UNITED STATES PATENT AND TRADEMARK OFFICE
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`ERICSSON INC. and TELEFONAKTIEBOLAGET LM ERICSSON,
`Petitioners,
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`v.
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`INTELLECTUAL VENTURES I LLC,
`Patent Owner.
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`Case IPR2014-01149
`Patent 6,023,783
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`PETITIONERS’ DEMONSTRATIVE EXHIBITS
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`ERICSSON INC. and TELEFONAKTIEBOLAGET LM ERICSSON,
`Petitioners,
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`v.
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`INTELLECTUAL VENTURES I LLC,
`Patent Owner.
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`Case IPR2014-01149
`Patent 6,023,783
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`PETITIONERS’ DEMONSTRATIVE EXHIBITS
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`CERTIFICATE OF SERVICE
`
`Case IPR2014-01149
`Patent 6,023,783
`
`Pursuant to 37 C.F.R. § 42.6(e), I hereby certify that on August 24, 2015 the
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`foregoing Petitioners’ Demonstrative Exhibits is being served electronically by
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`agreement of the parties, by e-mail to the following counsel of record.
`
`LGordon-PTAB@skgf.com
`
`MSpecht-PTAB@skgf.com
`RRichardson-PTAB@skgf.com
`
`jhietala@intven.com
`tim@intven.com
`
`Lori A Gordon
`Sterne, Kessler, Goldstein & Fox P.L.L.C.
`1100 New York Avenue, N.W.
`Washington, DC 20005
`Phone: (202) 772-8862
`Fax: (202) 371-2540
`Lead Counsel for Patent Owner
`Intellectual Ventures I LLC
`
`Michael D. Specht
`Ryan Richardson
`Sterne, Kessler, Goldstein & Fox P.L.L.C.
`1100 New York Avenue, N.W.
`Washington, DC 20005
`Phone: (202) 772-8756
`Fax: (202) 371-2540
`Back-Up Counsel for Patent Owner
`Intellectual Ventures I LLC
`
`James Hietala
`Tim Seeley
`Intellectual Ventures
`3150 139th Avenue S.E.
`Bellevue, WA 98005
`Phone: (425) 677-2973
`Fax: (425) 467-2350
`Back-Up Counsel for Patent Owner
`Intellectual Ventures I LLC
`
`
`
`1
`
`
`
`
`
`Case IPR2014-01149
`Patent 6,023,783
`
`
`
`
`
`/Charles J. Rogers/
`Charles J. Rogers
`Reg. No. 38,286
`Conley Rose, P.C.
`1001 McKinney St., Suite 1800
`Houston, Texas 77002-6421
`Phone: (713) 238-8049
`Fax: (713) 238-8008
`E-mail: crogers@conleyrose.com
`Back-Up Counsel for Petitioners
`Ericsson Inc. and
`Telefonaktiebolaget LM Ericsson
`
`2
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`ERICSSON INC. and
`TELEFONAKTIEBOLAGET LM ERICSSON,
`Petitioners,
`
`v.
`
`INTELLECTUAL VENTURES I LLC,
`Patent Owner.
`
`Cases IPR2014-00921, -01149
`Patent 6,023,783
`
`Before JOSIAH C. COCKS, WILLIAM A. CAPP, and
`DAVID C. MCKONE, Administrative Patent Judges.
`
`1
`
`
`
`Instituted Claims/Grounds
`IPR2014‐00921
`• Claims 23, 24, 60, 61
`
`IPR2014‐01149
`• Claims 18‐22, 25, 26, 43, 44, 46‐49, 62, 63
`Claims 55‐59 withdrawn
`
`2
`
`
`
`Instituted Claims/Grounds
`‐00921
`• Ground 9 – Claims 23, 24, 60, 61
`• Ground 10 – Claims 23, 60
`• Ground 11 – Claims 24, 61
`
`3
`
`
`
`Instituted Claims/Grounds
`‐01149
`• Ground 1 – Claims 43, 44, 46
`• Ground 2 – Claims 47, 48
`• Ground 3 – Claim 49
`• Ground 4 – Claims 18, 19
`• Ground 5 – Claims 20, 21
`• Ground 6 – Claim 22
`• Ground 7 – Claims 25, 26, 62, 63
`
`4
`
`
`
`Claim Construction Issues
`• ‐00921 ‐ “directly coupled” and
`“signal directly from”
`– Mooted by Robertson/Ungerboeck/Palicot
`combinations having coder/modulator and
`input/modulator connections with no intervening
`structure
`– Even if the Robertson/Ungerboeck/Palicot
`combinations were considered as having a multiplexer
`(“MUX”) in the connections, any such connections are
`still “directly coupled”
`
`• ‐01149 – no disputed claim construction issues
`
`5
`
`
`
`First IPR ‘783 Patent
`IPR2014‐00921
`
`6
`
`
`
`Instituted Claims/Grounds
`‐00921
`• Ground 9 – Claims 23, 24, 60, 61
`Claims 23, 60 – Turbo Coding with Multilevel
`Modulation (“MLM”)
`Claims 24, 61 – Turbo Coding with Trellis
`Coded Modulation (“Turbo‐
`TCM”)
`• Ground 10 – Claims 23, 60 – TC + MLM
`• Ground 11 – Claims 24, 61 – Turbo‐TCM
`
`7
`
`
`
`Instituted Claims/Grounds
`‐00921
`• Ground 9 – Claims 23, 24, 60, 61
`103(a) Obviousness – Robertson & Ungerboeck
`Claims 23, 60 – Turbo Coding with Multilevel
`Modulation (“MLM”)
`
`Robertson Fig. 1
`Turbo Coder
`
`Ungerboeck Fig. 3
`Multilevel Modulator
`
`8
`
`
`
`Instituted Claims/Grounds
`‐00921
`• Ground 9 – Claims 23, 24, 60, 61
`103(a) Obviousness – Robertson & Ungerboeck
`Claims 24, 61 – Turbo Coding with Trellis Coded
`Modulation
`(“Turbo‐TCM”)
`
`Robertson Fig. 1
`Turbo Coder
`
`Two Ungerboeck Fig. 3
`8‐PSK Multilevel Modulators9
`
`
`
`Instituted Claims/Grounds
`‐00921
`• Ground 10 – Claims 23, 60 – TC + MLM
`102(b) Anticipation – Palicot
`103(a) Obviousness – Palicot & Ungerboeck
`
`Palicot refers to “turbo‐codes” as
`“the best channel coding scheme
`[for] QPSK modulation”
`
`10
`
`
`
`Palicot Fig. 4
`
`11
`
`
`
`Instituted Claims/Grounds
`‐00921
`• Ground 11 – Claims 24, 61 – Turbo‐TCM
`103(a) Obviousness – Palicot & Ungerboeck
`
`Palicot – refers to “turbo‐codes”
`as “the best channel coding
`scheme [for] QPSK modulation”
`
`Turbo Coder
`
`Two Ungerboeck Fig. 3
`12
`8‐PSK Multilevel Modulators
`
`
`
`Robertson CMS
`• Patent Owner argues that a POSITA would not have the
`motivation and not know how to combine Robertson
`and Ungerboeck to achieve the claimed turbo coding
`and multilevel modulation, and Turbo‐TCM
`• Robertson CMS confirms that a POSITA had the
`motivation and knew how to combine
`
`Robertson CMS
`
`13
`
`
`
`Robertson CMS
`
`14
`
`
`
`Claim Construction Issues
`• ‐00921 ‐ “directly coupled” and
`“signal directly from”
`– Mooted by Robertson/Ungerboeck/Palicot
`combinations having coder/modulator and
`input/modulator connections with no intervening
`structure
`– Even if the Robertson/Ungerboeck/Palicot
`combinations were considered as having a multiplexer
`(“MUX”) in the connections, any such connections are
`still “directly coupled”
`
`• ‐01149 – no disputed claim construction issues
`
`15
`
`
`
`Claim Construction Issues
`• ‐00921 ‐ “directly coupled” and
`“signal directly from”
`• Claim 23 requires the feature of a multilevel
`modulator that is “directly coupled” to the input
`data and to the coded output of each constituent
`coder.
`• Claim 60 requires that a multilevel modulated
`signal is output “directly from” the input data and
`the coded output of the constituent coders.
`
`16
`
`
`
`•
`
`“directly coupled”
`Institution Decision
`– while “directly” coupling excludes the presence of an interleaver
`between components so coupled, it does not prohibit any and
`all intervening structures. (Inst. Dec. 13.)
`
`– “Indeed, consistent with the ‘783 patent, directly coupling
`components to one another does not preclude the presence of
`an intervening switch therebetween.” (Id. at 19.)
`
`– “not persuaded that the intervening presence of a multiplexer
`between components precludes those components from being
`viewed as directly coupled to one another.” (Id. at 21.)
`
`– For the purposes of the Institution Decision, the Board
`determined that a multiplexer is a structure that is essentially
`analogous to a switch. (Id. at 19.)
`
`17
`
`
`
`“directly coupled”
`Petitioners’ Asserted Claim Construction
`
`• Petitioners assert that “directly coupled” in
`the ‘783 patent “contemplates a connection
`that may include connections through
`puncturing functions, demultiplexers, and
`multiplexers but not through any intervening
`interleavers.” (Pet. 11‐12.)
`
`18
`
`
`
`“directly coupled”
`Patent Owner’s Asserted Claim Construction
`
`• Preliminary Response ‐ Patent Owner asserted
`that “a direct coupling is a connection of
`components with no intervening structures.”
`(Prelim. Resp. 19.)
`• Response ‐ Patent Owner now argues that
`“direct coupling” means “coupled in a manner
`such that the order and content of the
`elements are unmodified.” (Resp. 10.)
`
`19
`
`
`
`Claim Construction
`“directly coupled”
`• Patent Owner’s asserted claim construction is
`inconsistent with the ‘783 patent spec.
`– Puncturing – changes the content
`– Turbo‐TCM example in spec uses puncturing
`
`20
`
`
`
`‘783 Patent Column 22
`
`21
`
`
`
`Second IPR ‘783 Patent
`IPR2014‐01149
`
`22
`
`
`
`Instituted Claims
`• 43‐44 and 46‐49 relate to turbo coding a plurality of
`data sources.
`• 18‐22 relate to serial concatenation coding.
`• Claims 25‐26 and 62‐63 relate to turbo coding
`selected subsets from a plurality of data sources.
`• Dependent claims relate to decoding, modulation,
`and demodulation.
`• Petitioners’ filed Motion to withdraw claims 55‐59.
`
`23
`
`
`
`PTAB Claim Constructions
`1) Systematic convolutional encoder – an encoder
`that may output both encoded data and also
`original data (or its equivalent).
`2) Coded/encoded output elements – any data
`that is derived from data received and processed
`by a coder or encoder.
`3) Set of interleavers –a single, individual
`interleaver does not constitute a “set” of
`interleavers.
`4) Original digital data elements – no construction
`provided.
`
`24
`
`
`
`Ground 1, Claims 43, 44, 46
`• Claim 43 ‐ turbo coding a plurality of data sources
`• Forney Fig. 7 shows multiple inputs to a
`convolutional encoder.
`
`Forney, Fig 7 (annotated).
`
`25
`
`
`
`Claim 43
`• Berrou invented turbo code, which advanced
`coding technology to near the “Shannon Limit.”
`• Berrou’s (Ex. 1004) turbo coder has all the
`elements of claim 43 except “a plurality of sources
`of original digital data.”
`
`26
`
`
`
`Claim 43
`• Forney (Ex. 1005) Fig. 7 shows multiple inputs to a
`convolutional encoder.
`• Adding a second input to Berrou’s (Ex. 1004) turbo
`coder provides all the elements of claim 43.
`
`Berrou ’747, Fig 1 (changes shown in dotted lines and red).
`
`27
`
`
`
`Patent Owner Arguments
`• Petitioners don’t show the modifications
`necessary for the combination.
`• Too complicated.
`• One skilled in the art wouldn’t know how to
`do it.
`
`28
`
`
`
`Combining Berrou/Forney
`• “I think it could be possible to add a plurality of sources to the
`turbo coder with little or no modification. (Lanning Depo.
`74:15‐19)
`• As direct rebuttal, Dr. Xiong shows that the modifications
`were straightforward. (Dr. Xiong Dec. ¶ 25‐26)
`(Berrou Fig. 7)(changes shown in red)
`
`29
`
`
`
`Combining Berrou/Forney
`• Robertson CMS also illustrates that those skilled in the art
`knew how to modify a recursive coder to accept two inputs.
`• As direct rebuttal, Dr. Xiong shows a feedback could be added
`to Forney with minor modifications. (Dr. Xiong Dec. ¶ 30‐33)
`(Forney Fig. 7)(changes shown in red)
`
`30
`
`
`
`Dependent Claim 44
`• Claim 44 – outputting the original digital data
`• Combination of Berrou/Forney output the original
`digital data.
`
`31
`
`
`
`Dependent Claim 46
`• Claim 46 ‐ receiving and decoding coder output
`• Mr. Lanning suggested decoding could be
`accomplished using “a decoder required for each
`coded output.” (Lanning Depo. 88:19‐22)
`• As direct rebuttal to Patent Owner’s assertions one
`skilled in the art would not know how to use Berrou
`or Forney’s decoders to decode multiple inputs:
`– Dr. Xiong notes “The decoder for the scheme with the two
`sources uses Berrou’s decoder with straightforward
`modifications;” (Xiong Dec. ¶ 31)
`– Robertson CMS Fig. 2 shows a pair of decoders labeled
`“first decoder” and “second decoder.”
`
`32
`
`
`
`Ground 2, Dependent Claims 47‐48
`
`• Claim 47 ‐ multilevel modulation of coder output
`• Claim 48 ‐ Trellis Code Modulation (TCM) of output
`• Berrou/Forney in view of Ungerboeck (Ex. 1007)
`obviate claims 47, 48.
`• Ungerboeck (Ex. 1007) discloses multilevel
`modulation and trellis coded modulation (TCM). (Ex.
`1007, p. 6, ¶ 3 and 5, ¶ 1)
`
`33
`
`
`
`Ground 2, Dependent Claims 47‐48
`
`• Patent Owner makes no attempt to rebut
`obviousness of claim 47.
`• For claim 48, Patent Owner again asserts that TCM is
`too complex and that one skilled in the art would not
`know how to combine Ungerboeck to accomplish
`turbo coding and trellis code modulation.
`
`34
`
`
`
`Robertson CMS (Ex. 1027)
`• Robertson CMS was only identified after filing of
`Petition.
`• Introduced as direct rebuttal to Patent Owner’s
`assertions of knowledge of skill in the art.
`• Discloses trellis code modulation of turbo code.
`• Patent Owner’s Expert regarding Robertson CMS:
`“mention[s] the attempt to do turbo codes with
`some kind of trellis code modulation or multilevel
`modulation.” (Ex. 1039, Depo. 197:14‐17)”
`
`35
`
`
`
`Robertson CMS
`• Robertson CMS – specifically focused on combining
`turbo code and trellis code modulation.
`• “turbo coding scheme for bandwidth efficient
`modulation that outperforms turbo coding with Gray
`mapping by employing Ungerboeck codes.”
`(Robertson CMS at 1546.)
`• ‘783 Patent notes “we can use Ungerboeck’s codes
`with feedback.” (Ex. 1001, 21:40‐57)
`• Further direct rebuttal, Dr. Xiong agrees Robertson
`CMS discloses Turbo TCM. (Xiong Dec. ¶ 32‐37)
`
`36
`
`
`
`Robertson CMS Figure 1
`
`37
`
`
`
`Ground 3, Claim 49
`• Claim 49 – demodulation and decoding of modulated
`signal.
`• Patent Owner argues – Petitioners provide no details,
`not facts, no supporting evidence.
`• Robertson CMS shows that one skilled in the art had
`the motivation and understood how to demodulate
`and decode a turbo trellis code modulated signal.
`(Ex. 1027, at 1547, col. 1 “Decoder” and Figure 2)
`
`38
`
`
`
`Ground 4, Claims 18‐19
`• Claims 18‐19 ‐ serial concatenation coding with
`intervening interleaver.
`• Combination of Deutsch/Berrou obviate claims.
`• Deutsch Fig. 1 obviates claim 18.
`
`39
`
`
`
`Claim 18
`• Deutsch’s Block 12 (convolutional coder) might be
`recursive – Deutsch doesn’t specify.
`• Obvious to add Berrou’s recursive convolutional
`coder (RS) – RS coder performs better.
`• Patent Owner asserts RS perform worse and point to
`a single article ‐ Benedetto (Ex. 2005) – as teaching
`away.
`• Benedetto was published to show that the use of
`recursive (feedback) systematic convolutional codes
`(vs. nonrecursive codes) is crucial and required for
`turbo codes to work properly. (Benedetto at 410)
`
`40
`
`
`
`Benedetto
`
`• Benedetto created a hypothetical scenario using
`single state coders – Figure 19 shows that standalone
`nonrecursive coders perform slightly better than
`standalone recursive coders.
`• Benedetto refers to the bit error probability as “not
`the same, although the difference is small.”
`• “When considered alone, systematic recursive (SR)
`and systematic nonrecursive (SNR) convolutional
`encoders have very similar performance.”
`(Benedetto, 422)
`
`41
`
`
`
`Benedetto
`Fig. 18 shows a 2‐state systematic non‐recursive
`“encoder” and a 2‐state systematic recursive
`“encoder.”
`
`42
`
`
`
`Benedetto
`
`• For instance,
`the authors
`of Benedetto
`developed
`Fig. 19 to
`help achieve
`this purpose
`
`Benedetto, Fig 19.
`
`43
`
`
`
`Benedetto
`– Benedetto concedes that “[Berrou, et al.] claim
`that RS convolutional encoders yield significantly
`lower error probabilities than SNR codes.”
`
`Benedetto at 423, n.7.
`
`44
`
`
`
`Benedetto
`Fig. 22 of Benedetto (shown on next slide) shows
`that PCCC (parallel concatenated convolutional
`codes) using SR (systematic recursive) encoders with
`an interleaver of length 1000 performs much better
`(a gain of 3 dB at 10E‐5) than PCCC using SNR
`(systematic non‐recursive) encoders with an
`interleaver of length 1000.
`
`45
`
`
`
`Benedetto
`
`Benedetto, Fig 22.
`
`46
`
`
`
`Benedetto
`
`• Thus, with a properly designed interleaver, SR
`may perform better than SNR.
`• As direct rebuttal to Patent Owner’s
`assertions, Dr. Xiong notes that nothing in
`Benedetto teaches away from Deutsch/Berrou
`combination of using recursive coders in a
`serial concatenation coding scheme.
`• It would be obvious to one skilled in the art to
`use a recursive convolutional encoder.
`
`47
`
`
`
`Dependent Claim 19
`• Claim 19 – decoder
`• Patent Owner asserts Berrou’s decoder wouldn’t
`work.
`• As rebuttal, Dr. Xiong confirms this would require
`little or no modifications to Berrou’s decoder. (Xiong
`Dec. ¶ 57) The block decoder (block 15, Deutsch’s
`Fig. 1) would still be necessary to decode Deutsch’s
`outer code because, as Patent Owner notes, “the
`decoding strategy is based on the rules of channel
`encoding.” (Resp. 37, citing Lin at 2)
`
`48
`
`
`
`Ground 5‐6, Dependent Claims 20‐22
`• Claim 20 – multilevel modulation
`• Claim 21 – trellis code modulation
`• Claim 22 ‐ demodulation
`• Patent Owner does not assert patentability of
`claims 20‐22 beyond the arguments presented
`for claim 18.
`• Deutsch/Berrou in view of
`Ungerboeck/Massey obviate claims 20‐22.
`
`49
`
`
`
`Ground 7, Claims 25, 26, 62, 63
`
`• Claims 25‐26 and 62‐63 relate to turbo coding
`selected subsets from a plurality of data
`sources.
`• Divsalar, Berrou, Forney, Ungerboeck obviate
`claims 25, 25, 62, 63.
`• Fig. 1 of Divsalar TCDSC discloses a coder for
`trellis termination (shown on next slide).
`
`50
`
`
`
`Divsalar’s Encoder
`
`Divsalar TCDSC, Fig 1.
`
`51
`
`
`
`Divsalar Encoder with Forney’s
`Multiple Inputs
`
`Divsalar TCDSC’s Fig. 1 (annotations underlined and in dotted lines)
`
`52
`
`
`
`Divsalar/Forney in view of Berrou
`
`• Patent Owner – no motivation to switch between
`multiple inputs.
`• Lanning states that switching was a known means of
`selecting subsets of data from a plurality of parallel
`data lines and that Berrou discloses a switch that
`selects data from two parallel data lines. (Ex. 1003,
`¶ 215) (Ex. 1004, Fig. 2 and col 9, ll. 29‐33)
`
`53
`
`
`
`Ground 7, Claims 25, 26, 62, 63
`• Patent Owner – combination fails to disclose selecting a first
`subset of data.
`• Divsalar states “the switch is in position ‘A’ for the first N
`clock cycles” and that “the information bit sequence u … [is]
`of length N,” so according to Patent Owner all the data must
`be coded. (Resp. 44)
`• N is merely one block of data. In practice, the encoder would
`intake more than N bits of data to encode multiple code
`blocks, thus over a period of one code block the encoder
`would select a subset of N bits from the input data to code
`and then move to switch position B to perform trellis
`termination then switch back to A select the next N bits.
`
`54
`
`
`
`Ground 7, Claims 25, 26, 62, 63
`• Patent Owner ‐ it wouldn’t have been obvious to try a finite
`number of switch configurations because not every switch
`position has a reasonable likelihood of success since some
`switch positions would destroy the operation of Divsalar –
`that of not performing trellis termination.
`• When coding multiple code blocks, the encoder would select
`a subset of N bits from the input data to code, then move the
`switches to position B to perform trellis termination, and then
`reset the switches to position A and select the next block of N
`bits to code.
`• Dr. Xiong noted trellis termination is trivial to implement.
`
`55
`
`
`
`Ground 7, Claims 25, 26, 62, 63
`• “Figure 23 of the [‘783] patent, the figures does show trellis
`termination by simply switching the four switches to Positions
`B. To me, that’s a – kind of a separate step. That, another – is
`trivial to implement.” (Ex. 2023, Xiong Depo. p. 116, l. 7‐
`13)(emphasis added)
`• Further ‐ setting all the switches to A and then all the switches
`to B is not the only configuration that one skilled in the art
`would try
`• The proposed combination includes only four switches, each
`having two positions, which provides a finite number of
`switch configurations – sixteen.
`
`56
`
`
`
`Ground 7, Claims 25, 26, 62, 63
`• One skilled in the art would have considered
`each possible configuration. When S1 is at A
`while S3 is at B, and then switching S1 to B
`and S3 to A results in selecting between inputs
`u and u2, and so on when S2 is at A while S4 is
`at B, and then switching S2 to B and S4 to A
`results in selecting next subsets from the sets
`of interleaved elements different from each
`other selected subset.
`
`57
`
`
`
`Ground 7, Claims 25, 26, 62, 63
`• Claims 25\26 and 62\63 also include multilevel
`modulation of the coded output\trellis code
`modulation, respectively.
`• Patent Owner presents no further arguments
`regarding the obviousness of claims 25, 26, 62, 63
`• As noted above, Robertson CMS obviates multilevel
`and trellis code modulation of turbo code
`• As noted above, Dr. Xiong confirms one skilled in the
`art knew how to trellis code modulate turbo code.
`
`58
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