`
`Robert Baldemair et al.
`In re Patent of:
`10,285,150
`Attorney Docket No.: 50095-0066IP1
`U.S. Patent No.:
`May 7, 2019
`Issue Date:
`Appl. Serial No.: 14/532,781
`Filing Date:
`Nov. 4, 2014
`Title:
`METHODS AND ARRANGEMENTS IN A
`TELECOMMUNICATIONS NETWORK
`
`DECLARATION OF DR. ROBERT AKL, D.Sc.
`
`1
`
`APPLE 1003
`
`
`
`TABLE OF CONTENTS
`
`I.
`
`II.
`
`Introduction .................................................................................................... 16
`
`Background and Qualifications ..................................................................... 17
`
`III. Level of Ordinary Skill in the Art ................................................................. 23
`
`IV. Materials Considered and Relied Upon ......................................................... 24
`
`V.
`
`Legal Standards ............................................................................................. 25
`
`
`
`
`
`
`
`Legal Standards for Prior Art .............................................................. 26
`
`Legal Standard for Priority Date ......................................................... 28
`
`Legal Standard for Obviousness ......................................................... 28
`
`VI. Overview of the ’150 Patent .......................................................................... 31
`
`
`
`
`
`
`
`Subject Matter Overview .................................................................... 31
`
`Interpretation of the ’150 Patent Claims at Issue ................................ 32
`
`Independent Claim 18 ............................................................... 33
`1.
`Independent Claim 30 ............................................................... 34
`2.
`The ’150 Patent Is Not Entitled To Its Claimed Priority Date ............ 34
`
`1.
`
`2.
`
`B.
`
`1.
`
`“[sending / receiving]… information on which of the
`uplink component carriers the timing correction is valid
`for to the user equipment” (independent claims 1, 13, 18,
`30) ............................................................................................. 35
`“determining for which of the uplink component carriers
`used by the user equipment the determined timing
`correction is valid” (independent claims 1 and 18) .................. 36
`The Tenny Reference Is Entitled To Its Claimed Priority
`Date ........................................................................................... 37
`“A method that facilitates a timing alignment in a
`multicarrier system, the method comprising” ........................... 38
`
`2
`
`
`
`2.
`
`3.
`
`4.
`
`5.
`
`“determining different downlink timings associated with
`a plurality of downlink carriers” ............................................... 38
`“ascertaining an uplink timing associated with an uplink
`group of carriers including a first uplink carrier and a
`second uplink carrier,” .............................................................. 39
`“wherein the uplink timing is ascertained based on a
`processing of at least one downlink timing of the
`different downlink timings and” ............................................... 39
`“a timing offset associated with the uplink group of
`carriers, and the at least one downlink timing of the
`different downlink timings; and ................................................ 39
`“transmitting on the first uplink carrier at the uplink
`timing adjusted based on the timing offset associated
`with the at least one downlink timing of the different
`downlink timings, and on the second uplink carrier at the
`adjusted uplink timing.” ............................................................ 40
`VII. The Challenged Claims Are Unpatenable ..................................................... 41
`
`6.
`
`A.
`
`[GROUND 1] – Claims 1-34 are Obvious over Tenny and Cai ......... 41
`
`1.
`2.
`3.
`4.
`5.
`
`Overview of Tenny (APPLE-1008) .......................................... 41
`Overview of Cai (APPLE-1007) ............................................... 42
`The Combination of Tenny and Cai ......................................... 43
`Reasons to Combine Tenny and Cai ......................................... 44
`Analysis ..................................................................................... 46
`[1.0] A method in a base station for determining an
`uplink transmission timing correction for
`communication in a telecommunication system in
`which aggregation of component carriers is
`applied, the method comprising: .................................... 46
`[1.1] receiving a signal on a selected uplink component
`carrier from a user equipment; ........................................ 47
`[1.2] measuring an arrival time of the received signal; ............ 48
`[1.3] determining a timing correction of the uplink
`transmission timing based on the measured arrival
`time; ................................................................................ 50
`
`3
`
`
`
`[1.4] determining for which of the uplink component
`carriers used by the user equipment the determined
`timing correction is valid; and ........................................ 52
`[1.5] sending the timing correction and information on
`which of the uplink component carriers the timing
`correction is valid for to the user equipment. ................. 53
`[2.0] The method according to claim 1, wherein the
`determination for which of the uplink component
`carriers the determined timing correction is valid is
`based on a downlink timing reference associated
`with the respective uplink component carrier. ............... 54
`[3.0] The method according to claim 2, wherein the
`timing correction is determined to be valid for the
`uplink component carrier which has an associated
`downlink timing reference aligned with the
`downlink timing reference associated with the
`selected uplink component carrier. ................................. 55
`[4.0] The method according to claim 3, wherein the
`downlink timing reference is a synchronization
`signal or reference signal of one downlink
`component carrier. .......................................................... 55
`[5.0] The method according to claim 2, wherein the
`timing correction is determined to be valid for the
`uplink component carrier which has an associated
`downlink timing reference with a defined offset
`relative to the downlink timing reference
`associated with the selected uplink component
`carrier. ............................................................................. 56
`[6.0] The method according to claim 2, wherein the
`downlink timing references are synchronization
`signals or reference signals on different downlink
`component carriers. ........................................................ 57
`[7.0] The method according to claim 1, wherein the
`timing correction is determined to be valid for only
`the selected uplink component carrier when the
`component carriers are time division duplex
`carriers with different downlink or uplink
`allocations across the carriers. ........................................ 57
`
`4
`
`
`
`[8.0] The method according to claim 1, wherein the
`information on which uplink component carrier the
`timing correction is valid for is configured via
`Radio Resource Control (RRC) signaling. ..................... 58
`[9.0] The method according to claim 1, wherein the
`information on which uplink component carrier the
`timing correction is valid for is signaled with
`Medium Access Control (MAC) control elements. ........ 58
`[10.0] The method according to claim 1, wherein the
`timing correction is sent in a timing advance
`command. ........................................................................ 59
`[11.0] The method according to claim 1, wherein a
`message comprising both the timing correction and
`information on which of the uplink component
`carriers the timing correction is valid for is sent to
`the user equipment via Radio Resource Control
`(RRC) or Medium Access Control (MAC) control
`elements. ......................................................................... 59
`[12.0] The method according to claim 1, wherein
`determining the timing correction of the uplink
`transmission timing is also based on an arrival time
`reference. ........................................................................ 60
`[13.0] A method in a user equipment for determining an
`uplink transmission timing correction for
`communication in a telecommunication system in
`which aggregation of component carriers is
`applied, the method comprising: .................................... 60
`[13.1] sending a signal on an uplink component carrier to
`a base station; .................................................................. 61
`[13.2] receiving, from the base station, a timing
`correction of the uplink transmission timing and
`information on which uplink component carriers in
`the aggregation of component carriers the timing
`correction is valid for; and .............................................. 62
`[13.3] adjusting the uplink transmission timing of the
`uplink component carriers in the aggregation of
`
`5
`
`
`
`component carriers the timing correction is valid
`for based on the timing correction. ................................. 63
`[14.0] The method according to claim 13, wherein the
`information on which uplink component carriers in
`the aggregation of component carriers the timing
`correction is valid for is configured via Radio
`Resource Control (RRC) signaling. ................................ 64
`[15.0] The method according to claim 13, wherein the
`information on which uplink component carriers in
`the aggregation of component carriers the timing
`correction is valid for is signaled with Medium
`Access Control (MAC) control elements. ...................... 64
`[16.0] The method according to claim 13, wherein the
`timing correction is received in a timing advance
`command. ........................................................................ 64
`[17.0] The method according to claim 13, wherein a
`message comprising both the timing correction and
`information on which of the uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for is received from
`the base station via Radio Resource Control (RRC)
`or Medium Access Control (MAC) control
`elements. ......................................................................... 65
`[18.0] A base station for determining an uplink
`transmission timing correction for communication
`in a telecommunication system in which
`aggregation of component carriers is applied, the
`base station comprising: ................................................. 66
`[18.1] a receiver for receiving a signal on a selected
`uplink component carrier from a user equipment; ......... 67
`[18.2] a unit for measuring an arrival time of the received
`signal; .............................................................................. 67
`[18.3] a unit for determining a timing correction of the
`uplink transmission timing based on the measured
`arrival time, and for determining for which of the
`uplink component carriers used by the user
`
`6
`
`
`
`equipment the determined timing correction is
`valid; and ....................................................................... 67
`[18.4] a transmitter for sending the timing correction and
`information on which of the uplink component
`carriers the timing correction is valid for to the
`user equipment. ............................................................... 69
`[19.0] The base station according to claim 18, wherein
`the determination for which of the uplink
`component carriers the determined timing
`correction is valid is based on the downlink timing
`reference associated with the respective Uplink
`(UL) component carrier. ................................................. 70
`[20.0] The base station according to claim 19, wherein
`the timing correction is determined to be valid for
`the uplink component carrier which has an
`associated downlink timing reference aligned with
`the downlink timing reference associated with the
`selected uplink component carrier. ................................. 70
`[21.0] The base station according to claim 20, wherein
`the downlink timing reference is a synchronization
`signal or reference signal of one downlink
`component carrier. .......................................................... 70
`[22.0] The base station according to claim 19, wherein
`the timing correction is determined to be valid for
`the uplink component carrier which has an
`associated downlink timing reference with a
`defined offset relative to the downlink timing
`reference associated with the selected uplink
`component carrier. .......................................................... 70
`[23.0] The base station according to claim 19, wherein
`the downlink timing references are
`synchronization signals or reference signals on
`different downlink component carriers. ......................... 70
`[24.0] The base station according to claim 18, wherein
`the timing correction is determined to be valid for
`only the selected uplink component carrier when
`the component carriers are time division duplex
`
`7
`
`
`
`carriers with different downlink or uplink
`allocations across the carriers. ........................................ 71
`[25.0] The base station according to claim 18, wherein
`the information on which uplink component carrier
`the timing correction is valid for is configured via
`Radio Resource Control (RRC) signaling. ..................... 71
`[26.0] The base station according to claim 18, wherein
`the information on which uplink component carrier
`the timing correction is valid for is signaled with
`Medium Access Control (MAC) control elements. ........ 71
`[27.0] The base station according to claim 18, wherein
`the timing correction is sent in a timing advance
`command. ........................................................................ 71
`[28.0] The base station according to claim 18, wherein a
`message comprising both the timing correction and
`information on which of the uplink component
`carriers the timing correction is valid for is sent to
`the user equipment via Radio Resource Control
`(RRC) or Medium Access Control (MAC) control
`elements. ......................................................................... 71
`[29.0] The base station according to claim 18, wherein
`the timing correction of the uplink transmission
`timing is also based on an arrival time reference. .......... 72
`[30.0] A user equipment for determining an uplink
`transmission timing correction for communication
`in a telecommunication system in which
`aggregation of component carriers is applied, the
`user equipment comprising: ............................................ 72
`[30.1] a transmitter for sending a signal on an uplink
`component carrier to a base station; ............................... 72
`[30.2] a receiver for receiving, from the base station, a
`timing correction of the uplink transmission timing
`and information on which uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for from the base
`station; and ..................................................................... 73
`
`8
`
`
`
`[30.3] a unit for adjusting the uplink transmission timing
`of the uplink component carriers in the aggregation
`of component carriers the timing correction is
`valid for based on the timing correction. ........................ 73
`[31.0] The user equipment according to claim 30,
`wherein information on which uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for is configured via
`Radio Resource Control (RRC) signaling. ..................... 74
`[32.0] The user equipment according to claim 30,
`wherein information on which uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for is signaled with
`Medium Access Control (MAC) control elements. ........ 74
`[33.0] The user equipment according to claim 30,
`wherein the timing correction is received in a
`timing advance command. .............................................. 74
`[34.0] The user equipment according to claim 30,
`wherein a message comprising both the timing
`correction and information on which of the uplink
`component carriers in the aggregation of
`component carriers the timing correction is valid
`for is received from the base station via Radio
`Resource Control (RRC) or Medium Access
`Control (MAC) control elements. ................................... 75
`[GROUND 2] – Claims 1-5, 8-22, and 25-34 are Obvious over
`Fan, Jeong, and Du .............................................................................. 75
`
`1.
`2.
`3.
`4.
`5.
`6.
`
`Overview of Fan (APPLE-1004) .............................................. 75
`Overview of Jeong (APPLE-1005) ........................................... 75
`Overview of Du (APPLE-1006) ............................................... 76
`The Combination of Fan, Jeong, and Du .................................. 77
`Reasons to Combine Fan, Jeong, and Du ................................. 78
`Analysis ..................................................................................... 80
`[1.0] A method in a base station for determining an
`uplink transmission timing correction for
`
`9
`
`B.
`
`
`
`communication in a telecommunication system in
`which aggregation of component carriers is
`applied, the method comprising: .................................... 80
`[1.1] receiving a signal on a selected uplink component
`carrier from a user equipment; ........................................ 81
`[1.2] measuring an arrival time of the received signal; ............ 83
`[1.3] determining a timing correction of the uplink
`transmission timing based on the measured arrival
`time; ................................................................................ 83
`[1.4] determining for which of the uplink component
`carriers used by the user equipment the determined
`timing correction is valid; and ........................................ 84
`[1.5] sending the timing correction and information on
`which of the uplink component carriers the timing
`correction is valid for to the user equipment. ................. 85
`[2.0] The method according to claim 1, wherein the
`determination for which of the uplink component
`carriers the determined timing correction is valid is
`based on a downlink timing reference associated
`with the respective uplink component carrier. ............... 87
`[3.0] The method according to claim 2, wherein the
`timing correction is determined to be valid for the
`uplink component carrier which has an associated
`downlink timing reference aligned with the
`downlink timing reference associated with the
`selected uplink component carrier. ................................. 87
`[4.0] The method according to claim 3, wherein the
`downlink timing reference is a synchronization
`signal or reference signal of one downlink
`component carrier. .......................................................... 88
`[5.0] The method according to claim 2, wherein the
`timing correction is determined to be valid for the
`uplink component carrier which has an associated
`downlink timing reference with a defined offset
`relative to the downlink timing reference
`associated with the selected uplink component
`carrier. ............................................................................. 89
`
`10
`
`
`
`[8.0] The method according to claim 1, wherein the
`information on which uplink component carrier the
`timing correction is valid for is configured via
`Radio Resource Control (RRC) signaling. ..................... 90
`[9.0] The method according to claim 1, wherein the
`information on which uplink component carrier the
`timing correction is valid for is signaled with
`Medium Access Control (MAC) control elements. ........ 90
`[10.0] The method according to claim 1, wherein the
`timing correction is sent in a timing advance
`command. ........................................................................ 91
`[11.0] The method according to claim 1, wherein a
`message comprising both the timing correction and
`information on which of the uplink component
`carriers the timing correction is valid for is sent to
`the user equipment via Radio Resource Control
`(RRC) or Medium Access Control (MAC) control
`elements. ......................................................................... 92
`[12.0] The method according to claim 1, wherein
`determining the timing correction of the uplink
`transmission timing is also based on an arrival time
`reference. ........................................................................ 92
`[13.0] A method in a user equipment for determining an
`uplink transmission timing correction for
`communication in a telecommunication system in
`which aggregation of component carriers is
`applied, the method comprising: .................................... 93
`[13.1] sending a signal on an uplink component carrier to
`a base station; .................................................................. 93
`[13.2] receiving, from the base station, a timing
`correction of the uplink transmission timing and
`information on which uplink component carriers in
`the aggregation of component carriers the timing
`correction is valid for; and .............................................. 94
`[13.3] adjusting the uplink transmission timing of the
`uplink component carriers in the aggregation of
`
`11
`
`
`
`component carriers the timing correction is valid
`for based on the timing correction. ................................. 95
`[14.0] The method according to claim 13, wherein the
`information on which uplink component carriers in
`the aggregation of component carriers the timing
`correction is valid for is configured via Radio
`Resource Control (RRC) signaling. ................................ 95
`[15.0] The method according to claim 13, wherein the
`information on which uplink component carriers in
`the aggregation of component carriers the timing
`correction is valid for is signaled with Medium
`Access Control (MAC) control elements. ...................... 96
`[16.0] The method according to claim 13, wherein the
`timing correction is received in a timing advance
`command. ........................................................................ 96
`[17.0] The method according to claim 13, wherein a
`message comprising both the timing correction and
`information on which of the uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for is received from
`the base station via Radio Resource Control (RRC)
`or Medium Access Control (MAC) control
`elements. ......................................................................... 96
`[18.0] A base station for determining an uplink
`transmission timing correction for communication
`in a telecommunication system in which
`aggregation of component carriers is applied, the
`base station comprising: ................................................. 98
`[18.1] a receiver for receiving a signal on a selected
`uplink component carrier from a user equipment; ......... 98
`[18.2] a unit for measuring an arrival time of the received
`signal; .............................................................................. 98
`[18.3] a unit for determining a timing correction of the
`uplink transmission timing based on the measured
`arrival time, and for determining for which of the
`uplink component carriers used by the user
`
`12
`
`
`
`equipment the determined timing correction is
`valid; and ....................................................................... 99
`[18.4] a transmitter for sending the timing correction and
`information on which of the uplink component
`carriers the timing correction is valid for to the
`user equipment. .............................................................100
`[19.0] The base station according to claim 18, wherein
`the determination for which of the uplink
`component carriers the determined timing
`correction is valid is based on the downlink timing
`reference associated with the respective Uplink
`(UL) component carrier. ...............................................100
`[20.0] The base station according to claim 19, wherein
`the timing correction is determined to be valid for
`the uplink component carrier which has an
`associated downlink timing reference aligned with
`the downlink timing reference associated with the
`selected uplink component carrier. ...............................101
`[21.0] The base station according to claim 20, wherein
`the downlink timing reference is a synchronization
`signal or reference signal of one downlink
`component carrier. ........................................................101
`[22.0] The base station according to claim 19, wherein
`the timing correction is determined to be valid for
`the uplink component carrier which has an
`associated downlink timing reference with a
`defined offset relative to the downlink timing
`reference associated with the selected uplink
`component carrier. ........................................................101
`[25.0] The base station according to claim 18, wherein
`the information on which uplink component carrier
`the timing correction is valid for is configured via
`Radio Resource Control (RRC) signaling. ...................101
`[26.0] The base station according to claim 18, wherein
`the information on which uplink component carrier
`the timing correction is valid for is signaled with
`Medium Access Control (MAC) control elements. ......101
`
`13
`
`
`
`[27.0] The base station according to claim 18, wherein
`the timing correction is sent in a timing advance
`command. ......................................................................102
`[28.0] The base station according to claim 18, wherein a
`message comprising both the timing correction and
`information on which of the uplink component
`carriers the timing correction is valid for is sent to
`the user equipment via Radio Resource Control
`(RRC) or Medium Access Control (MAC) control
`elements. .......................................................................102
`[29.0] The base station according to claim 18, wherein
`the timing correction of the uplink transmission
`timing is also based on an arrival time reference. ........102
`[30.0] A user equipment for determining an uplink
`transmission timing correction for communication
`in a telecommunication system in which
`aggregation of component carriers is applied, the
`user equipment comprising: ..........................................102
`[30.1] a transmitter for sending a signal on an uplink
`component carrier to a base station; .............................103
`[30.2] a receiver for receiving, from the base station, a
`timing correction of the uplink transmission timing
`and information on which uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for from the base
`station; and ...................................................................103
`[30.3] a unit for adjusting the uplink transmission timing
`of the uplink component carriers in the aggregation
`of component carriers the timing correction is
`valid for based on the timing correction. ......................104
`[31.0] The user equipment according to claim 30,
`wherein information on which uplink component
`carriers in the aggregation of component carriers
`the timing correction is valid for is configured via
`Radio Resource Control (RRC) signaling. ...................104
`[32.0] The user equipment according to claim 30,
`wherein information on which uplink component
`
`14
`
`
`
`carriers in the aggregation of component carriers
`the timing correction is valid for is signaled with
`Medium Access Control (MAC) control elements. ......104
`[33.0] The user equipment according to claim 30,
`wherein the timing correction is received in a
`timing advance command. ............................................105
`[34.0] The user equipment according to claim 30,
`wherein a message comprising both the timing
`correction and information on which of the uplink
`component carriers in the aggregation of
`component carriers the timing correction is valid
`for is received from the base station via Radio
`Resource Control (RRC) or Medium Access
`Control (MAC) control elements. .................................105
`VIII. Additional Remarks .....................................................................................105
`
`15
`
`
`
`I, Robert Akl, D.Sc. of Dallas, Texas, declare that:
`
`I.
`
`INTRODUCTION
`1. My name is Robert Akl, and I have been retained by counsel for Apple
`
`Inc. (“Apple” or “Petitioner”) as an expert witness to provide assistance regarding
`
`U.S. Patent No. 10,285,150 (“the ’150 Patent”). Specifically, I have been asked to
`
`consider the validity of claims 1-34 of the ’150 Patent (the “Challenged Claims”) in
`
`view of prior art, anticipation and obviousness considerations, and understanding of
`
`a person of ordinary skill in the art (“POSITA”) at the time of the invention as it
`
`relates to the ’150 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
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`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.
`
`16
`
`
`
`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
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`I will continue to review any new material as it is provided. This declaration
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`represents only those opinions I have formed to date. I reserve the right to revise,
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`supplement, and/or amend my opinions stated herein based on new information and
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`on my continuing analysis of the materials already provided.
`
`II. BACKGROUND AND QUALIFICATIONS
`6.
`I am an expert in the field of network communication systems. I have
`
`studied, taught, practiced, and researched this field for over 25 years. I have
`
`summarized in this section my educational background, work experience, and other
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`relevant qualifications. Attached hereto as an Appendix to this declaration, is a true
`
`and correct copy of my curriculum vitae describing my background and experience.
`
`7.
`
`I earned my Bachelor of Science degrees in Electrical Engineering and
`
`Computer Science summa cum laude with a grade point average of 4.0/4.0 and a
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`ranking of first in my undergraduate class from Washington University in St. Louis
`
`in 1994. In 1996, I earned my Master of Science degree in Electrical Engineering
`
`from Washington University in St. Louis with a grade point average of 4.0/4.0. I
`
`17
`
`
`
`earned my Doctor of Science in Electrical Engineering from Washington University
`
`in St. Louis in 2000, again with a grade point average of 4.0/4.0, with my dissertation
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`being on “Cell Design to Maximize Capacity in Cellular Code Division Multiple
`
`Access (CDMA) Networks.”
`
`8. While a graduate student, from 1996 through 2000, I worked at
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`MinMax Corporation in St. Louis, where I designed software packages that provided
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`tools to flexibly allocate capacity in a CDMA communications network and
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`maximize the number of subscribers. I also analyzed and simulated different audio
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`compression schemes. I also validated the hardware architecture for an
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`Asynchronous Transfer Mode (ATM) switch capable of channel group switching, as
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`well as performed logical and timing simulations, and developed the hardware
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`architecture for the ATM switch. I also worked with Teleware Corporation in Seoul,
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`South Korea, where I designed and developed algorithms that were commercially
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`deployed in a software package suite for analyzing the capacity in a CDMA network