`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`___________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`___________________
`
`
`
`SAMSUNG ELECTRONICS CO., LTD.
`Petitioner
`
`v.
`
`
`HUAWEI TECHNOLOGIES CO., LTD.
`Patent Owner
`
`___________________
`
`Case IPR2017-TBD
`Patent No. 8,885,583
`___________________
`
`
`
`
`
`
`
`
`PETITIONER’S EXHIBIT 1012
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`DECLARATION OF RAZIQ YAQUB, PH.D.
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`Samsung Exhibit 1012
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`
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`I.
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`I, Dr. Raziq Yaqub, do hereby declare and say as follows:
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`SCOPE OF ENGAGEMENT
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`1.
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`I have been retained by Quinn Emanuel Urquhart & Sullivan LLP on
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`behalf of Samsung Electronics Co., Ltd. (“Samsung” or “Petitioner”) to provide
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`this declaration to describe how documents that are drafted and adopted by the
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`European Telecommunications Standards Institute (“ETSI”) and the Third
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`Generation Partnership Project (“3GPP”) are made available to the general public.
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`2.
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`I am over the age of 21, and I have personal knowledge of the facts
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`contained herein unless otherwise indicated.
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`3. My opinions are based on my experience, knowledge and the
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`information I have reviewed as of the date of this declaration.
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`4.
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`I am being compensated for my time spent on the present matter at a
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`rate of $300 per hour. My compensation is not in any way contingent on my
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`performance, the result of this proceeding, or any of the issues involved therein. I
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`am also being reimbursed for expenses incurred as a result of activities performed
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`as an expert.
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`II. MY EXPERIENCE & BACKGROUND
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`5.
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`I earned my Ph.D. in wireless communications from Keio University,
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`Tokyo, Japan in 1998, and my MBA in marketing from Fairleigh Dickenson
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`University, New Jersey, USA in 2004. I received my Bachelor of Science degree
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`
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`Samsung Exhibit 1012, Page 1
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`
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`and Master’s degree in Electrical Engineering from the University of Engineering
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`and Technology in Peshawar, Pakistan in 1987 and 1993 respectively.
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`6.
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`Currently I am an Associate Professor at Alabama A&M University
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`(AAMU) at Huntsville, AL, since August 2016, where I teach Telecommunication,
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`Smart Grid, and Digital Circuit Design, among others. I am also a consultant for
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`Wells Fargo, where I am inventing and developing technologies related to financial
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`technologies. Before joining AAMU, I was a Professor in Rowan University for
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`one year.
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`7.
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`After I received my Ph.D. degree in 1998, I worked as a Research
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`Engineer for Nokia Research Center, Tokyo, Japan (January 1998 – January 1999),
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`where I represented Nokia in a regional (Japanese) standards organization called
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`“ARIB” (Association of Radio Industries and Businesses) and Telecommunication
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`Technology Committee (TTC). Both TTC and ARIB are Organizational Partners
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`of 3GPP from Japan.
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`8.
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`From 1999 to 2001, I was an Assistant Manager at KDDI Japan. As
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`an Assistant Manager at KDDI Corporation in Tokyo, Japan I actively
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`participated/contributed in both 3GPP and 3GPP2 standards organizations to
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`provide a gap analysis of 3GPP & 3GPP2 technologies to the senior management
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`that helped them decide to deploy 3GPP CDMA technology to be the future
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`business for KDDI.
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`
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`Samsung Exhibit 1012, Page 2
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`9.
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`From 2001 to 2009, I was a Research Director (2001-2005) and an
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`Executive Director (2005-2009) at Toshiba America Research, Inc. (TARI) where
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`I conducted and supervised research dealing with IP core networks.
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`10.
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`I was also appointed as a working group chair of Mobile Wireless
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`Internet Forum, to lead international Mobile Operators (e.g. Verizon, Sprint,
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`AT&T, T-Mobile, BT, Vodafone, Orange, etc.) and vendors (CISCO, Juniper,
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`Motorola, etc.) to deliver technical specification on service requirement.
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`11. During my time at TARI, from 2001 to 2009, I participated as an
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`active member in various plenary level meetings of TSG RAN and TSG SA, and
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`working group level meetings of SA1, SA2, SA3, RAN1, RAN2, CT1, CT3 of the
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`3rd Generation Partnership Project (3GPP) to develop technical specifications for
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`various technologies, such as 4G LTE and others. I submitted over 150
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`contributions to 3GPP, OMA, and IEEE. Also I took a leadership role as a
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`Rapporteur 3GPP SA3 to initiate Study Item and develop Technical Feasibility
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`Report TR 33.817 on “Use of Single SIM for Multiple Device Authentication”.
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`12. From 2009 to 2010, I remained a spokesperson of the Department of
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`Homeland Security (DHS), where I represented DHS in 3GPP, presented technical
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`contributions on “Multimedia Priority Service,” “Govt. Emergency Telecomm
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`Service”, and influenced the 3GPP Release 9 technical specifications to achieve
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`the results desired by the DHS. I also remained a Senior Consultant to the State of
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`New Jersey, to secure a $87 Million grant from the Federal Government for the
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`
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`
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`Samsung Exhibit 1012, Page 3
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`
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`
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`deployment of 3GPP based 4G Wireless Network for First Respondents. It
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`involved collaborating with LTE vendors to find out radio wave coverage of base
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`stations on the RAN side, and determining the optimum number of routers, circuits
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`etc. on the CORE side for reliable operation.
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`13. From January 2010 to January 2013, I was an associate
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`professor/adjunct professor at the Stevens Institute of Technology and the
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`University of Tennessee at Chattanooga, teaching courses in 4G/Mobile
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`Broadband System, Advanced Metering Infrastructure and Cyber Security, Smart
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`Grid, and Power Systems, among others.
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`14. From December 2012 to May 2015, I was the Department
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`Head/Director of Technical Training at NIKSUN, Inc. NIKSUN develops a wide
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`array of real-time and forensics-based cybersecurity and network performance
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`management solutions for government and intelligence agencies, service providers,
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`financial services companies, and large enterprises, such as retailers and
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`manufacturers.
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`15. While working at Toshiba, I filed 34 patents and received inventor of
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`the year award in 2014 from New Jersey Hall of Fame. While working at Wells
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`Fargo, I submitted 12 patents to the innovation group.
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`16. Exhibit 1017 is a true and correct copy of my Curriculum Vitae.
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`
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`
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`Samsung Exhibit 1012, Page 4
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`
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`III. THIRD GENERATION PARTNERSHIP PROJECT (“3GPP”)
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`17. As cellular telecommunications technology developed in the late
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`eighties and nineties, network operators realized that standardization was necessary
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`to ensure subscriber mobility: cell phone subscribers wanted to be able to connect
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`to their home mobile networks and roam on a third-party network.
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`18.
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`3GPP was formed to coordinate and facilitate the development of
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`standards for GSM (“2G”) and its later variations, such as Universal Mobile
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`Telecommunications Systems (“UMTS” or “3G”), Long Term Evolution (“LTE”
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`or “4G”), and Long Term Evolution Advanced (“LTE-A”). Network operators as
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`well as handset and device manufacturers, such as Samsung and Huawei, among
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`others, have been involved in the development of 3GPP standards.
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`19.
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`3GPP is a global initiative partnership that unities seven 3GPP
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`Organizational Partners from Asia, Europe and North America, the Association of
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`Radio Industries and Businesses (ARIB) and Telecommunication Technology
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`Committee (TTC) from Japan, the China Communications Standards Association
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`(CCSA) from China, the Telecommunications Standards Development Society
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`(TSDSI) from India, the Telecommunications Technology Association (TTA) from
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`Korea, the European Telecommunications Standards Institute (ETSI), and the
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`Alliance for Telecommunications Industry Solutions (ATIS) from the United
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`States. The goal of 3GPP is to provide its members with an environment to
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`produce reports and specifications that define technologies covering cellular
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`
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`
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`Samsung Exhibit 1012, Page 5
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`
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`
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`telecommunications networks, including User Equipment or Mobile Device (UE)
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`technologies, Radio Access Network (RAN) technologies, Core Network (CN)
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`technologies, and service and system capabilities—including work on codecs,
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`security, and quality of service. The specifications also provide hooks for
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`interworking with non-3GPP networks, including Wi-Fi networks. See “About
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`3GPP Home,” available at http://www.3gpp.org/about-3gpp (last accessed May
`
`23, 2017).
`
`10. The technical specifications developed by 3GPP are contribution-
`
`driven by the 3GPP member companies. 3GPP has four Technical Specification
`
`Groups (TSGs): Radio Access Networks (RAN), Service & Systems Aspects
`
`(SA), Core Networks & Terminals (CT), and GSM EDGE Radio Access Networks
`
`(GERAN) (GERAN is currently inactive). The Working Groups within the TSGs
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`meet regularly and also have a quarterly plenary meeting where member
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`companies’ contributions, draft specification, and other discussion documents are
`
`presented for approval.
`
`20.
`
`3GPP specifications and technical reports, and feasibility reports are
`
`contribution-driven, by member companies, in Working Groups and at the
`
`Technical Specification Group (TSG) level. The three TSGs in 3GPP include:
`
`Radio Access Networks (RAN), Services & Systems Aspects (SA), and Core
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`Network & Terminals (CT). Each TSG has a particular area of responsibility for
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`the Reports and Specifications within 3GPP. TSG SA is also responsible for the
`
`
`
`
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`Samsung Exhibit 1012, Page 6
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`
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`
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`overall monitoring and coordination of work and it approves the work of other
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`TSGs.
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`21. The Working Group (“WG”) is the basic unit for the development of
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`specifications, technical reports, and feasibility reports. Working Groups meet
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`regularly and come together for their quarterly TSG Plenary meeting, where their
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`work is presented for information, discussion, and approval.
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`22. Progress on 3GPP standards is measured by the milestones achieved
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`in particular Releases. New features are “functionality frozen” and are ready for
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`implementation when a Release is completed. 3GPP works on a number of
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`Releases in parallel, starting future work well in advance of the completion of the
`
`current Release.
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`23. The development of specifications by 3GPP is an ongoing,
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`collaborative effort involving hundreds of engineers from many companies.
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`Members of the various 3GPP working groups submit written contributions that
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`are used to trigger group discussion, bring new functionalities in the specifications,
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`or request a change to existing features or functionalities. A well-established
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`process is followed for capturing accepted proposals and changes in Technical
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`Specifications (TS) or Technical Reports (TR). 3GPP uses a system of parallel
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`“Releases,” which provide developers with a stable platform for the
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`implementation of features at a given point and then allow for the addition of new
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`functionality in subsequent Releases. The latest release would have a higher
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`
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`
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`Samsung Exhibit 1012, Page 7
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`
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`
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`release number. For example, TS 36.213 Release 8 is an earlier version of TS
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`36.213 Release 10. LTE was first fully specified in Release 8 and the releases
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`following Release 8 include enhanced technology to LTE. LTE-Advanced
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`(abbreviated as LTE-A) was introduced in Release 10.
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`24. With each iteration of the 3GPP standard, the standard evolves to add
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`new features and functionalities and at the same time tries to reuse the framework
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`already in place. The reason for this relates to backward compatibility and the
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`need for maximizing the benefit from long term investment in common
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`infrastructure and mobile user equipment. In fact, one of the key directives for
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`3GPP was to ensure that the core system architecture would evolve over the
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`decades, as opposed to being replaced with each new standard and hence the name
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`LTE (Long Term Evolution) was assigned.
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`IV. PUBLIC AVAILABILITY OF 3GPP DOCUMENTS
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`25. The development of technical specifications and the documentation
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`relevant to that development is a very structured process at 3GPP. Each 3GPP
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`Working Group meets regularly (approximately every two months) and is
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`responsible for handling Technical contributions or Documents (also called
`
`TDocs.) from the 3GPP members. The TDocs. may introduce new features,
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`initiate discussion for new features, or request for a change in “functionality frozen
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`Release.” The request for change, commonly known in 3GPP as “the Change
`
`Request” (CR), follows a specific, 3GPP defined procedure to create revised
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`
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`
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`Samsung Exhibit 1012, Page 8
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`
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`
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`versions of 3GPP specifications after their initial approval. The three main reasons
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`why a change might be required are to: (a) add a new feature, (b)
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`correct/clarify/enhance an existing feature of a Release, or (c) correct textual errors
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`in a specification.
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`26. The TDocs (which may include CRs), are first approved at the
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`Working Group level, then are approved by the relevant Plenary group, which
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`meets approximately every three months, and finally are approved by TSG SA that
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`is also responsible for the overall monitoring and coordination of work.
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`27. When there are new concepts to discuss, the Working Group starts a
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`Technical Report (“TR”) (e.g., “TR 36.826”) to further develop those ideas.
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`Exhibit 1018 is a true and accurate copy of 3GPP TR 21.900 V8.0.0 (2007-09),
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`which describes the procedures for naming and changing 3GPP documents, and for
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`naming files on 3GPP’s publicly available servers. As noted on page five, these
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`procedures are followed because it “is very important that the changes that are
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`brought into the standard, from the past, present, and in the future, are well
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`documented and controlled, so that technical consistency and backwards tracing
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`are ensured.” As can be seen from Section 4.0 of Exhibit 1018, the title of a
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`Technical Report (TR) or Technical Specification (TS) document follows a
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`structured numbering system that provides details regarding the subject matter and
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`technology to which the TR or TS document pertains. The number system is
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`3GPP [TR/TS] aa.bbb Vx.y.z (yyyy-mm):
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`
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`
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`Samsung Exhibit 1012, Page 9
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`
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`
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`•
`
`•
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`•
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`•
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`•
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`aa is the “series” number to which the specification belongs (e.g., “53
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`series” corresponds to “Radio aspects”);
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`bbb is the “report” or “specification” number;
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`Vx.y.z is Version x.y.z where x is 1 if the document is presented to
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`TSG for information; x is 2 if the document is presented to TSG for
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`approval; and x is 3 or greater to indicate that it is a TSG approved
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`document, and is under change control (at this stage the number
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`corresponds to the 3GPP release number); y is incremented every time
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`a change of substance occurs (i.e., technical enhancements,
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`corrections, updates, etc.) and when the TSG approves one or more
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`Change Requests (y is reset to zero every time the x field is
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`incremented); and z is incremented when purely editorial changes
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`have been incorporated in the document (z is also reset to zero every
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`time the y field is incremented or reset to zero).
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`yyyy is the year that the relevant TSG or Working Group approved the
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`document.
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`mm is the month that the relevant TSG or Working Group approved
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`the document.
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`28. As described in Section 5A of Exhibit 1018, the format for the
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`filename of a TR or TS document on the 3GPP server at least includes aabbb-xyz,
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`which provides information regarding the contents and stage of development of the
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`Samsung Exhibit 1012, Page 10
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`
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`
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`contents of the document. aa and bbb have the same significance as shown above.
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`x, y, and z have the same significance as in the version number described above.
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`To “save storage space and to speed up uploading and downloading,” source files
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`are saved compressed in industry standard ZIP format. Exhibit 1018 at Section
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`5A. The filename of the zipped file is the same as that of the contained source file,
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`with the file extension “.zip”. For example, “29341-420.zip is the compressed file
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`of specification 29.341 version 4.2.0.” Id.
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`29.
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`In the ordinary course of 3GPP’s regularly-conducted business
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`activities and pursuant to its standard business practices, 3GPP assigns a unique
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`document number (a “TDoc. number”) to the documents related to the
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`development of 3GPP cellular telecommunications standards, and members upload
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`these documents to 3GPP’s public FTP server before, during, and after Working
`
`Group meetings. The TDocs. may pertain to draft proposals, documents for
`
`discussion, Technical Reports, Technical Specifications, Change Requests,
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`Liaisons (3GPP inter-groups communication, or communication with external
`
`organizations), meeting calendars, meeting agenda, meeting minutes etc. The
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`3GPP’s TDocs. are publicly-available and unrestricted on the online FTP server.
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`See 3GPP FTP Directory Listing, available at http://www.3gpp.org/ftp/ (last
`
`accessed at May 22, 2017). And the 3GPP’s guidelines and FAQs webpage
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`confirms that all information is openly published and no password is needed to
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`access any information on the 3GPP website. See 3GPP FAQs available at
`
`
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`
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`Samsung Exhibit 1012, Page 11
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`
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`
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`http://www.3gpp.org/contact/3gpp-faqs (last accessed on May 22, 2017). FTP
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`links to file server areas of each TSG and WG can be found via the 3GPP web
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`pages.” Exhibit 1018 at Section 7.6.
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`30. Making the documents publicly available encourages discussion and
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`promotes collaboration among Working Group members toward the establishment
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`of industry standards for cellular telecommunications.
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`31. Based upon my experience as a regular attendee and a contributor of
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`3GPP meetings from 1999 to 2009, an ad-hoc Working Group Chairman, Working
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`Group Rapporteur, and a contributing member of a multitude of different Working
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`Groups, I can confidently say that all 3GPP documents available on 3GPP’s public
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`FTP server are made available without any restrictions and without any
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`confidentiality designations. In other words, 3GPP members and other interested
`
`members of the public can freely access, download, print, reproduce, and
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`disseminate all TDocs. to anyone.
`
`32.
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`In the ordinary course of 3GPP’s regularly conducted business
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`activities and pursuant to its standard business practices, documents uploaded to
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`the publicly-available, unrestricted, online FTP server would receive a date and
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`time stamp. Any member of the public could navigate to any TDoc. by directing a
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`web browser to the 3GPP FTP Directory Listing, available at
`
`http://www.3gpp.org/ftp (last accessed at May 22, 2017). In my experience, all
`
`
`
`
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`Samsung Exhibit 1012, Page 12
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`
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`
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`documents are retained on the public 3GPP server indefinitely, and the date and
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`time stamp can be relied upon to indicate when the upload occurred.
`
`33. For example, by navigating the links shown below in the URL path, a
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`user can be presented with all the TDocs submitted for the RAN Working Group 1
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`meeting #52bis:
`
`
`
`3GPP FTP Directory Listing, available at
`http://www.3gpp.org/ftp/tsg_ran/WG1_RL1/TSGR1_52b/Docs/ (last accessed
`May 22, 2017).
`
`
`34. The directory listing above indicates that the TDoc R1-081172 was
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`publicly posted on the 3GPP’s public FTP server on March 19, 2008 at 3:09 PM.
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`At this time, any interested member of the public could access this document by
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`navigating from http://www.3gpp.org/ftp and selecting the appropriate links for the
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`desired subject or Working Group number (e.g., WG1 RL1), meeting number (e.g.,
`
`
`
`
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`Samsung Exhibit 1012, Page 13
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`
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`TSGR1_52b), and type (e.g., “Docs” for all TDocs. associated with that meeting).
`
`In this way, TDocs. are indexed by subject, meeting number, and type. In addition,
`
`since meeting numbers are incremented sequentially, this also results in an index
`
`by date. In my experience, the FTP time stamp (like the one shown above) can be
`
`relied upon to show when the TDocs. were publically available without restriction
`
`to anyone with Internet access.
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`35.
`
`In my experience, any interested Internet user, exercising reasonable
`
`diligence, can locate and access draft proposals, technical reports, technical
`
`specifications, change requests, minutes of the meeting and other 3GPP documents
`
`using this method at any time beginning from the date and time the document was
`
`uploaded to 3GPP’s public FTP server, at which time the document becomes
`
`publicly available. At the time of its upload to 3GPP’s public FTP server, a TDoc.
`
`becomes publicly available without restriction to any person with an Internet
`
`connection. In addition, 3GPP members are typically sent an email when all
`
`contributions for a particular meeting are uploaded to 3GPP’s public FTP server,
`
`which typically occurs a few days or weeks before each meeting.
`
`36. As explained by 3GPP, “TDoc. numbers start to be allocated some
`
`weeks before a 3GPP meeting, and the authors then create them, and they or the
`
`group’s secretary uploads them to the public file server as soon as possible.” See
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`“3GPP FAQs,” available at http://www.3gpp.org/contact/3gpp-faqs (last accessed
`
`May 22, 2017). “During the meeting, further TDocs. are created, mostly revisions
`
`
`
`
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`Samsung Exhibit 1012, Page 14
`
`
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`
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`of ones available before the meeting, but some brand new ones too—for example,
`
`outgoing liaison statements. These are uploaded to the meeting server, but (until
`
`recently) may or may not be uploaded to the public server during the meeting.
`
`(Since 2014, for most meetings, meeting server contents have been mirrored to a
`
`folder on the public server, but these copies are deleted shortly after the end of the
`
`meeting.) Soon after the end of the meeting—the same day, or at worst within a
`
`few days—the TDocs. created during the meeting are uploaded by the secretary to
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`the public server.” Id. In all cases, “the time stamp of the Zip file can be relied
`
`upon to indicate when the upload [to the public FTP server] occurred.” Id. While
`
`access to the meeting server might be limited to those attending the meeting,
`
`access to the public FTP server is made freely available to all those with an
`
`Internet connection. No access restrictions are enforced within the meeting folders
`
`on the public FTP server, and members of the general public can freely access and
`
`download all meeting TDocs. without restriction at any time after they are
`
`uploaded.
`
`37.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, 3GPP creates official
`
`“meeting minutes” or reports during each Working Group meeting, and shortly
`
`after the meeting concludes, the draft meeting minutes (or report) are typically
`
`uploaded on the meeting server, and later on the public server like other TDocs.
`
`Draft meeting minutes or the link of the same is also distributed and the
`
`
`
`
`
`Samsung Exhibit 1012, Page 15
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`
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`
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`participants are invited to submit comments on draft meeting minutes after the
`
`meeting. The minutes are approved at the start of the immediately following
`
`meeting. In my experience, meeting minutes are a reliable indicator of how the
`
`submitted TDocs. were treated at the meeting.
`
`38. The meeting minutes include summaries of the technical discussions,
`
`the documents revisions (if any) as a result of discussion, and the decisions made
`
`such as TDoc. approved/disapproved/withdrawn/noted/late, etc. of all the TDocs
`
`presented at that meeting. Low priority is given to those TDocs. that were received
`
`by the secretary after the pre-announced deadline, and the late documents may or
`
`may not be treated depending on the available meeting time, however, the title of
`
`each TDoc. (whether it was treated or not during that meeting) is included in the
`
`meeting minutes. The meeting minutes are organized by subject matter or topic
`
`and include a table of contents, so that all the relevant TDocs relating to a
`
`particular subject or topic can be easily located.
`
`39. Using TDoc R1-081172 as an example, we can see below the
`
`following entry in the 3GPP meeting minutes for RAN Working Group 1 meeting
`
`#52bis. This entry includes the title of the TDoc. (“LS on the change rate of
`
`physical later parameters”), the author (Ericsson), and the TDoc number (R1-
`
`081172). See Exhibit 1019 (Final Report of 3GPP TSG RAN WG1 #52bis) at 8.
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`Revisions to the TDoc. and subsequent or related TDocs. are also noted. The entry
`
`
`
`
`
`Samsung Exhibit 1012, Page 16
`
`
`
`
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`also indicates that the TDoc was presented by Erik Dahlman from Ericsson and
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`provides a summary of the presentation and resulting discussion. Id.
`
`
`
`Id.
`
`40. For example, a search of the Internet Archive’s WayBack Machine
`
`records for 3GPP’s website contains an archived version of the landing page for
`
`3GPP’s TSG RAN from October 23, 1999. See Exhibit 1020 (WayBack Machine
`
`Records). From this webpage, which refreshes and confirms my recollection as to
`
`how 3GPP’s website looked and could be navigated in 1999, meeting information,
`
`such as Working Group documents, could be accessed by the public. As can be
`
`seen, links providing “Documents access” of 3GPP and to the “Documents area” of
`
`each working group were readily accessible. Id.
`
`41.
`
`In my experience, an interested member of the public, using
`
`reasonable diligence, would have been able to easily locate TDocs. presented,
`
`discussed, or noted at a particular meeting by reviewing the meeting minutes. This
`
`is particularly true since meeting minutes are text searchable (in Microsoft Word
`
`format), include a table of contents, and are organized into sections by subject
`
`
`
`
`
`Samsung Exhibit 1012, Page 17
`
`
`
`
`
`matter. For example, the table of contents for the above meeting minutes appears
`
`below. The table of contents acts as a navigable index for easy and quick access
`
`to all TDocs. discussing a particular topic.
`
`Exhibit 1019 at 2-3.
`
`42.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, the TSGs/WG would
`
`formally approve incremental versions of the specifications (e.g., V1.0.0, V1.1.0,
`
`
`
`
`
`
`
`Samsung Exhibit 1012, Page 18
`
`
`
`
`
`etc.). These formally-approved versions are made available on the 3GPP
`
`specifications page: See 3GPP Specification Numbering available at
`
`http://www.3gpp.org/specifications/79-specification-numbering (last accessed on
`
`May 22, 2017). Any member of the public could navigate to a desired page by
`
`clicking on the appropriate links from the above website address. These
`
`documents are indexed on the aforementioned website at least by subject (“Subject
`
`of specification series”), specification number, and title. Documents uploaded to
`
`the publicly-available, unrestricted, online 3GPP specifications page would receive
`
`a 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. For example, by selecting the “25
`
`series” link, and then the “25.321” (Medium Access Control (MAC) protocol
`
`specification) link, a user’s web browser is redirected to a portal.3gpp.org address
`
`where the “Version” information tab can be selected to access all current and
`
`historical versions of TS 35.321, as shown below. In my experience, the “Upload
`
`date” (like the one shown below) can be relied upon to show when the
`
`specifications and standards were publically available without restriction by
`
`anyone with Internet access.
`
`
`
`
`
`
`
`Samsung Exhibit 1012, Page 19
`
`
`
`
`
`
`
`3GPP Portal, Specification #: 25.321, available at
`https://portal.3gpp.org/desktopmodules/Specifications/SpecificationDetails.aspx?s
`pecificationId=1175 (last accessed May 22, 2017).
`
`43. The first approved version is based upon the draft version formally
`
`approved by the TSG, and thereafter versions are generated whenever Change
`
`Requests are approved by the TSG. These versions are made available shortly
`
`after the TSG meeting at which such approval occurred. The date (year and
`
`month) shown at the top of the specification’s cover page indicates either the date
`
`
`
`
`
`Samsung Exhibit 1012, Page 20
`
`
`
`
`
`of (the last day of) the meeting, or the month in which the new version was
`
`prepared. However a more precise indication of the date of availability can be
`
`obtained from the Spec’s web page (via the table at
`
`http://www.3gpp.org/specifications/) where a precise date is shown in the
`
`“available” column. In my experience, the date indicated on the top of a TS’s
`
`cover page and the date indicated on the specification web page maintained by
`
`3GPP both accurately reflect the date the TS was made publicly available through
`
`the methods described above. This timing is confirmed and corroborated by the
`
`current 3GPP FAQ Webpage. See “3GPP FAQs,” available at
`
`http://www.3gpp.org/contact/3gpp-faqs (last accessed May 22, 2017) Based on
`
`my understanding of 3GPP’s publication practices as a regular meeting attendee
`
`from 1999 to 2009, an ad-hoc Working Group Chairman, Working Group
`
`Rapporteur, and a member of a multitude of different Working Groups, the FAQ
`
`webpage accurately describes the time leading up to Working Group meetings.
`
`44.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, TDocs. were also
`
`sometimes distributed using 3GPP’s public email “reflector” (sometimes also
`
`called “exploder” or “listserv”). Thus, it is normal to distribute the TDoc. via the
`
`exploder, before or after a meeting. Moreover, as summarized on 3GPP’s FAQ
`
`webpage, which is consistent with my understanding of 3GPP’s publication
`
`practices at the relevant time, distribution via exploder emails also renders
`
`
`
`
`
`Samsung Exhibit 1012, Page 21
`
`
`
`
`
`documents open to the public. In my experience, when an email was sent to the
`
`reflector, the email and any attachments were immediately available to (1) any
`
`members of the public who subscribed to the list (popular lists could have
`
`hundreds or even thousands1 of subscribers); and (2) any members of the public
`
`who navigated to the email reflector’s online archive that is maintained by one of
`
`3GPP’s Organizational Partners, such as ETSI. See ETSI Listserve Archives
`
`available at http://list.etsi.org/scripts/wa.exe?INDEX (last access May 23, 2017).
`
`45. Emails and documents uploaded to 3GPP’s publicly-available,
`
`unrestricted, online email reflector archive would receive a time and date stamp.
`
`In my experience, all emails and documents are retained on the 3GPP’s email
`
`reflector archive indefinitely, and the date and time stamp for each email and
`
`document can be relied upon to indicate when the upload occurred and when the
`
`emails and documents became publicly available. The documents accessible via
`
`the aforementioned archive website are indexed at least by list group name (which
`
`indicates subject matter) and date.
`
`46.
`
`In addition, any interested user of the public can perform string
`
`searches within the ETSI listserv archives for keywords appearing anywhere in the
`
`
`1 For example the list 3GPP_TSG_RAN_WG1 has 1555 subscribers, the list
`3GPP_TSG_RAN_WG2 has 1016 subscribers, the list 3GPP_TSG_RAN_WG3
`has 735 subscribers, and the list 3GPP_TSG_RAN_WG1 has 817 subscribers. See
`ETSI Listserve Archives available at http://list.etsi.org/scripts/wa.exe?INDEX
`(last accessed May 22, 2017). In addition, it is my experience that some
`corporations subscribe email “aliases” to these lists which might result in messages
`being automatically distributed to many users within the corporation.
`
`
`Samsung Exhibit 1012, Page 22
`
`
`
`
`
`message or anywhere in the subject. You can also further restrict searches by date
`
`range and author address, as shown below. In my opinion, using this search
`
`functionality, any interested user of the public, exercising reasonable diligence, can
`
`locate and access any messages and attached documents that were submitted to
`
`3GPP’s public email reflector any time after the message was submitted.
`
`
`
`ETSI Archive Search available at
`http://list.etsi.org/scripts/wa.exe?REPORT&z=4&1=3GPP_TSG_RAN_WG2&L=
`3GPP_TSG_RAN_WG2 (last accessed May 22, 1017).
`
`47.
`
`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 reflector’s online a
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