UNITED STATES PATENT AND TRADEMARK OFFICE
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`___________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`___________________
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`VOLKSWAGEN GROUP OF AMERICA, INC.,
`Petitioner,
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`v.
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`NEO WIRELESS LLC,
`Patent Owner.
`
`Case No. IPR2022-01537
`U.S. Patent No. 10,075,941
`_____________________
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`DECLARATION OF SARAH KATE WILSON, PHD
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`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`GM 1003
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
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`TABLE OF CONTENTS
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`B.
`C.
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`I.
`INTRODUCTION ...........................................................................................1
`GROUNDS OF UNPATENTABILITY..........................................................2
`II.
`QUALIFICATIONS........................................................................................3
`II.
`III. MATERIALS CONSIDERED........................................................................5
`IV. LEGAL STANDARDS ...................................................................................9
`A. My Understanding of Claim Construction............................................9
`B. My Understanding of Obviousness.....................................................10
`C. My Understanding of a Person Having Ordinary Skill in the Art ......12
`V. OVERVIEW OF THE ’941 PATENT ..........................................................13
`A.
`Prosecution History of the ’941 Patent ...............................................18
`B.
`IPR2021-01468 of the ’941 Patent......................................................20
`C.
`Level of Ordinary Skill in the Art.......................................................23
`D.
`Claim Construction..............................................................................24
`VI. Background of the Technology .....................................................................25
`A. Orthogonal Frequency Division Multiplexing (OFDM)
`Communication Systems Were Well-known......................................26
`Adapting to Channel Conditions Was Well-known............................36
`Transmitting a Control Message over a Control Channel Was Well-
`known ..................................................................................................40
`Transmission Diversity and Multiple-Input Multiple-Output (MIMO)
`Antenna Schemes Were Well-known .................................................42
`Distributed and Localized Subchannel Configurations Were Well-
`known ..................................................................................................49
`VII. OVERVIEW OF THE APPLIED REFERENCES. ......................................56
`A.
`802.16a ................................................................................................56
`B.
`Heath....................................................................................................67
`C. Walton040 ...........................................................................................74
`D.
`Li017....................................................................................................79
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`D.
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`E.
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`Tufvesson ............................................................................................83
`E.
`VIII. GROUND 1: Claims 1-14 are unpatentable under 35 U.S.C. § 103 as
`obvious over 802.16a, alone or in combination with Heath..........................87
`A. A POSITA would have been motivated to combine 802.16a-2001 and
`802.16a-2003.......................................................................................87
`A POSITA would have been motivated to combine 802.16a and
`Heath....................................................................................................88
`802.16a, alone or in view of Heath, renders obvious claim 1.............99
`Claim 1 Preamble (Element [1A]): A link adaptation method by
`
`a base station serving a plurality of mobile stations in an
`Orthogonal Frequency Division Multiplexing (OFDM)
`communication system, the communication system utilizing a
`transmission structure with time slots in the time domain and
`frequency subchannels in the frequency domain, the method
`comprising:..............................................................................101
`Element [1B]: transmitting a control message to a mobile
`station over a control channel, wherein: .................................104
`Element [1C]: the control message contains transmission
`parameters allocated to the mobile station for a subsequent
`transmission of data by the base station over a frequency
`subchannel to the mobile station in a time slot; and...............110
`Element [1D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............114
`Element [1E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................118
`Element [1F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................122
`Element [1G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................126
`Element [1H]: transmitting a data packet to the mobile station
`over the frequency subchannel in accordance with the mobile
`station-specific transmission parameters. ...............................133
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`802.16a in view of Heath renders obvious claim 6...........................136
`Claim 6 Preamble (Element [6A]): A base station serving a
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`plurality of mobile stations in an Orthogonal Frequency
`Division Multiplexing (OFDM) communication system, the
`communication system utilizing a transmission structure with
`time slots in the time domain and frequency subchannels in the
`frequency domain, the base station comprising a transmitter
`configured to: ..........................................................................138
`Element [6B]: transmit a control message to a mobile station
`over a control channel, wherein:.............................................138
`Element [6C]: the control message contains transmission
`parameters allocated to the mobile station for a subsequent
`transmission of data by the base station over a frequency
`subchannel to the mobile station in a time slot; and...............138
`Element [6D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............138
`Element [6E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................139
`Element [6F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................139
`Element [6G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................139
`Element [6H]: transmitting a data packet to the mobile station
`over the frequency subchannel in accordance with the mobile
`station-specific transmission parameters. ...............................139
`802.16a in view of Heath renders obvious claim 8...........................140
`Claim 8 Preamble (Element [8A]): A link adaptation method by
`
`a mobile station served by a serving base station in an
`Orthogonal Frequency Division Multiplexing (OFDM)
`communication system, the communication system utilizing a
`transmission structure with time slots in the time domain and
`frequency subchannels in the frequency domain, the method
`comprising:..............................................................................141
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`U.S. Pat. No. 10,075,941
`Element [8B]: receiving a control message from the serving
`base station over a control channel, wherein:.........................142
`Element [8C]: the control message contains transmission
`parameters specific to the mobile station for a subsequent
`transmission by the serving base station over a frequency
`subchannel to the mobile station in a time slot; and...............143
`Element [8D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............143
`Element [8E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................143
`Element [8F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................144
`Element [8G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................144
`Element [8H]: receiving a data packet transmitted by the
`serving base station using the mobile station-specific
`transmission parameters over the frequency subchannel........144
`802.16a in view of Heath renders obvious claim 13.........................144
`Claim 13 Preamble (Element [13A]): A mobile station served
`
`by a serving base station in an Orthogonal Frequency Division
`Multiplexing (OFDM) communication system, the
`communication system utilizing a transmission structure with
`time slots in the time domain and frequency subchannels in the
`frequency domain, the mobile station comprising a receiver
`configured to: ..........................................................................146
`Element [13B]: receive a control message from the serving base
`station over a control channel, wherein: .................................146
`Element [13C]: the control message contains transmission
`parameters specific to the mobile station for a subsequent
`transmission by the serving base station over a frequency
`subchannel to the mobile station in a time slot; and...............146
`Element [13D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............147
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`Element [13E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................147
`Element [13F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................147
`Element [13G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................147
`Element [13H]: receive a data packet transmitted by the serving
`base station using the mobile station-specific transmission
`parameters over the frequency subchannel.............................148
`802.16a in view of Heath renders obvious claim 2...........................148
`G.
`802.16a in view of Heath renders obvious claim 3...........................152
`H.
`802.16a in view of Heath renders obvious claim 4...........................153
`I.
`802.16a in view of Heath renders obvious claim 5...........................156
`J.
`802.16a in view of Heath renders obvious claim 7...........................160
`K.
`802.16a in view of Heath renders obvious claim 9...........................161
`L.
`802.16a in view of Heath renders obvious claim 10.........................161
`M.
`802.16a in view of Heath renders obvious claim 11.........................161
`N.
`802.16a in view of Heath renders obvious claim 12.........................162
`O.
`802.16a in view of Heath renders obvious claim 14.........................162
`P.
`IX. GROUND 2: Claims 1-13 are unpatentable under 35 U.S.C. § 103 as
`obvious over Walton040 in view of Li017..................................................162
`A. A POSITA would have been motivated to combine Walton040 and
`Li017..................................................................................................162
`B. Walton040 in view of Li017 renders obvious claim 1......................178
`Claim 1 Preamble (Element [1A]): A link adaptation method by
`
`a base station serving a plurality of mobile stations in an
`Orthogonal Frequency Division Multiplexing (OFDM)
`communication system, the communication system utilizing a
`transmission structure with time slots in the time domain and
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`U.S. Pat. No. 10,075,941
`frequency subchannels in the frequency domain, the method
`comprising:..............................................................................178
`Element [1B]: transmitting a control message to a mobile
`station over a control channel, wherein: .................................181
`Element [1C]: the control message contains transmission
`parameters allocated to the mobile station for a subsequent
`transmission of data by the base station over a frequency
`subchannel to the mobile station in a time slot; and...............184
`Element [1D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............189
`Element [1E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................191
`Element [1F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................198
`Element [1G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................203
`Element [1H]: transmitting a data packet to the mobile station
`over the frequency subchannel in accordance with the mobile
`station-specific transmission parameters. ...............................203
`C. Walton040 in view of Li017 renders obvious claim 6......................206
`Claim 6 Preamble (Element [6A]): A base station serving a
`
`plurality of mobile stations in an Orthogonal Frequency
`Division Multiplexing (OFDM) communication system, the
`communication system utilizing a transmission structure with
`time slots in the time domain and frequency subchannels in the
`frequency domain, the base station comprising a transmitter
`configured to: ..........................................................................206
`Element [6B]: transmit a control message to a mobile station
`over a control channel, wherein:.............................................207
`Element [6C]: the control message contains transmission
`parameters allocated to the mobile station for a subsequent
`transmission of data by the base station over a frequency
`subchannel to the mobile station in a time slot; and...............207
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`U.S. Pat. No. 10,075,941
`Element [6D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............207
`Element [6E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................207
`Element [6F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................207
`Element [6G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................208
`Element [6H]: transmitting a data packet to the mobile station
`over the frequency subchannel in accordance with the mobile
`station-specific transmission parameters. ...............................208
`D. Walton040 in view of Li017 renders obvious claim 8......................208
`Claim 8 Preamble (Element [8A]): A link adaptation method by
`
`a mobile station served by a serving base station in an
`Orthogonal Frequency Division Multiplexing (OFDM)
`communication system, the communication system utilizing a
`transmission structure with time slots in the time domain and
`frequency subchannels in the frequency domain, the method
`comprising:..............................................................................208
`Element [8B]: receiving a control message from the serving
`base station over a control channel, wherein:.........................209
`Element [8C]: the control message contains transmission
`parameters specific to the mobile station for a subsequent
`transmission by the serving base station over a frequency
`subchannel to the mobile station in a time slot; and...............210
`Element [8D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............210
`Element [8E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................210
`Element [8F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................210
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`U.S. Pat. No. 10,075,941
`Element [8G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................211
`Element [8H]: receiving a data packet transmitted by the
`serving base station using the mobile station-specific
`transmission parameters over the frequency subchannel........211
`E. Walton040 in view of Li017 renders obvious claim 13....................211
`Claim 13 Preamble (Element [13A]): A mobile station served
`
`by a serving base station in an Orthogonal Frequency Division
`Multiplexing (OFDM) communication system, the
`communication system utilizing a transmission structure with
`time slots in the time domain and frequency subchannels in the
`frequency domain, the mobile station comprising a receiver
`configured to: ..........................................................................211
`Element [13B]: receive a control message from the serving base
`station over a control channel, wherein: .................................212
`Element [13C]: the control message contains transmission
`parameters specific to the mobile station for a subsequent
`transmission by the serving base station over a frequency
`subchannel to the mobile station in a time slot; and...............212
`Element [13D]: the mobile station-specific transmission
`parameters indicate an antenna transmission scheme.............212
`Element [13E]: the mobile station-specific transmission
`parameters indicate … a corresponding subchannel
`configuration ...........................................................................212
`Element [13F]: the antenna transmission scheme comprising a
`transmission diversity scheme or a multiple-input multiple-
`output (MIMO) scheme ..........................................................212
`Element [13G]: the corresponding subchannel configuration
`characterized by distributed subcarriers or localized subcarriers
`in the frequency domain..........................................................213
`Element [13H]: receive a data packet transmitted by the serving
`base station using the mobile station-specific transmission
`parameters over the frequency subchannel.............................213
`F. Walton040 in view of Li017 renders obvious claim 3......................213
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`G. Walton040 in view of Li017 renders obvious claim 4......................215
`H. Walton040 in view of Li017 renders obvious claim 5......................216
`I. Walton040 in view of Li017 renders obvious claim 7......................219
`J. Walton040 in view of Li017 renders obvious claim 10....................219
`K. Walton040 in view of Li017 renders obvious claim 11....................219
`L. Walton040 in view of Li017 renders obvious claim 12....................219
`M. Walton040 in view of Li017 renders obvious claim 14....................220
`X. GROUND 3: Claims 2 and 9 are unpatentable under 35 U.S.C. § 103 as
`obvious over Walton040 in view of Li017 and Tufvesson .........................220
`A. A POSITA would have been motivated to combine Walton040 and
`Li017 and Tufvesson.........................................................................220
`B. Walton040 in view of Li017 and Tufvesson renders obvious claim
`2 .........................................................................................................225
`C. Walton040 in view of Li017 and Tufvesson renders obvious claim
`9 .........................................................................................................226
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
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`I, Sarah Kate Wilson, declare as follows:
`
`I.
`
`INTRODUCTION
`I have been retained by Sterne, Kessler, Goldstein & Fox P.L.L.C. on
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`behalf of Volkswagen Group of America (“VWGoA” and/or “Petitioner”) for the
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`above-captioned inter partes review proceeding. I understand that this proceeding
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`involves U.S. Patent No. 10,075,941 (EX1001, “the ’941 Patent”), which is entitled
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`“Methods and Apparatus for Multi-Carrier Communication Systems with Adaptive
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`Transmission and Feedback,” and that the ’941 patent is currently assigned to Neo
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`Wireless LLC (“Patent Owner”).
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`Specifically, I have been retained as a technical expert by VWGoA to
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`study and provide my opinions on the technology claimed in, and the patentability
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`or unpatentability of, claims 1-14 of the ’941 patent (“the Challenged Claims”). This
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`declaration is directed to the challenged claims of the ’941 patent, and sets forth the
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`opinions I have formed, the conclusions I have reached, and the bases for each. For
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`purposes of this declaration, I was not asked to provide any opinions that are not
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`expressed herein.
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`I am familiar with the technology described in the ’941 patent as of its
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`earliest possible priority date of February 13, 2004. I have been asked to provide my
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`technical review, analysis, insights, and opinions regarding the ’941 patent. I have
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`used this experience and insight along with the references identified herein as the
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`basis for my opinions that support the grounds of unpatentability set forth in the
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`Petition for Inter Partes Review of the ’941 patent.
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`I have reviewed and am familiar with the specification of the ’941
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`patent issued on September 11, 2018. I understand that the ’941 patent has been
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`provided as EX1001. I will cite to the specification using the following formats:
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`EX1001, ’941 patent, 1:1-10 (long form) and EX1001, 1:1-10 (short form). These
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`example citations both point to the ’941 patent specification at column 1, lines 1-
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`10.
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`I am being compensated by VWGoA at my standard hourly rate for the
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`time I spend in connection with this proceeding. My compensation is not dependent
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`in any way on the substance of my opinions or in the outcome of this proceeding.
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`II. GROUNDS OF UNPATENTABILITY
`In forming my opinions about the ’941 patent, I have considered the
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`following grounds of unpatentability. Based on my review of the prior art
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`references that form the basis of these grounds, it is my opinion that claims 1-14 of
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`the ’941 patent would have been obvious to a person of ordinary skill in the art
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`(“POSITA”) as of February 13, 2004.
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`Ground
`1.
`2.
`3.
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`Basis
`§ 103
`§ 103
`§ 103
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`Claims
`1-14
`1, 3-8, 10-14
`2, 9
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`References
`802.16a + Heath
`Walton040 + Li017
`Walton040 + Li017 + Tufvesson
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`I have been asked to consider how a POSITA would have understood
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`the challenged claims in light of the disclosures of the ’941 patent. I also have been
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`asked to consider how a POSITA would have understood the prior art references
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`802.16a, Heath, Walton040, Li017, and Tufvesson. Further, I have been asked to
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`consider and provide my technical review, analysis, insights, and opinions
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`regarding whether a POSITA would have understood that the combinations of the
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`prior art references listed in the table above render obvious claims 1-14 of the ’941
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`patent.
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`II. QUALIFICATIONS
`In formulating my opinions, I have relied upon my training, knowledge,
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`and experience in the relevant art. I have over 32 years of experience working with
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`wireless communication systems, and 30 years specifically working with OFDM
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`systems. As detailed below, I have worked on many projects that are highly relevant
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`to the subject matter of the ’941 patent.
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`In particular, I have experience in the field of wireless communications
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`through my education, my research work and my teaching. I earned a Bachelor of
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`Arts in mathematics with honors from Bryn Mawr College in 1979. After working
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`in industry as a programmer/analyst for the IIT Research Institute and SRI
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`International, I went back to school at Stanford University and earned a Master’s in
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`Electrical Engineering. I then worked for a medical electronics company as a signal
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`processing engineer and in 1989 returned to Stanford to pursue my Ph.D. in
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`Electrical Engineering in wireless communications; my thesis was on Orthogonal
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`Frequency Division Multiplexing (OFDM).
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`Since graduating from Stanford with my Ph.D., I have published over
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`60 journal and conference papers in digital communications, two book chapters, and
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`edited one book on transmission techniques for wireless communications. My
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`research has focused mainly on OFDM and has spanned the areas of cellular
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`communications, wireless LANs, digital subscriber lines (DSL), LiFi and
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`underwater communications. I am a joint inventor on three US Patents, one on smart
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`antennas and two on DSL.
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`I have researched wireless communications and
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`taught both
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`undergraduate and graduate courses in digital and wireless communications at
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`universities in the United States (Stanford University, Purdue University, and Santa
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`Clara University) and Sweden (Lulea University of Technology and the Royal
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`Institute of Technology). I also worked in industry at Agilent Laboratories, and
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`ArrayComm, a smart antenna company. I have also consulted for companies. While
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`a researcher at Lulea University of Technology in the late 90’s I worked with my
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`students on OFDM; we published papers that have been heavily cited including one
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`on multiple access for OFDM in cellular system. During the period of 2005-2006, I
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`consulted for Texas Instruments on the LTE standard, working on modeling the
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`physical layer and on handover schemes. Since 2006, I have been teaching at Santa
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`Clara University in the Electrical and Computer Engineering Department where I
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`am a full professor.
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`I have worked within my professional society,
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`the
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`IEEE
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`Communications Society as an associate editor for top-tier journals. From 2009-
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`2011, I was the Editor-in-Chief of IEEE Communications Letters. Then from 2012-
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`2013, I was Director of Journals and from 2014-2015 I was the Vice-President for
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`Publications for the IEEE Communications Society.
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`My community has acknowledged this work through awards. I became
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`an IEEE Fellow in 2014 “for contributions to OFDM.” I also received the Joseph
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`LoCicero Award for Exemplary Service to Publications, “For sustained and
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`innovative contributions to Publications” in 2017 from the IEEE Communications
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`Society. In 2018, I was awarded the IEEE Education Society Harriett B. Rigas award
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`for “for excellence in communications engineering, education and promoting
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`equity.”
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`A copy of my curriculum vitae is provided as EX10XX, which contains
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`further details on my experience, technical expertise, and other qualifications.
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`III. MATERIALS CONSIDERED
`In formulating my opinions, I have relied upon my training, knowledge,
`
`and experience that are relevant to the ’941 patent. Furthermore, I have considered
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`Declaration of Sarah Kate Wilson
`U.S. Pat. No. 10,075,941
`specifically the following documents listed below in addition to any other documents
`
`cited in this declaration:
`
`Exhibit
`
`Description
`
`1001
`1002
`
`1004
`1005
`
`1006
`
`1007
`1008
`
`1009
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`1010
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`1011
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`1012
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`U.S. Patent No. 10,075,941 B2 to Li et al. (“the ’941 patent”)
`Prosecution History of U.S. Patent No. 10,075,941 (“Prosecution
`History”)
`Curriculum Vitae of Sarah Kate Wilson, PhD
`IEEE Std 802.16-2001 “IEEE Standard for Local and metropolitan
`area networks Part 16: Air Interface for Fixed Broadband Wireless
`Access Systems” (“802.16a-2001”)
`IEEE Std 802.16-2003 “IEEE Standard for Local and metropolitan
`area networks Part 16: Air Interface for Fixed Broadband Wireless
`Access Systems Amendment 2: Medium Access Control
`Modifications and Additional Physical Layer Specifications for 2-
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`

`

`Exhibit
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`1013
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`17
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`

`

`Exhibit
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`Description
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`Declaration of Sarah Kate Wilson
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`1026
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