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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`
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`LG ELECTRONICS, INC.,
`Petitioner,
`
`v.
`
`CONSTELLATION DESIGNS, LLC,
`Patent Owner.
`
`
`Case No. IPR2023-00228
`U.S. Patent No. 10,693,700
`
`
`DECLARATION OF ALBERT GUILLÉN I FÀBREGAS REGARDING
`PATENT OWNER’S PRELIMINARY RESPONSE FOR INTER PARTES
`REVIEW OF US 10,693,700
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`Constellation Exhibit 2002
`LG Electronics, Inc. v. Constellation Designs, LLC
`IPR2023-00228
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`
`
`Case No. IPR2023-00228
`Patent No. 10,693,700
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`TABLE OF CONTENTS
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`Introduction ..................................................................................................... 2
`I.
`Qualifications .................................................................................................. 2
`II.
`III. Materials Considered ...................................................................................... 4
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`IV.
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`
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`IEEE International Symposium on Information Theory in Nice,
`France .............................................................................................................. 5
`V. De Gaudenzi .................................................................................................... 7
`A. De Gaudenzi Uses Only APSK Constellations .................................... 7
`1.
`De Gaudenzi Describes Maintaining Uniform Phase and
`Varying a Ring Ratio of an APSK ............................................. 9
`De Gaudenzi’s Teachings are focused on APSK
`constellations and Not QAM constellations ............................. 10
`De Gaudenzi Describes and is Applicable to Non-
`Hierarchical Constellations ...................................................... 12
`VI. De Gaudenzi’s Optimization Technique Cannot Easily Be Applied to
`Optimize a Hierarchical and Rectangular QAM Constellation .................... 13
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`2.
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`3.
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`1
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`Constellation Exhibit 2002
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`I, Dr. Guillén i Fàbregas, hereby declare as follows:
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`Case No. IPR2023-00228
`Patent No. 10,693,700
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`I.
`
`Introduction
`1. My name is Albert Guillén i Fàbregas. I have been retained in the
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`above-referenced inter partes review proceeding by Constellation Designs, LLC, to
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`evaluate United States Patent No. 10,693,700 (the “’700 patent”) against certain
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`references that are presented by the Petitioner. As detailed in this report, it is my
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`opinion that the Petition does not establish that any of the challenged claims are
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`anticipated or rendered obvious by the references presented by the Petitioner. If
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`requested by the Patent Trial and Appeal Board, I am prepared to testify at trial about
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`my opinions expressed herein.
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`II. Qualifications
`2. I have over twenty years of experience in the field of information theory,
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`coding theory and digital communications. I am currently an Associate Professor
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`in Information and Data Science at the Department of Engineering, University of
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`Cambridge. In my work and research, I have researched and written about
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`Information Theory, Communication Theory, Coding Theory, and Statistical
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`Inference.
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`3.
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`Prior to my appointment at the University of Cambridge, I held
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`appointments at the New Jersey Institute of Technology, Telecom Italia, European
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`2
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`Constellation Exhibit 2002
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`Space Agency, Institut Eurécom, University of South Australia, Universitat
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`Case No. IPR2023-00228
`Patent No. 10,693,700
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`Pompeu Fabra (ICREA Research Professor) and the University of Cambridge.
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`4.
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`I studied and received a Telecommunication Engineering Degree and
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`a Electronics Engineering Degree from Universitat Politècnica de
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`Catalunya and Politecnico di Torino, respectively in 1999. I obtained my Ph.D. in
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`Communication Systems from École Polytechnique Fédérale de Lausanne in
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`2004.
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`5.
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`In addition to my undergraduate and graduate level studies and
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`academic qualifications, I have also received Starting and Consolidator Grants
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`from the European Research Council. Additionally, I am a member of the Young
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`Academy of Europe, Fellow of the Institute of Electrical and Electronics Engineers
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`(IEEE), Fellow of the Institute of Mathematics and its Applications (IMA), Editor
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`of Foundations and Trends in Communications and Information Theory (Now
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`Publishers) and previously of the IEEE Transactions on Information Theory (2013-
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`2020) and IEEE Transactions on Wireless Communications (2007-2011). I was a
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`General co-Chair of the 2016 IEEE International Symposium on Information
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`Theory, Barcelona, July 2016 and a Technical Program Committee (TPC) co-chair
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`of the 2013 IEEE Information Theory Workshop, Sevilla, Sept. 2013. Additionally,
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`I am a TPC co-chair of the 2023 IEEE International Symposium on Information
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`Theory, Taiwan.
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`3
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`Constellation Exhibit 2002
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`I have authored or co-authored over two hundred (200) publications
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`Case No. IPR2023-00228
`Patent No. 10,693,700
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`6.
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`and technical reports in the areas of digital communications, information theory,
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`coding theory, wireless communications, and statistical inference. My publication
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`and patents are listed on my curriculum vitae, which is attached hereto as EX2013.
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`7.
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`As a result of my background in information theory and digital
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`communications, I have extensive knowledge regarding the state of the technical
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`art in this area at the time of filing of the ‘700 patent.
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`8.
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`One of my papers was cited and relied upon by Petitioner.
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`Specifically, I am co-author of the De Gaudenzi reference De Gaudenzi cited by
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`the Petitioner as EX1014, an article titled “Turbo-coded APSK modulations design
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`for satellite broadband communications” which was published in International
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`Journal of Satellite Communications and Networking, Vol. 24, 2006 at pp. 261-
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`281.
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`III. Materials Considered
`9.
`In preparing this declaration, I have reviewed the specification and
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`claims of U.S. Patent No. 10,693,700 (“’700 Patent” (EX1001)) and the file history
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`of the ‘700 patent (EX1002). I understand the ‘700 patent was issued on June 23,
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`2020 from U.S. Patent Application No. 16/726,037, which forms part of a chain of
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`continuations including application Ser. No. 12/156,989 filed Jun. 5, 2008 and
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`4
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`Constellation Exhibit 2002
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`issued on Jul. 12, 2011 as U.S. Pat. No. 7,978,777, which claimed priority to U.S.
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`Patent No. 10,693,700
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`Provisional Application 60/933,319 filed Jun. 5, 2007. (EX1010).
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`10.
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`I have also reviewed the Petition, declaration of Dr. Bertrand
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`Hochwald (EX1003) and all publications and exhibits cited in the Petition and
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`declaration of Dr. Bertrand Hochwald including:
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`• U.S. Patent Publication No. 2004/0054960 to Eroz et al. (“Eroz” EX1004);
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`• ETSI EN 300 744 V1.2.1, Digital Video Broadcasting (DVB); Framing
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`structure, channel coding and modulation for digital terrestrial television,
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`July 1999 (“DVB-T” EX1005);
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`• D. Sommer and G.P. Fettweis, Signal Shaping by Non-Uniform QAM for
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`AWGN Channels and Applications Using Turbo Coding, January 2000
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`(“Sommer” EX1006); and
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`• De Gaudenzi et al. Turbo-coded APSK modulations design for satellite
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`broadband communications, Int. J. Satell. Commun. Network. 2006; 24:261-
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`281, Published online 19 May 2006 in Wiley InterScience (“De Gaudenzi”
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`EX1014).
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`IV.
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`IEEE International Symposium on Information Theory in Nice, France
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`11.
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`I attended the IEEE International Symposium on Information Theory
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`held in Nice, France in June of 2007. I was the co-author of four articles presented
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`5
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`Constellation Exhibit 2002
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`in the symposium and I presented two of them myself. During that symposium, I
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`Case No. IPR2023-00228
`Patent No. 10,693,700
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`attended the presentation of the M. F. Barsoum, C. Jones, and M. Fitz,
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`“Constellation design via capacity maximization” in Proc. IEEE Int. Symp. Inf.
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`Theory, Nice France, June 2007, pp. 1821-1825. It is my understanding that this
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`article formed the basis for U.S. Provisional Patent Application No. 60/933,319
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`and to which the ‘700 patent claims priority.
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`12.
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`I recall, during that symposium in Nice France, thinking that the
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`presentation of the work by Barsoum, Jones and Fitz was genuinely original and
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`interesting. I was impressed by the scope of the work: embarking into a full
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`constellation optimization (both locations and labels) to result in non-uniform (in
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`all degrees of freedom) constellations is a challenging and commendable project. I
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`recall speaking to a colleague regarding the concepts described during the
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`presentation. Despite having worked on the bit-interleaved coded modulation,
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`capacity analysis and information theory for a number of years, I did not make a
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`connection between the materials presented in Nice France and my own work as
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`described in De Gaudenzi.
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`6
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`Constellation Exhibit 2002
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`Case No. IPR2023-00228
`Patent No. 10,693,700
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`V. De Gaudenzi
`A. De Gaudenzi Uses Only APSK Constellations
`13. As noted above, I am a co-author of De Gaudenzi. (EX1014). I
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`personally performed many of the optimizations described in De Gaudenzi and
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`analyzed the performance of the constellations described in De Gaudenzi.
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`14. De Gaudenzi, concerns Amplitude Phase Shift Keying (APSK)
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`constellations, in which the constellation point locations are indicated by two
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`signal characteristics, amplitude and phase. (EX1014 at 4-5). To illustrate, the
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`following figure depicts that a constellation point location can be represented in
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`polar coordinates by a radius (the amplitude) and an angle (the phase).
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`15. Because both amplitude and phase are used to indicate a constellation
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`point’s location, in APSK, different constellation points can have the same
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`amplitude but still be at different locations because they have different phases. For
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`7
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`example, the following figure from De Gaudenzi depicts two “rings” of
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`Patent No. 10,693,700
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`constellation points. (EX1014 at 4-5). Each ring of constellation points has the
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`same amplitude (represented by the radius in the polar coordinates) but each
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`constellation point within the ring has a different phase (represented by the angle in
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`polar coordinates). (EX1014 at 4-5).
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`16. Thus, in this illustrated constellation, each of the bit sequences 0001,
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`0011, 1001, and 1011 have the same amplitude r1 (and thus are positioned on the
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`inner r1 ring) but their locations at that amplitude are distinguished by their
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`different respective phases (positioned at 90 degree intervals around the r1 ring).
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`(EX1014 at 4-5). Likewise, the remaining bit sequences (0000, 0100, 0101, etc.)
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`share the same larger amplitude r2 (and are thus positioned on outer ring r2) but
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`have different locations because of their different phase positions at that
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`ring/amplitude. (EX1014 at 4-5).
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`1.
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`De Gaudenzi Describes Maintaining Uniform Phase and
`Varying a Ring Ratio of an APSK
`17. As explained above, in De Gaudenzi, each constellation point’s
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`location is defined by two signal characteristics, namely the signal’s amplitude and
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`its phase. (EX1014 at 4-5). As part of its optimization process, De Guadenzi
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`places constraints on the available locations including constraints on the number of
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`constellation points located at each ring (amplitude) and the differences in phase
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`for each of those locations. (EX1014 at 4-8).
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`18. For example, De Gaudenzi puts restrictions on the phase aspect of the
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`constellation point locations. (EX1014 at 4). At each ring/amplitude, De Gaudenzi
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`requires that the constellation points be uniformly spaced in phase. (EX1014 at 4-
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`5). In the above 2-ring embodiment, the 4 constellation points at the inner
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`ring/amplitude must be a uniform 90 degrees apart in phase, even if different
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`phases (and thus different locations) would result in improving capacity. (EX1014
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`at 4-8). Likewise, the 12 constellation points at the outer ring/amplitude must be a
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`uniform 30 degrees apart in phase, even if different phases (locations) would result
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`in improving capacity. (EX1014 at 4-5).
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`19. Thus, for each constellation in our optimization process, we
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`preselected the number of points in each ring and required there be a uniform
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`phase spacing between points of each ring. Further, we did not optimize over the
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`individual point locations or labels, only the ring ratio and phase offset.
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`2.
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`De Gaudenzi’s Teachings are focused on APSK
`constellations and Not QAM constellations
`20. My co-authors and I did not develop nor did we describe optimizing
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`rectangular QAM constellations. Moreover, the techniques we did describe in De
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`Gaudenzi could not be easily applied to a rectangular QAM constellation.
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`21. De Gaudenzi’s teachings are focused on improving only the capacity
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`of highly constrained multi-ring APSK constellations in which the amplitude and
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`phase of a signal is modulated. The number of points in each amplitude ring are
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`preselected, and De Gaudenzi teaches optimizing joint capacity by maintaining
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`uniform phase and varying a ring ratio.
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`22. A rectangular QAM constellation modulates (varies) the amplitude of
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`two components of a sinusoid (the in-phase and quadrature components) that are
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`offset in phase by one-quarter cycle. But a rectangular QAM constellation does not
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`10
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`have a ring ratio, rendering the techniques of De Gaudenzi inapplicable to a
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`rectangular QAM constellation.
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`23.
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`In De Gaudenzi, we stated that “[w]e propose new criteria for the
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`design of digital QAM constellations of 16 and 32 points, with special emphasis on
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`the behavior on nonlinear channels.” (EX1014 at 4). This statement in De
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`Gaudenzi refers generally to APSK’s as related to QAM in that APSK’s can be
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`represented in the real and imaginary dimensions. This statement is therefore not to
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`be interpreted as the teachings of De Gaudenzi can directly be applied to a
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`rectangular QAM nor does it suggest the teachings of De Gaudenzi could easily be
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`applied to a rectangular QAM constellation.
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`24. Thus, my co-authors and I did not develop nor did we describe
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`optimizing rectangular QAM constellations. Moreover, the techniques we did
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`describe in De Gaudenzi could not be easily applied to a rectangular QAM
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`constellation. Our statement regarding the design of digital QAM constellations
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`does not suggest our techniques can or should be applied to a rectangular QAM
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`constellation, we merely noted that APSK constellations are related to QAM in that
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`APSK’s are complex-plane constellations, i.e., they can be represented in the real
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`and imaginary dimensions.
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`3.
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`De Gaudenzi Describes and is Applicable to Non-
`Hierarchical Constellations
`25. De Gaudenzi is directed to a non-hierarchical system that supports
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`only one data stream and can only have one associated code rate at a time. The
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`techniques of De Gaudenzi, which sought to improve the capacity of a
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`constellation representing a single data stream, could not easily be applied to a
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`hierarchical constellation in which two data streams are represented.
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`26. De Gaudenzi describes optimizing joint capacity for constellations
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`operated at one code rate at a given time. The techniques of De Gaudenzi could not
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`easily be applied to a constellation operating at two code rates as the same time.
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`27. Thus, my co-authors and I did not develop and did not describe
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`optimizing hierarchical constellations. Instead, our optimization process only
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`considered non-hierarchical APSK constellations in which a single data stream is
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`represented and which only has one code rate associated with it at any one time. In
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`my opinion, it is not clear or straightforward how to apply the techniques I
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`disclosed in De Gaudenzi to a hierarchical system. For instance, my techniques
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`were directed towards improving joint capacity for a constellation representing a
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`single data stream that could only be used with a single code rate at any one time,
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`and could not be used with a hierarchical constellation having two code rates at
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`any one time.
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`VI. De Gaudenzi’s Optimization Technique Cannot Easily Be Applied to
`Optimize a Hierarchical and Rectangular QAM Constellation
`28.
`In my opinion, De Gaudenzi’s teachings related to non-hierarchical
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`Patent No. 10,693,700
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`APSK constellations cannot easily be applied to DVB-T’s hierarchical QAM
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`constellations. For example, it is not clear or straightforward how the optimization
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`techniques I described in De Gaudenzi could be used to optimize the constellations
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`of DVB-T that required both a high priority code rate and a low priority code rate.
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`29. Further, the constellations that I and my co-authors described were
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`directed towards non-hierarchical APSK systems. These constellations were non-
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`hierarchical and, as a result, required only a single code rate be specified at any
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`given time for use with the constellations. In my opinion, it is not clear or
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`straightforward how the optimization techniques I described in De Gaudenzi could
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`be used to optimize the constellations of DVB-T that required both a high priority
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`code rate and a low priority code rate.
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`30. Even further, the technique I describe in De Gaudenzi addresses
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`APSK constellations to improve capacity of a single data stream. It is therefore
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`unclear to me how one even could apply the De Gaudenzi teachings to a
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`hierarchical constellation such as DVB-T’s constellations.
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`31.
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`Indeed, it is not clear how to apply the teachings of uniform phase and
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`varying ring ratio to a rectangular QAM, which is composed of a sinusoid having
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`13
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`two amplitude components offset by 90 degrees and which are independently
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`modulated. It is not clear to me how to apply the teachings of uniform phase and
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`varying ring ratio when there is no ring ratio to vary and no ring phase to maintain
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`as uniform.
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`14
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`Case No. IPR2023-00228
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`I declare that all statements made herein of my knowledge are true, and that all
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`statements made on information and belief are believed to be true, and that these
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`statements were made with the knowledge that willful false statements and the like
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`so made are punishable by fine or imprisonment, or both, under section 1001 of
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`Title 18 of the United States Code.
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`Dated: 14 April 2023
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`Dr. Guillén i Fàbregas
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`15
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`Constellation Exhibit 2002
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