`Dependent Claim 3 ................................................................... 55
`4.
`Dependent Claim 4 ................................................................... 55
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`Dependent Claim 5 ................................................................... 58
`5.
`Dependent Claim 6 ................................................................... 59
`6.
`Dependent Claim 7 ................................................................... 62
`7.
`Independent Claim 8 ................................................................. 65
`8.
`Dependent Claim 9 ................................................................... 68
`9.
`10. Dependent Claim 10 ................................................................. 68
`11. Dependent Claim 11 ................................................................. 69
`12. Dependent Claim 12 ................................................................. 69
`13. Dependent Claim 13 ................................................................. 69
`14. Dependent Claim 14 ................................................................. 70
`15.
`Independent Claim 15 ............................................................... 70
`16. Dependent Claim 16 ................................................................. 73
`17. Dependent Claim 17 ................................................................. 73
`18. Dependent Claim 18 ................................................................. 74
`19. Dependent Claim 19 ................................................................. 74
`20. Dependent Claim 20 ................................................................. 74
`21. Dependent Claim 21 ................................................................. 75
`22.
`Independent Claim 22 ............................................................... 75
`23. Dependent Claim 23 ................................................................. 78
`24. Dependent Claim 24 ................................................................. 78
`25. Dependent Claim 25 ................................................................. 79
`26. Dependent Claim 26 ................................................................. 79
`27. Dependent Claim 27 ................................................................. 79
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`28. Dependent Claim 28 ................................................................. 80
`XI. THERE ARE NO OBJECTIVE INDICIA OF NON-OBVIOUSNESS ....... 81
`XII. CONCLUSION .............................................................................................. 81
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`LIST OF EXIDBITS
`
`Description
`
`U.S. Patent No. 10,193,600 (the " '600 Patent")
`Certified File History of U.S. Patent No. 10,193,600
`Declaration of Dr. Apostolos K. Kakaes for Inter Partes Review of
`U.S. Patent No. 10,193,600
`Curriculum Vitae of Dr. Apostolos K. Kakaes
`U.S. Patent Application Publication No. 2014/001 6549 ("Novlan")
`3GPP TS 36.213, v l 2.3.0 ("36.213")
`3GPP TS 36.213, v l0.1.0
`U.S. Patent No. 8,891 ,676
`Declaration of Friedhelm Rodermund
`U.S. Provisional Patent Application No. 62/103,1 01 ("the ' 600
`Patent Provisional")
`U.S. Patent Application Publication No. 2013/01 63687 ("Jing ")
`U.S. Provisional Patent Application No. 61/670,936 (the "Novlan
`Provisional")
`Dahlman et al., 4G -LTE I LTE-Advanced for Mobile Broadband
`(Academic Press 2011)
`Stipulation by Petitioner
`U.S. Patent Application No. 2008/005 1091
`Sesia, et al. , LTE - The UMTS Long Term Evolution From Theory
`to Practice (Wiley 2d. ed. 2011)
`
`Exhibit
`No.
`1001
`1002
`1003
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`1004
`1005
`1006
`1007
`1008
`1009
`1010
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`1011
`1012
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`1013
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`1014
`1015
`1016
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`IV
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`I.
`
`ASSIGNMENT
`1.
`I have been retained as an expert witness on behalf of Petitioner
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`Samsung Electronics Co., Ltd. (“Samsung” or “Petitioner”) to offer technical
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`opinions related to U.S. Patent No. 10,193,600 (Ex. 1001, “the ʼ600 Patent”). I
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`understand that Petitioner requests that the Patent Trial and Appeal Board institute
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`an inter partes review (proceeding of the ʼ600 Patent).
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`2.
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`I have been asked to provide my independent analysis of the ʼ600 Patent
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`in light of the prior art discussed below. Specifically, I have been asked to provide
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`my opinion regarding whether claims 1–28 of the ʼ600 Patent are invalid as obvious
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`to a person having ordinary skill in the art (“POSITA”) at the time of the alleged
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`invention.
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`3.
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`I am not currently, and never have been, an employee of Samsung. I
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`received no compensation for preparing this declaration beyond my normal hourly
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`compensation based on my time actually spent in analyzing the issues and preparing
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`this declaration. Nor will I receive any added compensation based on my opinions
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`or the outcome of this proceeding. I have no financial interest in Samsung.
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`II. BACKGROUND AND QUALIFICATIONS
`4.
`I am over the age of 18 and am competent to write this Declaration. I
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`have personal knowledge, or have developed knowledge of these technologies based
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`upon education, training, or experience, of the matters set forth herein. My relevant
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`experience includes a deep understanding of the systems that we broadly refer to as
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`“1G,” “2G,” “3G,” “4G,” and “5G” communication systems.
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`5. My Curriculum Vitae, which includes my complete education and work
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`experience, is included as Exhibit 1004. I describe several relevant aspects of my
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`experience below.
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`6.
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`I am an expert in the field of communication engineering and
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`specifically, among others, the field of wireless communications. I have almost 40
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`years of experience in electrical engineering and computer science and in fixed and
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`mobile communications networks. I attended the University of Colorado from 1974
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`to 1980, during which I earned a Bachelor of Science (B.S.) and a Master of Science
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`(M.S.) in applied mathematics with a minor in electrical engineering. I attended the
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`Polytechnic Institute of New York between 1982 and 1988, during which I earned a
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`Doctor of Philosophy (Ph.D.) in electrical engineering, with a thesis titled
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`“Topological Properties and Design of Multihop Packet Radio Networks.” While
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`pursuing the Ph.D. degree, I held a joint appointment as Special Research Fellow
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`and Adjunct Instructor at the Polytechnic Institute of New York between 1985 and
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`1986.
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`7.
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`Between 1982 and 1987, I worked at AT&T Bell Laboratories in
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`Holmdel, New Jersey. While at AT&T Bell Laboratories, I worked on modeling,
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`analysis, design, and performance evaluation of voice and data networks. I
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`developed algorithms for DNHR (Dynamic, Non-Hierarchical Routing) used in the
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`telephone network. I also analyzed advanced data services and formulation of long-
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`term plans for development of enhanced data services and network design tools to
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`support such services.
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`8.
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`I was an Assistant Professor of Electrical Engineering and Computer
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`Science at The George Washington University (GWU), Washington, D.C., between
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`1987 and 1994. During my association with GWU, I taught graduate courses in the
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`area of communication engineering, including communication theory, coding theory,
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`voice and data networking, and mobile communications. In the early 1990s I
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`developed and taught the first course on Mobile Communications taught at GWU to
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`Electrical Engineering graduate students. I also received several research
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`awards/grants, including the prestigious NSF Research Initiation Award.
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`9.
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`In 1988, I founded Cosmos Communications Consulting Corporation
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`(“Cosmos”), which is a private communications engineering consulting firm
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`specializing in mobile communications, and I have been the President of the
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`company since its founding. Since 1994, I have worked full-time at Cosmos. At
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`Cosmos, among various activities, I have consulted on high level technology-related
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`issues and trends to corporate entities, governmental agencies, and international
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`organizations, such as the United Nations. I have provided technical consultancy to
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`engineering firms, operators, and equipment vendors on issues related to existing or
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`evolving technologies for mobile communications, and to the investment
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`community on issues related to both fixed and wireless communications
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`technologies. I developed and taught hundreds of courses to thousands of engineers
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`around the world in the area of communication engineering, mostly in the area of
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`mobile, wireless communications. I have served as consultant on both civil and
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`criminal legal cases, including several patent infringement cases both at the ITC and
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`in district court as well as in support of IPRs such as the one in this case. I also
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`participated as a technical consultant in the analysis of large patent portfolios for the
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`purposes of due diligence, sales, and merger and acquisition activities for some of
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`the largest companies in the mobile communications space. These projects spanned
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`a multidimensional spectrum of
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`technologies
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`in both fixed and mobile
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`communications as they have evolved over the past more than 30 years.
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`10. Over the course of my career, I have authored and co-authored some
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`thirty (30) publications on various aspects of fixed and mobile communications, as
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`noted in my curriculum vitae. I am a life member of the Institute of Electrical and
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`Electronics Engineers (IEEE) and have been actively
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`involved
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`in
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`the
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`Communications Society and the Information Theory Society of the IEEE. Between
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`1991 and 1992, I served as the Secretary of IEEE Communications Society National
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`Capital Area Chapter. Between 1992 and 1993, I was the Vice-Chair of IEEE
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`Communications Society National Capital Area Chapter. I was the Vice-Chair of the
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`Communication Theory Technical Committee of the Communications Society of the
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`IEEE for the 1993–1996 term, and Treasurer of the Communication Theory
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`Technical Committee of the Communications Society of the IEEE for the 1996–1999
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`term.
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`11.
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`I have served as a reviewer for the IEEE, book editors, other technical
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`publications, and various National Science Foundation (NSF) Panels. I have
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`organized technical sessions in technical conferences, including the IEEE
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`International Conference on Communications
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`(ICC) and
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`IEEE Global
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`Communications Conference (Globecom). I served as the Technical Program Chair
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`for the Communication Theory Mini-Conference in 1992.
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`12. During the past 35+ years, I have been lucky enough to be part of the
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`community of engineers that have contributed to the astounding growth of the
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`mobile communications industry. It started from a niche industry that was thought
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`of as being something for the “rich and the famous” to becoming one of the most
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`wide-spread household concepts, providing useful tools to all segments of the global
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`society, from the wealthy suburbs of New York to the poorest neighborhoods in
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`Africa and everywhere in between.
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`13. My involvement in this industry includes providing consulting services
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`to company executives who needed to make deployment plans, taking into
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`consideration the strengths and weaknesses of the technology, economics, user
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`value, etc. As such, I have developed a deep understanding of all aspects of a given
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`technology, its features, added value, and the like. In addition, my consulting
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`services included developing courses for the companies that were at the forefront of
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`this developing technology. By definition, this new, previously non-existent
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`technology was not taught in university courses, as it was too new. Having
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`developed hundreds of courses over the years and taught thousands of engineers (and
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`non-engineers alike), I have a solid understanding and knowledge of the technical
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`developments and how their importance fits in the larger puzzle of a fast-developing
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`technology.
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`14. My consulting included providing training to engineers in the field that
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`were deploying the various networks. For example, I developed courses and provided
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`training and consulting to the engineers deploying some of the earliest GSM networks
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`in Germany and France, to be followed by many countries in Europe and around the
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`world, including the USA when it was decided that GSM would be used in the USA.
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`Successful deployments of the initial GSM systems were followed by deployments of
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`GPRS and EDGE, which was then followed by deployments of 3G UMTS systems
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`world-wide. Of course, the 3G systems were followed by the currently most wide-
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`spread deployments of 4G systems, also referred to as LTE, world-wide and most
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`recently deployments of 5G networks. Thus, my experience includes a deep
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`understanding of the entirety of each system that we broadly refer to as “1G,” “2G,”
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`‘‘3G,” “4G”, and “5G”.
`
`III. MATERIALS CONSIDERED
`15.
`In forming the opinions expressed in this declaration, I relied upon my
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`education and many years of experience in the relevant field of art. I have considered
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`the materials referenced in this declaration, including the ’600 Patent, its file history,
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`and other exhibits to the petition.
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`16.
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`I have considered these materials from the viewpoint of a POSITA as
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`of the priority date of the ʼ600 Patent. For the purposes of this declaration, I have
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`been asked to assume that the priority date of the ’600 Patent is January 14, 2015.
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`IV. UNDERSTANDING OF PATENT LAW
`17.
`I am not an attorney. In forming my analysis and conclusions expressed
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`in this declaration, I have applied the legal principles described in the following
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`paragraphs, which were provided to me by counsel for Petitioner.
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`A. Obviousness
`18.
`I understand that a patent claim is invalid if the differences between the
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`claimed subject matter and the prior art are such that the subject matter as a whole
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`would have been obvious to a POSITA at the time the alleged invention was made.
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`19.
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`I understand that a person of ordinary skill in the art at the time of the
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`claimed invention provides a reference point from which the prior art and claimed
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`invention should be viewed. This reference point is applied instead of someone
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`using his or her own insight or hindsight in deciding whether a claim is obvious.
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`20.
`
`I also understand that an obviousness determination includes the
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`consideration of various factors such as: (1) the scope and content of the prior art,
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`(2) the differences between the prior art and the asserted claims, (3) the level of
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`ordinary skill in the pertinent art, and (4) the existence of secondary considerations
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`such as commercial success, long-felt but unresolved needs, failure of others, and so
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`forth.
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`21.
`
`I understand that an obviousness evaluation can be based on a
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`combination of multiple prior art references. I understand further that prior art
`
`references themselves may provide a suggestion, motivation, or reason to combine,
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`but that at other times the linkage between two or more prior art references is simple
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`common sense.
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`22.
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`I further understand that the obviousness analysis recognizes that
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`market demand often drives innovation, and that a motivation to modify references
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`may be supplied by the direction of the marketplace.
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`23.
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`I understand that if a technique has been used to improve one device,
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`and a person of ordinary skill in the art would recognize that it would improve similar
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`devices in the same way, using the technique would have been obvious unless its
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`actual application is beyond his or her skill.
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`24.
`
`I also understand that practical and common-sense considerations
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`should guide a proper obviousness analysis, because familiar items may have
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`obvious uses beyond their primary purposes. I further understand that a person of
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`ordinary skill in the art seeking to overcome a problem through invention will often
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`be able to fit together the teachings of multiple publications or modify the teachings
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`of a particular publication in accordance with the ordinary skill in the art. I
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`understand that the obviousness analysis therefore considers the inferences and
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`creative steps that a person of ordinary skill in the art would employ under the
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`circumstances.
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`25.
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`I understand that a particular combination may be shown to be obvious
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`to combine merely by showing that it was obvious to try the combination. For
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`example, when there is a design need or market pressure to solve a problem and there
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`are a finite number of identified, predictable solutions, a POSITA has good reason
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`to pursue the known options within his or her technical grasp because the result is
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`likely the product not of innovation but of ordinary skill and common sense.
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`26.
`
`It is further my understanding that a proper obviousness analysis
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`focuses on what was known or obvious to a POSITA, not just the patentee.
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`Accordingly, I understand that any need or problem known to those of ordinary skill
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`in the field of endeavor at the time of invention and addressed by the patent can
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`provide a reason for combining or modifying the elements.
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`27.
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`I understand that a claim can be obvious in light of a single reference,
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`without the need to combine references, if the elements of the claim that are not
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`found explicitly or inherently in the reference but can be supplied by the knowledge
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`or common sense of one of ordinary skill in the art.
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`28.
`
`I understand that secondary indicia of non-obviousness may include (1)
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`a long felt but unmet need in the prior art that was satisfied by the invention of the
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`patent; (2) commercial success of processes covered by the patent; (3) unexpected
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`results achieved by the invention; (4) praise of the invention by others skilled in the
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`art; (5) taking of licenses under the patent by others; (6) deliberate copying of the
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`invention; (7) failure of others to find a solution to the long felt need; and (8)
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`skepticism by experts. I understand that evidence of secondary indicia of non-
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`obviousness, if available, should be considered as part of the obviousness analysis.
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`29.
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`I also understand that there must be a relationship between any such
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`secondary considerations and
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`the
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`invention.
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` I further understand
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`that
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`contemporaneous and independent invention by others is a secondary consideration
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`supporting an obviousness determination.
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`30.
`
`In sum, my understanding is that prior art teachings are properly
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`combined where a person of ordinary skill in the art having the understanding and
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`knowledge reflected in the prior art and motivated by the general problem facing the
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`inventor, would have been led to make the combination of elements described in the
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`claims. Under this analysis, the prior art references themselves, or any need or
`
`problem known in the field of endeavor at the time of the invention, can provide a
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`reason for combining the elements of multiple prior art references in the claimed
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`manner.
`
`31.
`
`I understand that obviousness in an IPR must be proven by a
`
`preponderance of the evidence.
`
`B. Claim Construction Standard
`32.
`I understand that terms appearing in the patent claims are to be
`
`interpreted according to their “ordinary and customary meaning” in an IPR
`
`proceeding. In determining the ordinary and custom meaning, the words of a claim
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`are first given their plain meaning as they would have been understood by a person
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`of ordinary skill in the art at the time of the alleged invention, in light of the
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`specification and file history. I have followed this approach in my analysis and have
`
`applied the ordinary and customary meaning of those terms throughout my analysis
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`in this declaration.
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`V.
`
`SUMMARY OF OPINIONS
`33.
`It is my opinion that claims 1–28 of the ’600 Patent are rendered
`
`obvious by U.S. Patent Publication No. 2014/0016549 to Novlan et al. (“Novlan,”
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`Ex. 1005) alone or alternatively in view of 3GPP TS 36.213 v12.3.0 (“36.213”).
`
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`VI. OVERVIEW OF THE TECHNOLOGY
`34. The ’600 Patent relates to a network node and a device in a wireless
`
`communication network and, in particular, to signaling which precoders in a
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`codebook are restricted from being used. See Ex. 1001 at, e.g., 1:13–18. The ’600
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`Patent can be applied to Long Term Evolution (LTE) and the usage of codebooks
`
`within LTE. LTE refers to the LTE wireless standard that companies use to provide
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`interoperable fourth generation (4G) wireless communications. In the Third
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`Generation Partnership Project (“3GPP,” which is effectively a standards setting
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`organization
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`that sets
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`technical specifications associated with wireless
`
`telecommunications), including the LTE cellular system that provides the
`
`background for the ’600 Patent, the terminal (such as a mobile phone) is referred to
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`as the “User Equipment” or “UE,” and the base station as the “Evolved NodeB” also
`
`known as an “eNodeB” or “eNB.” The background on the technology provided
`
`below in this section is set forth in the context of the prior art 4G LTE standard.
`
`35. A base station usually comprises multiple antennas, which improves the
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`performance and/or increases the amount of data that can be transmitted at any given
`
`time. See Ex. 1001 at 1:22–25 (“The use of multiple antennas at the transmitter …
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`can significantly boost the capacity and coverage of a wireless communication
`
`system.”).
`
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`36.
`
`For instance, as depicted below, a typical base station (represented by
`
`the tower on the right) has multiple antenna arrays and each array has a series of
`
`individual antennas ( elements 402) arranged horizontally and/or vertically, as shown
`
`in the enlarged view on the left:
`
`I•
`
`NH
`
`Nv
`
`'
`
`0
`0
`0
`
`0
`
`0
`0
`0
`
`402 0
`
`0
`
`0
`
`0
`0
`
`Q 0402"'0
`
`I
`-,
`_I
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`
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`------
`0 0 000 o~ --
`0 0 OOOD - I
`
`--u
`
`/
`
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`
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`
`/400
`
`404
`
`GONTROLLER
`
`FIG. 4
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`dv
`--
`
`I
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`I
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`/
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`/
`
`I
`
`I
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`See Ex. 1005 at Fig. 4. The '600 Patent also contemplates such an array, as shown
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`in the figure below:
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`Figure 3
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`Ex. 1001 at Fig. 3, 5:49–51. One benefit of having multiple transmit antennas at the
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`base station (eNB) is that the eNB can steer the transmitted signals in a particular
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`direction and potentially transmit more than one stream of data using the same
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`resources. Steering of the transmitted signals is sometimes called “beamforming.”
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`Two dimensional arrays, as shown in the figures above, have the ability to steer in
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`both horizontal and vertical directions.
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`37. Two or more elements of an antenna array may be grouped together and
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`use the same “feed.” The signal that is used to “feed” elements of the same group is
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`said to be provided to a corresponding “antenna port.” See, e.g., Ex. 1001 at 9:30–
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`32, 14:32–36; Ex. 1005 ¶¶ 50, 77, 122, 127; Ex. 1008 at 7:18–26. While the number
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`of physical antennas in any one implementation is fixed (for example a base station
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`may have eight transmit antennas), the number of antenna ports is configurable and
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`may change dynamically. See, e.g., Ex. 1005 ¶¶ 122, 127.
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`38. The direction of a beamformed signal can be switched dynamically and
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`the base stations typically direct signals to the UEs it is attempting to serve in given
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`time and frequency resources. When the signal is directed to the UE, the received
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`strength of the signal at the UE can be increased. See Ex. 1001 at 1:25–26 (“Such
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`MIMO systems can exploit the spatial dimension of the communication channel.”).
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`For example, as shown below, when a UE is at a high elevation, for example on a
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`high floor of a high-rise building, the signal may be stronger when the base station
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`directs its antenna signal upwards (green arrow); but, when the UE is at a low
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`elevation, for example on ground level, the signal may be stronger when the base
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`station directs its antenna signal downwards (blue arrow):
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`[Q] (cid:143)
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`See Ex. 1005 at Fig. 7. By controlling the beam directions, the base station may
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`direct the signals to particular UEs ( such as the blue UE or green UE in the above
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`figure). The base station may transmit to multiple UEs in the same time and
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`frequency resources to improve the utilization of the channel. This process is
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`referred to as multi-user (MU) multiple-input multiple-output (MIMO) or MU(cid:173)
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`MIMO. See Ex. 1005 ,r,r 3 ("One such improvement is the growing use of two-
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`19
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`dimensional advanced antenna systems in multi-user (MU) multiple-input multiple(cid:173)
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`output (MIMO) communication systems." 1), 37; see also Ex. 1001 at 2:9-14.
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`39.
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`In my opinion, as a POSITA would recognize, there may be no reason
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`for the base station to direct an antenna beam directly or substantially upwards
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`towards the sky in this scenario because there are no paths to the UEs that are
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`expected to be located there; this situation is conceptually illustrated by the red arrow
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`below:
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`[gJ (cid:143)
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`See Ex. 1005 ,r 50 (some directions "are infrequently selected or never selected").
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`1 All emphasis is added unless indicated otherwise.
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`40. The base station is not restricted to only sending one single stream
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`aimed to one UE. In certain cases, the channel between the base station and UE can
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`have multiple strong paths through reflections or diffractions. In this case, the base
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`station may be able to simultaneously transmit multiple spatial streams (i.e. ,
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`independent data) to a single UE, a process called single user MIMO, or SU-MIMO.
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`For example, in the situation illustrated below, the base station may be able to send
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`two independent streams of data to a UE on the high floor of the above example: one
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`via a direct path ( sometimes called the line-of-sight path) and a second with a ground
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`reflection before reaching the building (green dashed arrow):
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`The number of spatial streams that can be sent to a particular UE is called the "rank"
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`of the channel. The ability to adjust the transmission in order for it to adapt to the
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`21
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`prevailing number of available spatial streams is called “rank adaptation.” See Ex.
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`1001 at 1:31–35 (“One form of adaption is to dynamically, from one TTI to another,
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`adjust the number of simultaneously transmitted information streams carrying
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`signals to what the channel can support. This is commonly referred to as
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`(transmission) rank adaptation.”). In the figure above, transmission with only one
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`beam, e.g., the line-of-sight beam (solid green arrow), would represent a “rank 1”
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`transmission, while transmission with both beams (both solid and dashed green
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`arrows) would represent a “rank 2” transmission. Note that independent of the rank,
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`the basic notion discussed above—that the base station would not direct any beams
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`too high upwards towards the sky, outside of where any UEs are expected to be
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`located—still applies, as illustrated below:
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`Samsung Ex. 1003
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`Declaration of Dr. Apostolos K. Kakaes for IPR of U.S. Patent No. 10,193,600
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`700
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`41. The way that the base station's antennas are used to target the
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`transmitted energy in a particular direction is through an operation known as
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`"precoding," which forms the antenna beams as desired, in a process known as
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`"beamforming." As an example, precoding can be used to provide beam "diversity,"
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`which decreases the likelihood of fading when the signal strength is intermittently
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`weak. In precoding, each spatial stream is sent to all the antenna ports, but modified
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`in a port-dependent fashion, for example by using different