UNITED STATES PATENT AND TRADEMARK OFFICE
`
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________
`
`APPLE INC.,
`
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`
`Patent Owner
`
`_________________
`
`Inter Partes Review Case No. IPR2022-00648
`
`U.S. Patent No. 9,860,044
`
`DECLARATION OF FRIEDHELM RODERMUND
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF
`PATENT NO. 9,860,044
`
`IPR2022-00648
`Apple EX1016 Page 1
`
`
`
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________
`
`APPLE INC.,
`
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`
`Patent Owner
`
`_________________
`
`Inter Partes Review Case No. IPR2022-00648
`
`U.S. Patent No. 9,860,044
`
`DECLARATION OF FRIEDHELM RODERMUND
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF
`PATENT NO. 9,860,044
`
`IPR2022-00648
`Apple EX1016 Page 1
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`
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`
`TABLE OF CONTENTS
`
`I.
`
`INTRODUCTION AND ENGAGEMENT .............................................................. 1
`
`II. BACKGROUND AND QUALIFICATIONS ........................................................... 3
`
`III. SUMMARY OF MY OPINIONS ........................................................................ 8
`
`IV. PUBLICATION OF 3GPP SPECIFICATIONS AND RELATED DOCUMENTS ........... 9
`
`A. GENERAL PRACTICES ........................................................................................... 9
`
`B. SPECIFIC DOCUMENTS ....................................................................................... 20
`
`1. R1-082999 ........................................................................................................ 20
`
`2. R1-090792 ........................................................................................................ 24
`
`3. R1-083679 ........................................................................................................ 28
`
`4. TS 36.211 V8.5.0 ............................................................................................... 32
`
`5. TS 36.213 V8.5.0 ............................................................................................... 42
`
`6. TS 36.331 V8.5.0 ............................................................................................... 52
`
`7. TR 36.912 V9.0.0 ............................................................................................... 61
`
`V. AVAILABILITY FOR CROSS-EXAMINATION ................................................... 70
`ii
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`A. RIGHT TO SUPPLEMENT ..................................................................................... 70
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`B. SIGNATURE .................................................................................................... 70
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`Declaration of Friedhelm Rodermund
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`I, Friedhelm Rodermund, declare as follows:
`
`I.
`
`INTRODUCTION AND ENGAGEMENT
`1.
`I have been retained in this matter by Apple Inc. (“Petitioner” or
`
`“Apple”) to provide testimony regarding 3GPP’s standard business practices for
`
`record keeping and publishing technical specifications, change request proposals,
`
`reports, and other documents developed during the course of standards activities
`
`carried out by the 3rd Generation Partnership Project (“3GPP”) and the European
`
`Telecommunications Standards Institute (“ETSI”).
`
`2.
`
`I have been asked to provide my opinions regarding the authenticity
`
`and dates of public accessibility of the following 3GPP documents:
`
`• T-doc R1-082999, which represents a document with the title “Support of
`
`UL/DL asymmetric carrier aggregation” (hereinafter “R1-082999”, Ex.
`
`1006)
`
`• T-doc R1-090792, which represents a document with the title “Control
`
`Signalling Design for Supporting Carrier Aggregation” (hereinafter “R1-
`
`090792”, Ex. 1007)
`
`• T-doc R1-083679, which represents a document with the title “UL
`
`Layered Control Signal Structure in LTE-Advanced” (hereinafter “R1-
`
`083679”, Ex. 1008)
`
`1
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`• Version 8.5.0 of technical specification 3GPP TS 36.211 (“Technical
`
`Specification Group Radio Access Network; Evolved Universal Terrestrial
`
`Radio Access (E-UTRA); Physical Channels and Modulation (Release 8)”)
`
`(hereinafter “TS 36.211 v8.5.0”) (Ex. 1009)
`
`•
`
`Version 8.5.0 of technical specification 3GPP TS 36.213 (“Technical
`
`Specification Group Radio Access Network; Evolved Universal
`
`Terrestrial Radio Access (E-UTRA); Physical layer procedures (Release
`
`8)”) (hereinafter “TS 36.213 v8.5.0”, Ex. 1011)
`
`• Version 8.5.0 of technical specification 3GPP TS 36.331 (“Technical
`
`Specification Group Radio Access Network; Evolved Universal
`
`Terrestrial Radio Access (E-UTRA); Radio Resource Control (RRC);
`
`Protocol specification (Release 8)”) (hereinafter “TS 36.331 v8.5.0”, Ex.
`
`1012)
`
`• Version 9.0.0 of a technical report 3GPP TR 36.912 (“Feasibility study for
`
`Further Advancement for E-UTRA (LTE-Advanced); (Release 9)”)
`
`(hereinafter “TR 36.912 v9.0.0”, Ex. 1021)
`
`3.
`
`As an ETSI Project Manager and Secretary, from June 1998 to
`
`December 2004, I have personal knowledge of 3GPP’s standard business and
`
`records keeping practices. I continued following 3GPP’s work ever since. Thus,
`
`based on my experience, personal knowledge, and review of 3GPP’s business
`
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`records, I am able to testify regarding the authenticity of certain documents
`
`published by 3GPP and the timing of their publication.
`
`4.
`
`I am also knowledgeable about document management practices and
`
`the usage of email reflectors in TSG RAN WG1 and WG2. This is due to the fact that
`
`all 3GPP working groups used the same document repository on ftp.3gpp.org and all
`
`working groups use the same email exploder tool. Thus, I’m able to testify
`
`regarding the availability and authenticity of any 3GPP documents.
`
`5.
`
`I am being compensated for my time spent on this matter at my usual
`
`rate of €450 per hour. My fee is not contingent on the outcome of this or any matter,
`
`or on the content of any of the testimony I give in this declaration. I have no financial
`
`interest in Petitioner.
`
`6.
`
`I have been informed that Ericsson (hereinafter referred to as “Patent
`
`Owner”) alleges ownership and is the current assignee of U.S. Patent No. 9,860,044
`
`(“the ’044 Patent”) (Ex. 1001). I have no financial interest in the Patent Owner or
`
`the ’044 patent.
`
`II.
`
`BACKGROUND AND QUALIFICATIONS
`7.
`I have more than 20 years of experience working with standards
`
`development organizations including the Third Generation Partnership Project
`
`(“3GPP”), the European Telecommunications Standards Institute (“ETSI”), and the
`
`Open Mobile Alliance (“OMA”). I have particular experience with the development
`
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`of standards related to cellular telecommunications, including the standards for the
`
`Universal Mobile Telecommunications System (“UMTS”), Long Term Evolution
`
`(“LTE”), and 5G, which are all standards developed by the 3GPP.
`
`8.
`
`I attended the University of Technology Aachen in Aachen, Germany,
`
`where I performed graduate studies in Electrical Engineering with a focus on
`
`telecommunications technologies (“Dipl.-Ing. TH” degree). I also attended the
`
`University of Technology Trondheim in Trondheim, Norway, and completed my
`
`Diploma thesis, “Design of a dual processor computer for digital signal processing
`
`in power electronics,” in 1993.
`
`9.
`
`From December 1993 to June 1998, I worked at Mannesmann
`
`Mobilfunk as a System Engineer and Project Manager in Quality Assurance and
`
`Technical Standards. One of my responsibilities was to ensure by managing and
`
`performing related test activities that cellular network equipment was compatible
`
`with the Global System for Mobile Communications (“GSM”) standard developed
`
`by ETSI. During that time, I also started working as a standards delegate. I attended
`
`my first ETSI meeting in 1996 (although I was already following ETSI
`
`developments from 1992 during my studies).
`
`10.
`
`From June 1998 to December 2004, I worked at ETSI as a project
`
`manager for various ETSI Special Mobile Group (“SMG”) and 3GPP working
`
`groups. First, I served as a secretary of SMG4 “Data Services” and SMG8 “Base
`
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`Stations Testing.” Then, as a project manager with the ETSI Mobile Competence
`
`Center (“MCC”), I supported establishing 3GPP as the new international standards
`
`development organization for cellular telecommunications. One of my roles was
`
`acting as Secretary for 3GPP’s Technical Specifications Group Terminals, Working
`
`Group (“T2”), the group which played a leading role in the creation of standards for
`
`Multimedia such as the Multimedia Messaging Service (“MMS”).
`
`11.
`
`Later, I was a secretary of the highest-level Technical Specifications
`
`Group Terminals which was besides other things responsible for the development of
`
`test specifications including tests for the radio interface.
`
`12.
`
`I edited all technical specifications produced by my working groups and
`
`presented results to the parent body for approval. I attended all meetings (apart from
`
`some sub-working group meetings) and was also responsible for compiling meeting
`
`reports, for handling all the meeting documents, and managing the work plan. It was
`
`also my role to guide the groups and to advise the chairmen regarding 3GPP working
`
`methods and procedures including document handling, and to make sure delegates
`
`were aware of their company’s obligations under the 3GPP Intellectual Property
`
`Right policy.
`
`13. As part of my responsibilities at ETSI, I acted as a 3GPP custodian of
`
`records by personally managing 3GPP’s public File Transfer Protocol (ftp) folders,
`
`which I used to make publicly accessible various 3GPP documents, including
`
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`versions of 3GPP specifications, technical reports, liaison statements, change
`
`requests, contributions, agendas, meeting reports, and other 3GPP documents from
`
`my working groups. I am also knowledgeable about document management
`
`practices used in other working groups and within 3GPP in general with regard to
`
`making documents publicly accessible through the same, public ftp server of 3GPP.
`
`14.
`
`Since I left ETSI as a staff member in 2005, I have been continuously
`
`involved in standardization activities, including with Open Mobile Alliance, ETSI,
`
`and 3GPP. Since 2017, I also have been attending the ETSI IPR Special Committee,
`
`which is responsible for the maintenance of the ETSI IPR Policy.
`
`15. After I left ETSI, I worked from January 2005 to October 2014 at
`
`Vodafone, first as a Project Manager for Mobile Broadcast Standards, and then as
`
`Vice Chairman of the Device Management working group of the Open Mobile
`
`Alliance, and then as a Senior Standards Strategist, all with responsibilities as
`
`described on my C.V. At Vodafone, I was deeply involved in standards work with
`
`ETSI and 3GPP and other standards setting organizations, including as a delegate to
`
`3GPP SA1 “Services.” As part of my responsibilities, I attended selected 3GPP
`
`meetings, submitted documents to 3GPP, used 3GPP resources (including 3GPP’s
`
`ftp server) extensively, and remained knowledgeable about 3GPP policies and
`
`procedures with regard to document management and public accessibility. I was also
`
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`involved in the creation of patents, defense activities related to patent litigations, and
`
`patent evaluation, mostly in the context of standards development.
`
`16. Since leaving Vodafone in 2014, I have performed consulting work
`
`regarding Internet of Things (IoT) and Machine to Machine (M2M) technology and
`
`standards, first at Friedhelm Rodermund Consulting and then as the Founder and
`
`Director of IOTECC GmbH. In connection with my work, I regularly deal with
`
`standards such as OMA’s Lightweight M2M, 3GPP’s LTE, Narrowband IoT (NB-
`
`IoT) and 5G standards. And I have extensively used 3GPP resources and have
`
`remained knowledgeable about 3GPP policies and procedures with regard to
`
`document management and public accessibility.
`
`17.
`
`I also provide consulting services related to patents, in particular around
`
`3GPP Standard Essential Patents (“SEPs”), and I have been working as an expert
`
`witness on a number of occasions. I continue to closely follow the maintenance of
`
`the ETSI IPR Policy as a delegate to the ETSI IPR Special Committee. Furthermore,
`
`I’m conducting a seminar on SEPs and the Internet of Things at the Technical
`
`University of Ilmenau, Germany.
`
`18. At the time of writing this declaration, I am following – including
`
`attending selected meetings - the following standards committees: ETSI oneM2M,
`
`ETSI IPR Special Committee, Open Mobile Alliance, and 3GPP.
`
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`19. A copy of my curriculum vitae, which includes a detailed description
`
`of my experience and education, is attached as Appendix A. A list of litigation
`
`matters on which I have worked over the last five years is also included in my
`
`curriculum vitae.
`
`III.
`
`SUMMARY OF MY OPINIONS
`20.
`It is my opinion that R1-082999 (Ex. 1006) is an authentic 3GPP T-doc
`
`and would have been publicly accessible through ftp.3gpp.org no later than August
`
`12, 2008.
`
`21.
`
`It is my opinion that R1-090792 (Ex. 1007) is an authentic 3GPP T-doc
`
`and would have been publicly accessible through ftp.3gpp.org no later than February
`
`3, 2009.
`
`22.
`
`It is my opinion that R1-083679 (Ex. 1008) is an authentic 3GPP T-doc
`
`and would have been publicly accessible through ftp.3gpp.org no later than
`
`September 24, 2008.
`
`23.
`
`It is my opinion that TS 36.211 v8.5.0 (Ex. 1009) is a technical
`
`specification published by 3GPP and would have been publicly accessible through
`
`ftp.3gpp.org as of December 18, 2008.
`
`24.
`
`It is my opinion that TS 36.213 v8.5.0 (Ex. 1011) is a technical
`
`specification published by 3GPP and would have been publicly accessible through
`
`ftp.3gpp.org as of December 22, 2008.
`
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`It is my opinion that TS 36.331 v8.5.0 (Ex. 1012) is a technical
`
`25.
`
`specification published by 3GPP and would have been publicly accessible through
`
`ftp.3gpp.org as of March 20, 2009.
`
`26.
`
`It is my opinion that TR 36.912 v9.0.0 (Ex. 1021) is a technical report
`
`published by 3GPP and would have been publicly accessible through ftp.3gpp.org
`
`as of September 28, 2009.
`
`IV. PUBLICATION OF 3GPP SPECIFICATIONS AND RELATED
`DOCUMENTS
`A. General Practices
`27. Unless otherwise noted, the following is an accurate description of
`
`3GPP general practices from 1998 to the present, regardless of whether I use the
`
`present or past tense to describe those practices.
`
`28.
`
`3GPP was established in 1998 by a group of telecommunications
`
`standard development organizations from Japan, Korea, China, Europe, and the
`
`United States
`
`to
`
`jointly develop worldwide
`
`standards
`
`for mobile
`
`telecommunications. Today, 3GPP consists of seven partners: Association of Radio
`
`Industries and Businesses, Japan (“ARIB”), Alliance for Telecommunications
`
`Industry Solutions, USA (“ATIS”), China Communications Standards Association
`
`(“CCSA”), European Telecommunications Standards
`
`Institute
`
`(“ETSI”),
`
`Telecommunications Technology Association, Korea (“TTA”), Telecommunication
`
`Technology Committee, Japan (“TTC”). In addition to being one of the founding
`
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`partners, ETSI hosts the Mobile Competence Centre (“MCC”), which provides
`
`administrative and technical support to the day-to-day work of 3GPP. Furthermore,
`
`ETSI manages 3GPP’s IT services such as the 3GPP website, ftp server, and email
`
`exploders.
`
`29.
`
`3GPP is the world’s leading organization for developing and
`
`maintaining cellular telecommunications standards, which it has done since its
`
`foundation in 1998. As noted above and in my C.V., I began working for 3GPP, as
`
`part of my work at ETSI, the European-based organizational partner of 3GPP.
`
`30.
`
`In the ordinary course of its regularly conducted business activities, and
`
`pursuant to its standard business practices, 3GPP publishes technical specifications,
`
`proposals, reports, and other documents related to the development of cellular
`
`telecommunications standards. Such documents are published for the purposes of
`
`discussion and establishment of industry standards for cellular telecommunications.
`
`This has been 3GPP’s ordinary course of business since when I began working at
`
`ETSI in 1998.
`
`31.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, all draft technical
`
`specifications, proposals, reports, and other temporary documents to be discussed or
`
`considered in relation to 3GPP’s telecommunications standards activities were, and
`
`continue to be, assigned a temporary document number and made publicly available,
`
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`including on the ftp server associated with the 3GPP website, currently residing at
`
`ftp.3gpp.org. Such documents are referred to as “T-docs.” Final versions of the
`
`technical specifications also were, and continue to be, publicly available from that
`
`same ftp server.
`
`32. The names and the structure of 3GPP working groups can be found
`
`below1:
`
`
`
`1 See https://www.3gpp.org/specifications-groups
`
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`33.
`
`Each Technical Specification Group (TSG) or Working Group adopts
`
`a structured numbering system for the documents associated with their meetings,
`
`and those systems typically follow a consistent numbering system as shown in the
`
`following example: xminnzzzz. The numbering system normally comprises five
`
`logical elements: (1) x: a single letter corresponding to the TSG; where in 2007/2008
`
`x was one of R (Radio Access Network), C (Core and Terminals), S (Service and
`
`System Aspects), or G (GSM/EDGE Radio Access Network); (2) m: A single
`
`character corresponding to the Working Group identity (typically 1, 2, 3, etc.) or, in
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`the case of the TSG itself, the letter “P”; (3) i: Normally the hyphen character “-”;
`
`(4) nn: the calendar year of the meeting to which the document was submitted; (5)
`
`zzzz: a running number (some Working Groups use 5 digits).
`
`34.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, from December 1998
`
`onwards, 3GPP published all of its T-docs and all final versions of its technical
`
`specifications on its ftp server, which has always been easily and publicly accessible
`
`from its website and currently resides at ftp.3gpp.org.
`
`35. As early as December 1998, 3GPP’s ftp server was freely accessible to
`
`the general public with no login, password, or membership requirement.
`
`36. By 1999, at least 100 companies were members of 3GPP (by December
`
`2020: 719 companies), ranging from Bosch to Ericsson to Nokia to Samsung and
`
`generally including those interested in the discussion, creation, and adoption of
`
`cellular telecommunications standards, including UMTS. Each of these companies
`
`typically delegated multiple individuals to regularly participate in 3GPP meetings.
`
`Further, pursuant to 3GPP’s standard business practices, 3GPP working groups sent
`
`emails notifying these individuals as soon as new or additional documents had been
`
`uploaded to 3GPP’s ftp server. Thus, not only did the general public have access to
`
`the documents on the ftp server, but some of the most interested members of the
`
`public—those working to develop standards for cellular telecommunication or
`
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`working to implement the standards—were personally informed of their availability
`
`by email. Based on my experience with 3GPP and the telecommunications industry,
`
`I would expect any person implementing a cellular network or device, e.g., an
`
`UMTS, LTE, or 5G network or device, to consult the corresponding specifications
`
`on the 3GPP ftp server, as well as other related documents. The whole purpose of
`
`3GPP creating and making these specifications available was so that engineers and
`
`other individuals would have ready access to them when developing and
`
`implementing cellular networks and devices.
`
`37. By June 1999, 3GPP’s ftp server was well-known to persons in the
`
`cellular telecommunications industry as a source of public information regarding
`
`industry standards and technological advances.
`
`38.
`
`3GPP specifications bear a specification number consisting of four or
`
`five digits, e.g., 09.02 or 29.002. The first two digits define the specification series
`
`which are defined to group the different aspects of the 3GPP system into e.g.,
`
`requirements, service aspects, radio aspects codecs, security aspects, and test
`
`specifications. The series digits are followed by two additional digits for the 01 to
`
`13 series or three further digits for the 21 to 55 series. The subjects of the individual
`
`specification
`
`series
`
`are
`
`explained
`
`on
`
`3GPP’s
`
`website
`
`at
`
`https://www.3gpp.org/specifications/specification-numbering,
`
`and
`
`reproduced
`
`below:
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`39.
`
`The LTE radio standard is covered in the “36 series” and is further
`
`subdivided into separate sections or specifications. The LTE radio specification
`
`starts at TS 36.101 and ends at TR 36.978. Excluding withdrawn specifications, the
`
`LTE standard consists of more than 250 specifications. Each specification can span
`
`from a few pages to hundreds of pages. One full version of the LTE standard is
`
`massive, spanning tens of thousands of pages.
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`In the ordinary course of 3GPP’s regularly conducted business
`
`40.
`
`activities, and pursuant to its standard business practices, T-docs are usually
`
`uploaded to 3GPP’s ftp server and website before the meeting where they are to be
`
`discussed. Documents created or revised during the course of a meeting are normally
`
`uploaded at the latest during the week following the meeting (e.g., the meeting
`
`report of the meeting is usually published for review during the week following
`
`the meeting).
`
`41.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities, and pursuant to its standard business practices, 3GPP maintains archives
`
`that include different versions of the specifications, as well as email communications
`
`to its membership, including emails announcing the uploading of new or additional
`
`documents to 3GPP’s ftp server. These archives are created at the time the emails
`
`are initially sent.
`
`42. At least as early as July 1999, all of 3GPP’s email archives, including
`
`the dedicated email list for TSG RAN WG1 were freely accessible to the
`
`general public at https://list.etsi.org/ with no login, password, or membership
`
`requirement. The screen shot below represents the subscription page of the 3GPP
`
`RAN WG1 email list demonstrating that this webpage is publicly available and that
`
`only email address and name have to be entered to join the email list. Alternatively,
`
`everyone interested can obtain a LISTSERV password for managing subscriptions
`
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`interactively without email confirmations. I can confirm that this webpage looked
`
`similar in 2009 and that subscription was already possible for every interested
`
`individual since the early days of 3GPP in 1999.
`
`
`
`
`
`43. Each of 3GPP’s members companies typically assigned one or more
`
`individuals to regularly participate in these email lists. Thus, not only did the general
`
`public have access to the emails in 3GPP’s email archives, but some of the most
`
`interested members of the public–those working to develop standards for cellular
`
`telecommunication–personally received copies of such emails through their
`
`participation in the email list.
`
`44. By June 1999, 3GPP’s email archives were well-known to persons in
`
`the cellular telecommunications industry as a source of public information and of
`
`17
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`technical specifications, proposals, meeting announcements, technical discussions
`
`and reports regarding industry standards and technological advances.
`
`45. Based on my experience with 3GPP and the telecommunications
`
`industry, I would expect a person interested in the development of cellular standards,
`
`e.g., LTE, to consult the emails archives of the working groups and TSGs that person
`
`is interested in, and/or, to be subscribed to the corresponding email reflectors to
`
`receive any email notifications in real-time.
`
`46.
`
`3GPP specifications almost always are duplicated in at least two and
`
`sometime more locations on the ftp server. One location corresponds to a “snapshot”
`
`of the specifications corresponding to a particular plenary meeting cycle, e.g., the
`
`2018-12 snapshot contains a snapshot of numerous specifications after the December
`
`2018 3GPP plenary meetings. The second location is an “archive” that contains all
`
`versions over time for a given specification. While 3GPP aims to upload the updated
`
`specifications to both locations at the same time, occasionally there may be a small
`
`difference in the upload date, and thus the date stamp, for the same specification
`
`uploaded to the two locations. Additionally, specifications which are not yet
`
`approved (so call “draft” specifications) are available as T-docs at working group
`
`and at plenary meetings (as soon the working group decides to submit the
`
`specification to the plenary meeting for information or approval).
`
`18
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`47. The timestamp on 3GPP’s ftp server shows the date when the document
`
`was uploaded the last time. Thus, the timestamp shows the latest possible date the
`
`document became publicly available and accessible on 3GPP’s ftp server. The given
`
`document might have been available earlier and the original timestamp might have
`
`been overwritten because the document was uploaded again. According to my
`
`experience, this is something which happened quite frequently. Thus, the ftp
`
`timestamp is reliable as the latest possible upload date, but one cannot determine
`
`whether it represents the first upload of a document to the ftp server.
`
`48.
`
`3GPP’s working practice to store their documents on their ftp server, as
`
`described above, has not changed over time. Starting from the first 3GPP meetings
`
`in 1998 until present, all WGs and plenary meetings are represented by dedicated
`
`meeting folders on the ftp server. These meeting folders include the documents
`
`discussed at the meetings. Both the folders and the documents are accessible to the
`
`public. Almost every week, a new meeting folder with the respective documents is
`
`added. In addition to the plenary and WG meeting folders, and some other folders,
`
`there is also the “Specs” folder, which holds all 3GPP specifications including the
`
`aforementioned “snapshot” and archive folders. Since the early days of 3GPP a new
`
`folder is added inside the “Specs” folder after each TSG plenary meeting to hold the
`
`latest versions of specifications approved at those TSG plenary meetings. This is still
`
`3GPP’s working practice today; thus, this practice has not changed over time.
`
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`
`B.
`
`Specific Documents
`1.
`R1-082999
`49. Based on my personal knowledge and my review of 3GPP’s business
`
`records, I recognize Ex. 1006 as a true and correct copy of T-doc R1-082999, which
`
`represents a document submitted by Panasonic with the title “Support of UL/DL
`
`asymmetric carrier aggregation.” The document discusses asymmetric carrier
`
`aggregation in both the uplink (UL) and downlink (DL) for LTE Advanced. On its
`
`face, R1-082999 refers to the RAN WG1 meeting #54 held on August 18-22, 2008,
`
`in Jeju, Korea. Thus, based on my personal knowledge and experience with ETSI’s
`
`and 3GPP’s standard business practices, this information tells me that R1-082999
`
`was available either prior or during that meeting to at least all attending 3GPP
`
`members. The availability of the document is confirmed by the date stamp, August
`
`12, 2008, shown for the corresponding downloadable file (“R1-082999.zip”) on
`
`the
`
`3GPP
`
`ftp
`
`server
`
`at
`
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_54/Docs as can be seen by
`
`the screen shot below.
`
`
`
`20
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`
`50.
`
`In addition, the information for the downloaded and extracted T-doc
`
`file states a last Modified date of “12. August 2008.” Here is a screen shot showing
`
`those file details:
`
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`
`
`
`51. The official meeting report of the RAN WG1 meeting #54 held on
`
`August 18 – 2 2, 2008, in Jeju, South Korea can be found in Appendix B.
`
`According to the 3GPP website at https://portal.3gpp.org/Meetings.aspx#/ which is
`
`shown by the screen shot below, that meeting was attended by 151 individuals (out
`
`of 233 registered participants):
`
`
`
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`
`52. The meeting report mentions T-doc R1-082999 on page 59 which
`
`clearly indicates that the document was available at the meeting. The screen shot
`
`below shows an excerpt of page 59 of the meeting report:
`
`
`
`
`
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`
`53.
`
`Furthermore,
`
`the
`
`document
`
`was
`
`distributed
`
`via
`
`the
`
`3GPP_TSG_RAN_WG1 email exploder on August 13, 2008, as shown in
`
`Appendix C. At that time this email exploder had more than 1000 subscribers as can
`
`be
`
`seen
`
`by
`
`the
`
`Internet
`
`Archive
`
`at
`
`https://web.archive.org/web/20080919101919/http://list.etsi.org/.
`
`54.
`
`Thus, based on my personal knowledge and experience with ETSI’s
`
`and 3GPP’s standard business practices, this information tells me that this document
`
`was available to all 3GPP members and the general public by August 12, 2008, at
`
`the latest.
`
`R1-090792
`2.
`55. Based on my personal knowledge and my review of 3GPP’s business
`
`records, I recognize Ex. 1007 as a true and correct copy of T-doc R1-090792, which
`
`represents a document submitted by Motorola with the title “Control Signalling
`
`Design for Supporting Carrier Aggregation.” The document discusses various DL
`
`control signaling design options to support the extension of bandwidth for LTE
`
`Advanced. On its face, R1-090792 refers to the RAN WG1 meeting #56 held on
`
`24
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`February 9-13, 2009, in Athens, Greece. Thus, based on my personal knowledge
`
`and experience with ETSI’s and 3GPP’s standard business practices, this
`
`information tells me that R1-090792 was available either prior or during that
`
`meeting to at least all attending 3GPP members. The availability of the document
`
`is confirmed by the date stamp, February 3, 2009, shown for the corresponding
`
`downloadable
`
`file
`
`(“R1-090792.zip”) on
`
`the 3GPP
`
`ftp
`
`server
`
`at
`
`https://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_56/Docs as can be seen by
`
`the screen shot below.
`
`25
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`In addition, the information for the downloaded and extracted T-doc
`
`56.
`
`file states a last Modified date of “3. February 2009.” Here is a screen shot showing
`
`those file details:
`
`
`
`
`
`26
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`Declaration of Friedhelm Rodermund
`Patent No. 9,860,044
`57. The official meeting report of th
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