UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`In re Patent Of: Godo Kaisha IP Bridge 1
`U.S. Patent No.: 8,077,594 B2
`Issue Date:
`December 13, 2011
`Appl. Serial No.: 12/853,582
`Filing Date:
`August 10, 2010
`Title:
`RADIO COMMUNICATION BASE STATION DEVICE
`AND CORRELATION SETTING METHOD
`
`_______________
`
`DECLARATION OF ANTTI TOSKALA
`
`Exhibit 1030
`IPR2022-00726
`U.S. Patent 8,077,594
`
`
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`In re Patent Of: Godo Kaisha IP Bridge 1
`U.S. Patent No.: 8,077,594 B2
`Issue Date:
`December 13, 2011
`Appl. Serial No.: 12/853,582
`Filing Date:
`August 10, 2010
`Title:
`RADIO COMMUNICATION BASE STATION DEVICE
`AND CORRELATION SETTING METHOD
`
`_______________
`
`DECLARATION OF ANTTI TOSKALA
`
`Exhibit 1030
`IPR2022-00726
`U.S. Patent 8,077,594
`
`
`
`1.
`
`I have been asked by Nokia of America Corp. (“Nokia”) to provide this
`
`declaration to describe how certain documents that were drafted and adopted by the
`
`Third Generation Partnership project (“3GPP”) were disseminated and made
`
`available to the general public. I understand that this declaration is in support of an
`
`inter partes review (“IPR”) of U.S. Patent No. 8,077,594 (“the ’594 patent”).
`
`2.
`
`In preparation of this declaration, I reviewed Exhibits 1003, 1004,
`
`1005, 1012, 1013, 1016, and Appendices A-L below.
`
`a. Exhibit 1003: 3GPP TR 25.814 V7.1.0 (2006-09) Technical Report, 3rd
`
`Generation Partnership Project; Technical Specification Group Radio
`
`Access Network; Physical Layer Aspects for Evolved Universal
`
`Terrestrial Radio Access (UTRA) (Release 7)
`
`b. Exhibit 1004: R1-072296, TSG-RAN Working Group 1 Meeting #49;
`
`Agenda Item 7.11.2; UL Sounding
`
`c. Exhibit 1005: TS 36.300 V8.0.0, 3rd Generation Partnership Project;
`
`Technical Specification Group Radio Access Network; Evolved
`
`Universal Terrestrial Radio Access (E-UTRA) and Evolved Universal
`
`Terrestrial Radio Access Network (E-UTRAN); Overall description;
`
`Stage 2 (Release 8)
`
`
`
`d. Exhibit 1012: R1-073172, TS 36.211 V1.2.0, 3rd Generation
`
`Partnership Project; Technical Specification Group; Radio Access
`
`Network; Physical Channels and Modulation (Release 8)
`
`e. Exhibit 1013: 3GPP TS 36.213 V1.2.0 (2007-05) Technical
`
`Specification, 3rd Generation Partnership Project; Technical
`
`Specification Group Radio Access Network; Physical Layer
`
`Procedures (Release 8)
`
`f. Exhibit 1016: TS 36.211 V1.2.0, 3rd Generation Partnership Project;
`
`Technical Specification Group; Radio Access Network; Physical
`
`Channels and Modulation (Release 8)
`
`g. Appendix A: Linkedin Profile Page of Antti Toskala
`
`h. Appendix B: Archive of email discussing TS 36.211 v1.2.0, available
`
`at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;59a4e
`
`81f.0707&S=
`
`i. Appendix C: Archive of email discussing TS 36.211 v1.2.1, available
`
`at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;947e7
`
`e9.0707&S=
`
`2
`
`
`
`j. Appendix D: Archive of email attaching Report from TSG RAN WG1
`
`#49,
`
`available
`
`at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;9a709
`
`85d.0705C&S=
`
`k. Appendix E: Report from TSG RAN WG1 #49, available to download
`
`at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;9a709
`
`85d.0705C&S=
`
`l. Appendix F: Report from TSG RAN #35, available to download at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN;4ec5b51c.07
`
`03&S=
`
`m. Appendix G: Archive of email attaching Report from TSG RAN #35,
`
`available
`
`at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN;4ec5b51c.07
`
`03&S=
`
`n. Appendix H: Report from TSG RAN #33, available to download at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN;d51f031a.06
`
`09&S=
`
`o. Appendix I: Archive of email attaching Report from TSG RAN #33,
`
`available
`
`at:
`
`3
`
`
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN;d51f031a.06
`
`09&S=
`
`p. Appendix J: Report from TSG RAN1 #49bis, available to download at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;bce28
`
`24f.0707&S=
`
`q. Appendix K: Archive of email attaching Report from TSG RAN1
`
`#49bis,
`
`available
`
`at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;bce28
`
`24f.0707&S=
`
`r. Appendix L: Archive of email attaching R1-072296, available at:
`
`https://list.etsi.org/scripts/wa.exe?A2=3GPP_TSG_RAN_WG1;30b3d
`
`570.0705A&S=
`
`3.
`
`In forming the opinions expressed within this declaration, I have
`
`considered:
`
`a. The exhibits listed above;
`
`b. My own academic background, knowledge, and professional
`
`experiences in the field of wireless communications and 3GPP
`
`standards-development, as described below.
`
`4
`
`
`
`I.
`
`PROFESSIONAL BACKGROUND
`
`4.
`
`My qualifications and professional experience are described in my
`
`LinkedIn page, a copy of which has been submitted as Appendix A. The following
`
`is a more extensive summary of my relevant qualifications and professional
`
`experience.
`
`5.
`
`I graduated from the Tampere University of Technology, Finland with
`
`a Masters in Electrical Engineering in 1995. I initially joined Nokia while
`
`completing my master’s thesis on CDMA technology in 1994. I was hired as a
`
`master’s thesis worker, before joining full-time in 1995 upon graduation.
`
`6.
`
`Since I joined Nokia, I have held a number of positions relating to the
`
`Nokia’s standardization efforts from 1997 to present. I headed Nokia’s 3GPP RAN
`
`standardization efforts during the standardization of 4G & 5G, and am still employed
`
`by Nokia in Espoo as a Bell Labs Fellow, now heading all of their 3GPP
`
`standardization efforts.
`
`7.
`
`During my career of over twenty years working with 3GPP standards,
`
`I have co-authored several 3GPP technical documents and other related references,
`
`including dozens of Tdocs, and hundreds of RAN WG1 listserv emails. Throughout
`
`my career and to this day, I continuously visit(ed) the 3GPP and ETSI document
`
`servers and have remained familiar with 3GPP and ETSI document handling
`
`practices.
`
`5
`
`
`
`8.
`
`Over more than two decades, I have experience working as a 3GPP
`
`delegate, as the head of Nokia’s 3GPP RAN standardization efforts during the
`
`standardization of 4G & 5G, and now as head of all Nokia’s 3GPP standardization.
`
`I was also the 3GPP TSG RAN1 Chairman from 1998-2003, and was responsible
`
`for development of the 3GPP physical layer standards. Based on my experience, I
`
`am knowledgeable about how the 3GPP standards are developed across the working
`
`groups and how 3GPP documents are drafted, distributed, stored and made available
`
`to the public without restriction.
`
`9.
`
`By working extensively with 3GPP standardization, I have become
`
`very familiar with 3GPP’s processes for drafting and publishing final specifications,
`
`draft standards, and standards-related contributions that are publicly available –
`
`including from 1998 to the present, when I was overseeing Nokia employees
`
`attending or monitoring various 3GPP Working Groups, including RAN WG1
`
`throughout 2006-2007. In the 2006-2007 I personally was also monitoring various
`
`3GPP Working Groups, including RAN WG1.
`
`10.
`
`For purposes of my analysis in this declaration, I have been informed
`
`by counsel that a person of ordinary skill in the art (“POSITA”) in the field of the
`
`’594 Patent in the 2006-2007 timeframe, would include someone who had the
`
`equivalent of an undergraduate degree in Electrical Engineering, Computer Science,
`
`or Computer Engineering; and (2) at least two years of experience in design,
`
`6
`
`
`
`development, and/or testing of cellular networks. I have been informed by counsel
`
`that such a person would have been familiar with the public discussion and proposals
`
`made as part of the 3GPP LTE standards-setting body. Moreover, I recognize that
`
`additional education may substitute for some of the experience, and experience may
`
`substitute for some of the educational background.
`
`11. Based on my years of experience working in various capacities with
`
`3GPP and 3GPP standards issues, I am familiar with the regular business practices
`
`of 3GPP relating to technical documents including specifications, draft standards
`
`and proposals, and standards-related technical contributions – including the business
`
`practices through which 3GPP makes these documents public, as set forth below.
`
`II.
`
`3GPP Experience
`
`12.
`
`In the 2006-2007 timeframe, 3GPP consisted of four Technical
`
`Specifications Groups (“TSGs”), also called “plenary groups.” One of those plenary
`
`groups being the Radio Access Network (RAN) TSG.
`
`13.
`
`Each of the plenary groups, in turn, consisted of a number of working
`
`groups. For example, TSG-RAN had five working groups: Working Group 1 – Radio
`
`Layer 1 (“RAN-1” or “R1”); Working Group 2 – Radio Layer 2 (“RAN-2” or “R2”);
`
`Working Group 3 – Radio Resource Control (“RAN-3” or “R3”); Working Group 4
`
`– Radio performance and Protocol Aspects (“RAN-4” or “R4”); and Working Group
`
`5 – Mobile Terminal Conformance Testing (“RAN-5” or “R5”).
`
`7
`
`
`
`14.
`
`In my experience, the working groups met approximately every month
`
`and had primary responsibility for drafting and editing reports, specifications, and
`
`change requests. The reports, specifications, and change requests then had to be
`
`approved by the plenary group, which met roughly every three months. Meetings for
`
`each plenary and working group were numbered sequentially (e.g., TSG-RAN,
`
`Meeting #14 (“RAN-14”); R2, Meeting #22 (“R2-22”)). The members of the plenary
`
`and working groups were typically employees of various companies in the
`
`telecommunications industry.
`
`15. My work with standardization began in 1997 when I was named the
`
`Nokia representative for 3G technology standardization with the European
`
`Telecommunications Standards Institute (ETSI). Then, in early 1998 I became the
`
`chairman of ETSI Special Mobile Group 2 UMTS Layer 1, which dealt with the then
`
`current 3G physical layer specifications.
`
`16.
`
`3GPP was then formed in 1998, and I became the 3GPP liaison for
`
`Nokia, along with being selected as the 3GPP Radio Access Network Working
`
`Group 1 Chairman. I held this role until 2003, in which time I oversaw the
`
`development of 3GPP physical layer standard Release ’99, Release 4, Release 5, and
`
`the start of Release 6. In the 2006-2007 timeframe, I was overseeing Nokia’s 3GPP
`
`RAN standardization efforts, and continued to do so throughout the standardization
`
`of 4G & 5G, and now head all Nokia’s 3GPP standardization.
`
`8
`
`
`
`III.
`
`3GPP Documents
`
`17.
`
`The development of technical specifications and the documentation
`
`relevant to that development has always been a very structured process at 3GPP.
`
`18. As explained earlier, each 3GPP working group met roughly every
`
`month and was responsible for drafting and editing specifications and proposing
`
`change requests. The drafts and proposed change requests were approved by the
`
`relevant plenary group, which met approximately every three months.
`
`A. Technical Reports
`
`19. When there were new concepts to discuss, the working group would
`
`start a technical report (“TR”) (e.g., “TR 25.825”) to further develop those ideas.
`
`Technical reports follow specific procedures for naming and changing 3GPP
`
`documents, and for naming files on 3GPP’s publicly available servers. These
`
`procedures are followed because it is very important that the changes that are brought
`
`into the standard, from the past, at present, and in the future, are well documented
`
`and controlled, so that technical consistency and backwards tracing are ensured. As
`
`such, the title of a TR document follows a structured numbering system that provides
`
`details regarding the subject matter and technology to which the TR document
`
`pertains. The number system is 3GPP TR aa.bbb Vx.y.z (yyyy-mm):
`
` aa is the “series” number to which the specification belongs (e.g., “23
`
`Series” corresponds to Technical realization (“stage 2”)).
`
`9
`
`
`
` bbb is the “report” number; if the number begins with an “8” that
`
`indicates that it is not intended to be transposed into publications by
`
`3GPP’s Organizational Partners; if the number begins with a “9” that
`
`indicates that it is to be further disseminated by 3GPP’s Organizational
`
`Partners.
`
` Vx.y.z is Version x.y.z where x is 1 if the document is presented to TSG
`
`for information; x is 2 if the document is presented to TSG for approval;
`
`and x is 3 or greater to indicate that it is a TSG approved document
`
`under change control (at this stage the number corresponds to the 3GPP
`
`release number); y is incremented every time a change of substance
`
`occurs (i.e., technical enhancements, corrections, updates, etc.) and
`
`when the TSG approves one or more Change Requests (y is reset to zero
`
`every time the x field is incremented); and z is incremented when purely
`
`editorial changes have been incorporated in the document (z is also reset
`
`to zero every time the y field is incremented or reset to zero).
`
` yyyy is the year that the relevant TSG or Working Group approved the
`
`document.
`
` mm is the month that the relevant TSG or Working Group approved the
`
`document.
`
`10
`
`
`
`20.
`
`The format for the filename of a TR document on the 3GPP server at
`
`least includes aabbb_xyz, which provides information regarding the contents and
`
`stage of development of the contents of the document (e.g., “TR-25.858”).
`
`B. Technical Specifications
`
`21. When there was sufficient consensus on a TR, the working group
`
`moves the concepts of the TR into a normative or technical specification (TS) (e.g.,
`
`“TS-36.211”). Exhibit 1012 is a true and accurate copy of 3GPP TS 36.211 V1.2.0
`
`(June 2007), 3rd Generation Partnership Project; Technical Specification Group;
`
`Radio Access Network; Physical Channels and Modulation (Release 8). The title of
`
`a TS document follows the same structured numbering system to that of the TR
`
`documents that provides details regarding the subject matter and technology to
`
`which the TS document pertains. The number system is 3GPP TS aa.bbb Vx.y.z
`
`(yyyy-mm):
`
` aa is the “series” number to which the specification belongs (e.g., “23
`
`Series” corresponds to Technical realization (“stage 2”)).
`
` bbb is the “specification” number.
`
` Vx.y.z is Version x.y.z where x is 1 if the document is presented to TSG
`
`for information; x is 2 if the document is presented to TSG for approval;
`
`and x is 3 or greater to indicate that it is a TSG approved document
`
`under change control (at this stage the number corresponds to the 3GPP
`
`11
`
`
`
`release number); y is incremented every time a change of substance
`
`occurs (i.e., technical enhancements, corrections, updates, etc.) and
`
`when the TSG approves one or more Change Requests (y is reset to zero
`
`every time the x field is incremented); and z is incremented when purely
`
`editorial changes have been incorporated in the document (z is also reset
`
`to zero every time the y field is incremented or reset to zero).
`
` yyyy is the year that the relevant TSG or Working Group approved the
`
`document.
`
` mm is the month that the relevant TSG or Working Group approved the
`
`document.
`
`22.
`
`Like TR documents, the format for the filename of a TS document on
`
`the 3GPP server at least includes aabbb_xyz, which provides information regarding
`
`the contents and stage of development of the contents of the document.
`
`C. Temporary Documents (“TDocs”)
`
`23.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, all members may make
`
`contributions for consideration by the Technical Specification Group or Working
`
`Group. Such documents are referred to as “temporary documents,” and are
`
`commonly referred to as “TDocs.” Before, during, and after meetings, all TDocs are
`
`distributed to all of the members of the TSG or WG to which they pertain, and all T-
`
`12
`
`
`
`docs are made publicly available on 3GPP’s servers. Exhibit 1004 is a true and
`
`accurate copy of TSG-RAN Working Group 1, Meeting Number 49, TDoc R1-
`
`072296, UL Sounding, prepared by contributing members Nokia and Nokia Siemens
`
`Networks for Meeting Number 49 held on or between May 7-11, 2007 in Kobe,
`
`Japan (“R1-072296”).
`
`24.
`
`Each TSG or WG selects 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. This
`
`numbering system has six logical elements: (1) x: a single letter corresponding to
`
`the TSG; where x is one of R (Radio Access Network), N (Core Network), S (Service
`
`and System Aspects), T (Terminals), G (GSM/EDGE Radio Access Network), C
`
`(Core network and Terminals); (2) m: A single character corresponding to the
`
`Working Group identity (typically 1, 2, 3, etc.) or, in the case of the TSG itself, the
`
`letter “P”; (3) i: Normally the hyphen character "-", although it may take on other
`
`values depending on the nature of the meeting at which the document is presented,
`
`e.g. the identity of a subgroup, or an “h” to indicate an ad hoc meeting; (4) nn: two
`
`digits to indicate the year, i.e. 99, 00, 01, etc; and (5) zzzz: A unique number of the
`
`document.
`
`25.
`
`In the 2006-2007 timeframe, if a 3GPP delegate wanted to contribute,
`
`for example, a change request to a TR or TS document, the member first requested
`
`13
`
`
`
`a document number from the secretary of the TSG or WG. A unique number was
`
`then created based on a format for that TSG or WG, like the example disclosed in
`
`the preceding paragraph, and assigned to that member. At that point, the number and
`
`title for that contribution is fixed, and the filename for the document that is stored
`
`on the publicly available 3GPP server is that fixed number.
`
`D. Email Exploder
`
`26.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, TDocs and discussion
`
`documents were also often distributed using 3GPP’s public email exploders both
`
`before, during, and after meetings. In my experience, when an email was sent to the
`
`exploder list, the email and any attachments were immediately available to (1) any
`
`members of the public who subscribed to the list; and (2) any members of the public
`
`who navigated to the email exploder’s online archive that is maintained by one of
`
`3GPP’s Organizational Partners, the European Telecommunications Standards
`
`Institute (ETSI): http://list.etsi.org/scripts/wa.exe?INDEX. Emails and documents
`
`uploaded to 3GPP’s publicly-available, unrestricted, online email exploder archive
`
`would receive a time and date stamp. In my experience, all emails and documents
`
`are retained on the 3GPP’s email exploder archive indefinitely, and the date and time
`
`stamp for each email and document can be relied upon to indicate when the upload
`
`occurred.
`
`14
`
`
`
`IV.
`
`3GPP Document Submissions / Retention
`
`A. 3GPP Specifications Page
`
`27.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, documents uploaded to the
`
`publicly-available, unrestricted, online FTP server would receive a date and time
`
`stamp. Take, for example, TS-36.211 V1.2.0 (Exhibit 1016). In 2007, any member
`
`of the public could navigate to this TDoc through the “Specifications” link:
`
`Available at: https://web.archive.org/web/20070707102325/http://www.3gpp.org/
`
`(highlighting added).
`
`15
`
`
`
`28. An interested member of the public could locate specifications by
`
`navigating to the Specifications page, which provided direct access to the various
`
`3GPP specifications through the 3GPP file repository or FTP.
`
`Available at:
`
`https://web.archive.org/web/20070707102958/http://www.3gpp.org/specs/specs.ht
`
`m
`
`29.
`
`In 2007, the specifications were organized by release date, which was
`
`listed on the left hand side on the chart in the column titled “year-month.” The Status
`
`16
`
`
`
`List within the “latest status column” included a chart of all Technical Specifications
`
`(“TS”) and Technical Reports (“TR”) in that particular Release, including the TR or
`
`TS number, the title, the version number, and the Working Group responsible for
`
`that specification or report. The “specs directory” column provided access to the
`
`FTP for the corresponding release date.
`
`30. Any interested member of the public would know which specification
`
`to look at based on the subject matter they were interested in. The public would know
`
`to follow updates from the particular Working Group responsible for the specific
`
`technology of interest, and could narrow the set of specifications that were relevant
`
`to their search based on the series number of the specification, for example “LTE
`
`Radio Technology” for series ID “36.” With this understanding, interested members
`
`of the public were able to search through the titles and descriptions of a narrowed
`
`set of specifications to identify which particular specification they were interested
`
`in. These 3GPP specifications were searchable and indexed by public search engines
`
`such as Google.
`
`B. 3GPP File Transfer Protocol (“FTP”)
`
`31.
`
`In the ordinary course of 3GPP’s regularly-conducted business
`
`activities and pursuant to its standard business practices, 3GPP also published all
`
`proposals, technical reports, technical specifications and other documents related to
`
`the development of cellular telecommunications standards to 3GPP’s publicly-
`
`17
`
`
`
`available, unrestricted, online FTP server: http://www.3gpp.org/FTP/. Draft
`
`proposals, technical reports, technical specifications, change requests, and other
`
`documents (“TDocs”) were assigned a document number (“TDoc number”) and
`
`uploaded to 3GPP’s public FTP server before, during, and after meetings. Making
`
`the documents publicly available encouraged discussion and promoted
`
`establishment of industry standards for cellular telecommunications. All TDocs,
`
`technical reports, and technical specifications were also indexed, and searchable,
`
`with interested members of the public knowing about the 3GPP website, and the
`
`3GPP documents that were available through the 3GPP website and FTP.
`
`32.
`
`It is my recollection that during the 2006-2007 timeframe, when I was
`
`overseeing Nokia’s Radio Access Network standardization efforts, any interested
`
`member of the public could locate particular TDocs or other 3GPP documents using
`
`reasonable diligence in conjunction with the TDoc’s naming convention and the
`
`3GPP FTP’s indexing scheme. The 3GPP FTP is organized such that documents are
`
`grouped according to the relevant specification groups, then further split up by
`
`relevant working group, then further split up again by the chronological meetings at
`
`which documents were presented. Interested members of the public would have
`
`known where to find working groups they would be interested in based on the subject
`
`matter of their query, and would be able to further limit their search to the relevant
`
`time frame they were interested in.
`
`18
`
`
`
`33.
`
`For example, interested members of the public that wanted to know
`
`more about radio access networks could look at the documents available on the
`
`3GPP FTP related to the TSG RAN working group.
`
`Available at:
`
`https://web.archive.org/web/20070707103137/http://www.3gpp.org/FTP/
`
`(highlighting added).
`
`34.
`
`If interested members of the public wanted to more particularly look at
`
`documents related to Layer 1 or Physical Layer protocols of Radio Access Networks,
`
`they would know to search the WG1_RL1 a.k.a. RAN WG1 or RAN1 group.
`
`19
`
`
`
`Available at:
`
`https://web.archive.org/web/20070702022045/http://www.3gpp.org/FTP/tsg_ran/
`
`(highlighting added).
`
`35. Once an interested member of the public had located the RAN WG1
`
`documents, they could further refine their search by looking at specific meetings
`
`based on the relevant timeframe:
`
`20
`
`
`
`Available at:
`
`https://web.archive.org/web/20070701153949/http://www.3gpp.org/FTP/tsg_ran/
`
`WG1_RL1/ (highlighting added).
`
`36. Within meeting 49, for example, an interested member of the public
`
`could look to the meeting report for a summary of the documents presented in that
`
`meeting, and any related discussion.
`
`21
`
`
`
`Available at:
`
`https://web.archive.org/web/20071116150832/http://www.3gpp.org/FTP/tsg_ran/
`
`WG1_RL1/TSGR1_49/ (highlighting added).
`
`37.
`
`If any documents or discussion were noteworthy, an interested
`
`member of the public could navigate to the list of documents, which included
`
`every document submitted and / or presented at the meeting.
`
`Available at:
`
`https://web.archive.org/web/20071116150832/http://www.3gpp.org/FTP/tsg_ran/
`
`WG1_RL1/TSGR1_49/ (highlighting added).
`
`38. An interested member of the public could then choose whichever
`
`document they were interested in.
`
`22
`
`
`
`Available at:
`
`https://web.archive.org/web/20070717162051/http://www.3gpp.org/FTP/tsg_ran/
`
`WG1_RL1/TSGR1_49/Docs/ (highlighting added).
`
`39. Documents uploaded to the publicly-available, unrestricted, 3GPP FTP
`
`server would receive a date and time stamp. In my experience, all documents are
`
`retained on the public 3GPP server indefinitely, and the date and time stamp can be
`
`relied upon to indicate when the upload occurred. Here, R1-072296 was uploaded to
`
`the FTP site no later than May 2, 2007.
`
`40.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, the TSGs would also
`
`formally approve incremental versions of the standards (e.g., V1.0.0, V1.1.0, etc.).
`
`23
`
`
`
`These formally-approved versions were made available on the 3GPP specifications
`
`page discussed previously. For example, in 2007, TS 36.300 V8.0.0 (Ex. 1005) was
`
`available to any member of the public through navigating to the 3GPP specifications
`
`page and selecting the March, 2007 (2007-03) release.
`
`24
`
`
`
`Available at
`
`https://web.archive.org/web/20070707102958/http://www.3gpp.org/specs/specs.ht
`
`m (highlighting added).
`
`41.
`
`In July of 2007, selecting the March 2007 release took the interested
`
`member of the public to that particular release on the FTP.
`
`25
`
`
`
`Available at
`
`https://web.archive.org/web/20070701035643/http://www.3gpp.org/FTP/specs
`
`(Highlighting added).
`
`42.
`
`From there, an interested member of the public could select Release 8,
`
`for example, to see all specifications available in release 8.
`
`Available at
`
`https://web.archive.org/web/20070704004126/http://www.3gpp.org/FTP/specs/200
`
`7-03/ (Highlighting added).
`
`43. An interested member of the public could then select the 36 series, to
`
`see all 36 series technical specifications available within release 8 at that time.
`
`26
`
`
`
`Available at
`
`https://web.archive.org/web/20070510021407/http://www.3gpp.org:80/FTP/Specs/
`
`2007-03/Rel-8/ (Highlighting added).
`
`44. An interested member of the public could then select 36300-800.zip,
`
`which contains 3GPP TS 36.300 V8.0.0.
`
`27
`
`
`
`Available at
`
`https://web.archive.org/web/20070505103228/http://www.3gpp.org/FTP/Specs/20
`
`07-03/Rel-8/36_series/
`
`45. Documents uploaded to the publicly-available, unrestricted, online
`
`3GPP specifications page would receive a time and date stamp. In my experience,
`
`all standards are retained on the 3GPP specifications page indefinitely, and the date
`
`stamp for each standard can be relied upon to indicate when the upload occurred.
`
`Here, TS 36.300 V8.0.0 was uploaded to the FTP site no later than April 6, 2007,
`
`and therefore was available to any interested member of the public from that day
`
`onward.
`
`46.
`
`In addition to the logical document storage mechanism offered by
`
`3GPP and ETSI, because each of the (1) 3GPP FTP server, (2) 3GPP Specifications
`
`Page, and (3) email exploder’s online archive were freely available on the internet
`
`in 2006 and 2007, the documents stored on each of those servers were and are fully
`
`searchable and available to users via conventional search engines like, for example,
`
`the Google search engine.
`
`V.
`
`SPECIFIC REFERENCES
`
`47.
`
`In the following paragraphs, I identify specific 3GPP documents that I
`
`reviewed in connection with this IPR.
`
`28
`
`
`
`48.
`
`For each document available on the public 3GPP FTP server, I
`
`navigated to the relevant file, as described above. Further, I reviewed the publicly-
`
`available file in order to confirm that it had been correctly uploaded to the public
`
`3GPP FTP server. Based on my experience, the date and time stamp for each file
`
`can be relied upon to indicate when the upload occurred.
`
`49.
`
`For each technical standard available on the 3GPP specifications page,
`
`I navigated to the relevant technical standard and version number, as described
`
`above. I reviewed the publicly-available technical standard in order to confirm that
`
`it had been correctly uploaded to 3GPP’s specifications page. In my experience, the
`
`date stamp for each technical standard can be relied upon to indicate when the upload
`
`occurred.
`
`50.
`
`For each email and document available on 3GPP’s email exploder
`
`archive, I navigated to the relevant email, as described above. I reviewed the
`
`publicly-available email and its attachments in order to confirm that they had been
`
`correctly uploaded to 3GPP’s email exploder archive. In my experience, the date and
`
`time stamp for each email and document available on 3GPP’s email exploder archive
`
`can be relied upon to indicate when the upload occurred.
`
`A. 3GPP TR 25.814 V7.1.0 (2006-09) Technical Report, 3rd Generation
`
`Partnership Project; Technical Specification Group Radio Access
`
`29
`
`
`
`Network; Physical Layer Aspects for Evolved Universal Terrestrial
`
`Radio Access (UTRA) (Release 7) (Ex. 1003)
`
`51.
`
`TR 25.814 V7.1.0 is a 3GPP Technical Report titled “3rd Generation
`
`Partnership Project; Technical Specification Group Radio Access Network; Physical
`
`layer aspects for evolved Universal Terrestrial Radio Access (UTRA) (Release 7)”
`
`(Ex. 1003). TR 25.814 V7.1.0 on its cover page lists a date of (“2006-09”) which
`
`notes the date the RAN working group approved this particular version of the
`
`specification. “2006-09” listed as the date denotes that TR 25.814 V7.1.0 was
`
`approved in September of 2006.
`
`52. As I mentioned above in paragraph 40, 3GPP’s normal business
`
`practice was to incrementally increase version numbers of technical specifications
`
`as they are amended such that the approval of TR 25.814 V7.1.0 necessarily came
`
`after the approval of TR 25.814 V7.0.0 and a subsequent approved change request.
`
`In this instance, TR 25.814 V7.1.0 was generated after TSG RAN #33 approved a
`
`change request to TR 25.814 V7.0.0. The approval is reflected on page 78 of the
`
`meeting report for TSG RAN meeting number 33 taking place in Palm Springs,
`
`USA, from September 19-22, 2006 (Appendix H). This meeting report was
`
`distributed to the TSG RAN listserv on September 25, 2006 (Appendix I).
`
`53. As I discuss in greater detail in Section III, the 3GPP website and FTP
`
`have always been publicly available to all interested parties. I was able to confirm
`
`30
`
`
`
`that TR 25.814 V7.1.0 was publicly available at least by October 2, 2006, by
`
`accessing the 3GPP FTP.
`
`54.
`
`I first directed my web browser to http://www.3gpp.org/, where I
`
`selected the Specifications tab, and then further selected the Specification
`
`Numbering tab from the drop down menu. I then selected the 25 series specifications,
`
`and searched for specification number “25.814” in the search bar. I then select the
`
`glasses icon for the 25.814 specification, which takes me to the available version of
`
`TR 25.814.
`
`Available
`
`at:
`
`https://portal.3gpp.org/Specifications.aspx?q=1&series=19&releases=all&draft=Fa
`
`lse&underCC=False&withACC=False&withBCC=False&numberNYA=False
`
`(Highlighting added).
`
`31
`
`
`
`55.
`
`I then select “click to see all versions of the specification, and scroll
`
`down to version 7.1.0, which shows an upload date of October 2, 2006 (“2006-10-
`
`02”).
`
`Available
`
`at:
`
`https://portal.3gpp.org/desktopmodules/Specifications/SpecificationDetails.aspx?s
`
`pecificationId=1247 (Highlighting added).
`
`56. Clicking on version 7.1.0 downloads a zip file titled 25814-710.zip,
`
`which contains TR 25.814 V7.1.0. The downloaded zip file contains a word
`
`document titled “25814-710.doc” with a date stamp saying it was last modified on
`
`October 2, 2006 (“10/2/2006”). After opening the document titled “25814-710.doc,”
`
`I confirmed that the technical contents are the same as those provided in TR 25.814
`
`32
`
`
`
`V7.1.0. A true and correct copy of the document titled “25814-710.doc” is provided
`
`as Ex. 1003.
`
`57. Based on my experience chairing RAN1 and participating in 3GPP
`
`standardization efforts, I recognize that the date stamps associated with 25814-
`
`710.zip show that it was uploaded to 3GPP’s publicly available website on October
`
`2, 2006. At that time, and in order to stay up-to-date on the current state of
`
`standardization, I was in th
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