UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Apple, Inc.
`Petitioner
`
`v.
`
`ERICSSON INC. ET AL.
`(“Ericsson”),
`Patent Owner
`
`Case XXXXXX
`Patent No. 9,300,432
`
`DECLARATION OF DR. R. MICHAEL BUEHRER
`
`1
`
`APPLE 1003
`
`

`

`TABLE OF CONTENTS
`
`Introduction .....................................................................................................14
`
`I.
`
`II. Background and Qualifications ......................................................................15
`
`III. Level of Ordinary Skill in the Art ...................................................................18
`
`IV. Materials Considered and Relied Upon ..........................................................19
`
`V. Legal Standards ...............................................................................................21
`
`A.
`
`Legal Standards for Prior Art ..............................................................21
`
`B.
`
`C.
`
`Legal Standard for Priority Date .........................................................23
`
`Legal Standard for Obviousness .........................................................23
`
`VI. Overview of the ’432 Patent ...........................................................................26
`
`A.
`
`Subject Matter Overview ....................................................................26
`
`B.
`
`C.
`
`File History of the ’432 Patent ............................................................30
`
`Interpretation of the ’432 Patent Claims at Issue ................................30
`
`VII. Overview of the Cited References ..................................................................32
`
`A.
`
`TS 25.331 (APPLE-1004) ...................................................................32
`
`B.
`
`C.
`
`TS 25.214 (APPLE-1005) ...................................................................34
`
`R1-074426 (APPLE-1006) ..................................................................35
`
`D.
`
`Sampath (APPLE-1007) ......................................................................36
`
`E. Wintzell (APPLE-1008) ......................................................................37
`
`F.
`
`Catreux-Erceg (APPLE-1009) ............................................................38
`
`VIII. TS 25.331 in view of TS 25.214 renders claims 1, 2, 4-7, 9-12, 14-16,
`
`18 obvious ......................................................................................................40
`
`
`
`2
`
`

`

`A.
`
`Combination of TS 25.331 and TS 25.214 .........................................40
`
`B.
`
`Independent Claim 1 ...........................................................................41
`
`[1pre] A method, in a user equipment, of enabling link quality
`estimation of a radio channel used for transmitting
`signals from a sending node to the user equipment, the
`method comprising: ..................................................................42
`
`[1a] receiving, from the sending node and by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter for adjusting signal power
`measurements; ...........................................................................45
`
`[1b] measuring properties based on reference symbols of the
`radio channel transmitted by the sending node; .......................47
`
`[1c] adjusting the measured properties of the radio channel
`based on the received measurement adjusting parameter;
`and .............................................................................................49
`
`[1d] sending, to the sending node, a channel state information
`report based on the adjusted measured properties. ...................50
`
`C.
`
`Claim 2 ................................................................................................52
`
`D.
`
`Claim 4 ................................................................................................53
`
`E.
`
`Claim 5 ................................................................................................54
`
`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`node; and ...................................................................................54
`
`[5b] configuring the channel state information report based on
`signal measurements on the reference symbols; .......................56
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`and data signals. ........................................................................57
`
`F.
`
`Claim 6 ................................................................................................59
`
`[6pre] A user equipment, comprising: ................................................59
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`
`
`
`3
`
`

`

`user equipment specific measurement adjusting
`parameter for adjusting signal power measurements; ..............60
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`transmitted by the sending node; ..............................................61
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`received measurement adjusting parameter; and ......................62
`
`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`measured properties. .................................................................63
`
`G.
`
`Claim 7 ................................................................................................63
`
`H.
`
`Claim 9 ................................................................................................64
`
`I.
`
`Claim 10 ..............................................................................................65
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`and reference symbols from the sending node; ........................65
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`signal measurements on the reference symbols; .......................66
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`measured signals and data signals. ...........................................66
`
`J.
`
`Claim 11 ..............................................................................................66
`
`[11pre] A method, in a sending node, for enabling link quality
`estimation of a radio channel used for transmitting
`signals from the sending node to a user equipment, the
`method comprising: ..................................................................67
`
`[11a] sending, by dedicated higher layer signaling, a user
`equipment specific measurement adjusting parameter to
`the user equipment for adjusting signal power
`measurements; and ....................................................................68
`
`[11b] receiving a channel state information report from the user
`equipment, the channel state information report including
`
`
`
`4
`
`

`

`measured properties defined by reference symbols of the
`radio channel transmitted by the sending node adjusted in
`accordance with the sent measurement adjusting
`parameter. ..................................................................................68
`
`K.
`
`Claim 12 ..............................................................................................69
`
`L.
`
`Claim 14 ..............................................................................................69
`
`[14a] The method of claim 11, further comprising: sending
`payload data and reference symbols to the user
`equipment, which configures the channel state
`information report based on signal measurements on the
`reference symbols; ....................................................................70
`
`[14b] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`measured signals and data signals. ...........................................70
`
`M. Claim 15 ..............................................................................................71
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`sending node to a user equipment, comprising: ........................71
`
`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter to the user equipment for adjusting
`signal power measurements; and ..............................................72
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`with the sent measurement adjusting parameter. ......................73
`
`N.
`
`Claim 16 ..............................................................................................73
`
`O.
`
`Claim 18 ..............................................................................................74
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`
`
`
`5
`
`

`

`information report based on signal measurements on the
`reference symbols; and .............................................................74
`
`[18b] configuring the channel state information report based on
`signal measurements on the reference symbols; .......................75
`
`IX. TS 25.331, TS 25.214, R1-074426, and Sampath renders claims 3, 5-
`
`10, 13, 15-18 obvious ....................................................................................75
`
`A.
`
`Combination of TS 25.331, TS 25.214, R1-074426, and
`
`Sampath ...............................................................................................76
`
`B.
`
`C.
`
`Claim 3 ................................................................................................84
`
`Claim 5 ................................................................................................89
`
`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`node; and ...................................................................................89
`
`[5b] configuring the channel state information report based on
`signal measurements on the reference symbols; .......................90
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`and data signals. ........................................................................93
`
`D.
`
`Claim 6 ................................................................................................93
`
`[6pre] A user equipment, comprising: ................................................93
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`user equipment specific measurement adjusting
`parameter for adjusting signal power measurements; ..............95
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`transmitted by the sending node; ..............................................96
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`received measurement adjusting parameter; and ......................98
`
`
`
`6
`
`

`

`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`measured properties. ...............................................................100
`
`Claim 7 ..............................................................................................102
`
`Claim 8 ..............................................................................................103
`
`E.
`
`F.
`
`G.
`
`Claim 9 ..............................................................................................104
`
`H.
`
`Claim 10 ............................................................................................104
`
`I.
`
`J.
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`and reference symbols from the sending node; ......................105
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`signal measurements on the reference symbols; .....................106
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`measured signals and data signals. .........................................106
`
`Claim 13 ............................................................................................106
`
`Claim 15 ............................................................................................107
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`sending node to a user equipment, comprising: ......................108
`
`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter to the user equipment for adjusting
`signal power measurements; and ............................................109
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`with the sent measurement adjusting parameter. ....................111
`
`K.
`
`Claim 16 ............................................................................................112
`
`
`
`7
`
`

`

`L.
`
`Claim 17 ............................................................................................113
`
`M. Claim 18 ............................................................................................114
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`information report based on signal measurements on the
`reference symbols; and ...........................................................114
`
`[18b] configuring the channel state information report based on
`signal measurements on the reference symbols; .....................115
`
`X. Wintzell in combination with Catreux-Erceg renders claims 1, 2, 4-7,
`
`9-12, 14-16, 18 obvious ...............................................................................116
`
`A.
`
`Combination of Wintzell and Catreux-Erceg ....................................116
`
`B.
`
`Independent Claim 1 .........................................................................119
`
`[1pre] A method, in a user equipment, of enabling link quality
`estimation of a radio channel used for transmitting
`signals from a sending node to the user equipment, the
`method comprising: ................................................................120
`
`[1a] receiving, from the sending node and by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter for adjusting signal power
`measurements; .........................................................................123
`
`[1b] measuring properties based on reference symbols of the
`radio channel transmitted by the sending node; .....................126
`
`[1c] adjusting the measured properties of the radio channel
`based on the received measurement adjusting parameter;
`and ...........................................................................................127
`
`[1d] sending, to the sending node, a channel state information
`report based on the adjusted measured properties. .................129
`
`C.
`
`Claim 2 ..............................................................................................130
`
`D.
`
`Claim 4 ..............................................................................................131
`
`E.
`
`Claim 5 ..............................................................................................132
`
`
`
`8
`
`

`

`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`node; and .................................................................................132
`
`[5b] configuring the channel state information report based on
`signal measurements on the reference symbols; .....................133
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`and data signals. ......................................................................134
`
`F.
`
`Claim 6 ..............................................................................................135
`
`[6pre] A user equipment, comprising: ..............................................135
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`user equipment specific measurement adjusting
`parameter for adjusting signal power measurements; ............138
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`transmitted by the sending node; ............................................139
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`received measurement adjusting parameter; and ....................143
`
`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`measured properties. ...............................................................145
`
`G.
`
`Claim 7 ..............................................................................................146
`
`H.
`
`Claim 9 ..............................................................................................147
`
`I.
`
`Claim 10 ............................................................................................147
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`and reference symbols from the sending node; ......................148
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`signal measurements on the reference symbols; .....................148
`
`
`
`9
`
`

`

`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`measured signals and data signals. .........................................149
`
`J.
`
`Claim 11 ............................................................................................149
`
`[11pre] A method, in a sending node, for enabling link quality
`estimation of a radio channel used for transmitting
`signals from the sending node to a user equipment, the
`method comprising: ................................................................150
`
`[11a] sending, by dedicated higher layer signaling, a user
`equipment specific measurement adjusting parameter to
`the user equipment for adjusting signal power
`measurements; and ..................................................................150
`
`[11b] receiving a channel state information report from the user
`equipment, the channel state information report including
`measured properties defined by reference symbols of the
`radio channel transmitted by the sending node adjusted in
`accordance with the sent measurement adjusting
`parameter. ................................................................................151
`
`K.
`
`Claim 12 ............................................................................................151
`
`L.
`
`Claim 14 ............................................................................................152
`
`[14a] The method of claim 11, further comprising: sending
`payload data and reference symbols to the user
`equipment, which configures the channel state
`information report based on signal measurements on the
`reference symbols; ..................................................................152
`
`[14b] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`measured signals and data signals. .........................................153
`
`M. Claim 15 ............................................................................................153
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`sending node to a user equipment, comprising: ......................154
`
`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`
`
`
`10
`
`

`

`adjusting parameter to the user equipment for adjusting
`signal power measurements; and ............................................155
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`with the sent measurement adjusting parameter. ....................156
`
`N.
`
`Claim 16 ............................................................................................157
`
`O.
`
`Claim 18 ............................................................................................157
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`information report based on signal measurements on the
`reference symbols; and ...........................................................158
`
`[18b] configuring the channel state information report based on
`signal measurements on the reference symbols; .....................159
`
`XI. Wintzell in combination with Catreux-Erceg and Sampath renders
`
`claims 3, 5-10, 13, 15-18 obvious ...............................................................159
`
`A.
`
`Combination of Wintzell, Catreux-Erceg, and Sampath ...................159
`
`B.
`
`C.
`
`Claim 3 ..............................................................................................163
`
`Claim 5 ..............................................................................................166
`
`[5a] The method of claim 1, further comprising: receiving
`payload data and reference symbols from the sending
`node; and .................................................................................166
`
`[5b] configuring the channel state information report based on
`signal measurements on the reference symbols; .....................167
`
`[5c] wherein the measurement adjusting parameter compensates
`for a difference in received power of measured signals
`and data signals. ......................................................................169
`
`D.
`
`Claim 6 ..............................................................................................169
`
`
`
`11
`
`

`

`[6pre] A user equipment, comprising: ..............................................169
`
`[6a] a signal receiving circuit adapted to receive, from a
`sending node and by dedicated higher layer signaling, a
`user equipment specific measurement adjusting
`parameter for adjusting signal power measurements; ............171
`
`[6b] a signal measuring circuit configured to measure properties
`based on reference symbols of the radio channel
`transmitted by the sending node; ............................................172
`
`[6c] a quality estimating circuit configured to adjust the
`measured properties of the radio channel based on the
`received measurement adjusting parameter; and ....................173
`
`[6d] a reporting circuit configured to send, to the sending node,
`a channel state information report based on the adjusted
`measured properties. ...............................................................175
`
`Claim 7 ..............................................................................................176
`
`Claim 8 ..............................................................................................177
`
`E.
`
`F.
`
`G.
`
`Claim 9 ..............................................................................................178
`
`H.
`
`Claim 10 ............................................................................................178
`
`[10a] The user equipment of claim 6: wherein the signal
`receiving circuit is configured to receive payload data
`and reference symbols from the sending node; ......................179
`
`[10b] wherein the signal receiving circuit is configured to
`configure the channel state information report based on
`signal measurements on the reference symbols; .....................179
`
`[10c] wherein the measurement adjusting parameter
`compensates for a difference in received power of
`measured signals and data signals. .........................................180
`
`Claim 13 ............................................................................................180
`
`Claim 15 ............................................................................................180
`
`[15pre] A sending node for enabling link quality estimation of a
`radio channel used for transmitting signals from the
`sending node to a user equipment, comprising: ......................181
`
`I.
`
`J.
`
`
`
`12
`
`

`

`[15a] a sending circuit configured to send, by dedicated higher
`layer signaling, a user equipment specific measurement
`adjusting parameter to the user equipment for adjusting
`signal power measurements; and ............................................182
`
`[15b] a report receiver configured to receive a channel state
`information report from the user equipment, the channel
`state information report including measured properties
`defined by reference symbols of the radio channel
`transmitted by the sending node adjusted in accordance
`with the sent measurement adjusting parameter. ....................184
`
`K.
`
`Claim 16 ............................................................................................186
`
`L.
`
`Claim 17 ............................................................................................187
`
`M. Claim 18 ............................................................................................188
`
`[18a] The sending node of claim 15: wherein the sending circuit
`is configured to send payload data and reference symbols
`to the user equipment, which configures the channel state
`information report based on signal measurements on the
`reference symbols; and ...........................................................188
`
`[18b] configuring the channel state information report based on
`signal measurements on the reference symbols; .....................189
`
`XII. Additional Remarks ......................................................................................189
`
`
`
`
`
`
`
`
`
`13
`
`

`

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

`

`4.
`
`I may rely upon these materials, my knowledge and experience, and/or
`
`additional materials to rebut arguments raised by the Patent Owner. Further, I may
`
`also consider additional documents and information in forming any necessary
`
`opinions, including documents that may not yet have been provided to me.
`
`5. My analysis of the materials produced in this proceeding is ongoing and I
`
`will continue to review any new material as it is provided. This declaration
`
`represents only those opinions I have formed to date. I reserve the right to revise,
`
`supplement, and/or amend my opinions stated herein based on new information
`
`and on my continuing analysis of the materials already provided.
`
`
`
`II. Background and Qualifications
`
`6. My education and experience are described more fully in the attached
`
`curriculum vitae (QMDB-1004). For ease of reference, I have highlighted certain
`
`information below.
`
`7.
`
` I am currently a Professor in the Bradley Department of Electrical and
`
`Computer Engineering at the Virginia Polytechnic Institute and State University
`
`(“Virginia Tech”). I began teaching at Virginia Tech in 2001 and have served on
`
`the academic faculty at Virginia Tech for over 20 years.
`
`8.
`
`I received a Ph.D. degree in Electrical and Computer Engineering from
`
`Virginia Tech in 1996, and M.S. and B.S. degrees in Electrical and Computer
`
`
`
`15
`
`

`

`Engineering from the University of Toledo in 1993 and 1991, respectively, as
`
`shown in my curriculum vitae. See APPENDIX A.
`
`9.
`
`I have worked extensively in the area of radio systems and communications
`
`and initiated the graduate course in multi-channel communications (i.e.,
`
`technologies such as OFDM and MIMO) at Virginia Tech. I have lectured on the
`
`topic of wireless communications for over 20 years. I have also taught courses in
`
`Communication Systems, Signals & Systems, Digital Communications, Advanced
`
`Digital Communications, Machine Learning applied to Communications, and
`
`Spread Spectrum Communications. I believe that my technical area of knowledge
`
`pertains directly to the technical material in this proceeding
`
`10.
`
`In 2003, I was named Outstanding New Assistant Professor by the Virginia
`
`Tech College of Engineering and received the Dean's Award for Teaching
`
`Excellence in 2014.
`
`11.
`
`I have been elected a Fellow of the Institute of Electrical and Electronics
`
`Engineers (IEEE, the leading international organization in Electrical and
`
`Electronics Engineering) so named “for contributions to wideband signal
`
`processing in communications and geolocation”.
`
`12.
`
`I have authored or co-authored approximately 250 publications in my area of
`
`expertise, which have been published in the leading journals in my field including
`
`IEEE Transactions on Communications, IEEE Transactions on Wireless
`
`16
`
`

`

`Communications, IEEE Transactions on Information Theory, Proceedings of the
`
`IEEE, and IEEE Transactions on Signal Processing, and at all of the major
`
`conferences in my field. This research has been cited nearly 10,000 times. I also
`
`hold 18 patents in the area of wireless communications and localization. My
`
`publications and patents are listed in APPENDIX A (Curriculum Vitae of Dr. R.
`
`Michael Buehrer).
`
`13.
`
`I am a co-recipient of the Vanu Bose Award for the best paper at the 2021
`
`Military Communications Confenence, the Fred W. Ellersick MILCOM Award for
`
`the best paper in the unclassified technical program in 2010 and the Outstanding
`
`Paper Award from the SDR Forum Technical Conference in 2008.
`
`14.
`
`I currently serve as an area editor for IEEE Transactions on Wireless
`
`Communications supervising a team of 14 editors. I also recently served as a guest
`
`editor for a