UNITED STATES PATENT AND TRADEMARK OFFICE
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`ERICSSON INC. (“ERICSSON”)
`
`Petitioner
`
`- vs. -
`
`INTELLECTUAL VENTURES II LLC (“INTELLECTUAL VENTURES”)
`
`Patent Owner
`
`U.S. Patent No. 8,682,357
`———————
`
`DECLARATION OF SVEN EKEMARK
`
`Ericsson v. IV II LLC
`Ex. 1016 / Page 1 of 187
`
`
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`ERICSSON INC. (“ERICSSON”)
`
`Petitioner
`
`- vs. -
`
`INTELLECTUAL VENTURES II LLC (“INTELLECTUAL VENTURES”)
`
`Patent Owner
`
`U.S. Patent No. 8,682,357
`———————
`
`DECLARATION OF SVEN EKEMARK
`
`Ericsson v. IV II LLC
`Ex. 1016 / Page 1 of 187
`
`
`
`I, Sven Ekemark, declare as follows:
`
`1.
`
`I am over the age of 21, and I have personal knowledge of the facts
`
`contained herein unless otherwise indicated. I am an employee of
`
`Telefonaktiebolaget LM Ericsson (“Ericsson”).
`
`2.
`
`I have been asked to provide this declaration to describe how certain
`
`Third Generation Partnership project (“3GPP”) documents were disseminated.
`
`3.
`
`The following table lists exhibits and appendices referenced herein.
`
`Document
`R2-060988, PCH mapping and Paging control, CATT, 3GPP
`RAN1/RAN2 joint meeting on LTE, March 27 – March 31, 2006,
`available at:
`http://www.3gpp.org/ftp/tsg_ran/wg2_rl2/TSGR2_52/Documents/
`(“R2-060988”)
`R2-061014, Discussion on LTE Paging and DRX, LG Electronics,
`Joint RAN WG1 and RAN WG2 on LTE, March 27 – March 31,
`2006, available at:
`http://www.3gpp.org/ftp/tsg_ran/wg2_rl2/TSGR2_52/Documents/
`(“R2-061014”)
`R2-060905, Access procedure for TDD, CATT, RITT, 3GPP
`RAN1/RAN2 joint meeting on LTE, March 27 – March 31, 2006,
`available at:
`http://www.3gpp.org/ftp/tsg_ran/wg2_rl2/TSGR2_52/Documents/
`(“R2-060905”)
`R1-050629, Inter-cell Interference Mitigation, Huawei, June 20 –
`June 21, 2005, available at:
`http://www.3gpp.org/ftp/tsg_ran/wg1_rl1/TSGR1_AH/LTE_AH_050
`6/Docs/ (“R1-0500629”)
`3GPP TR 25.813, V0.6.0, 2006-03, available at:
`https://portal.3gpp.org/desktopmodules/Specifications/SpecificationD
`etails.aspx?specificationId=1246 (“TR25.813”)
`Quan, Haiyang, CATT contributions for the RAN1/RAN2 joint
`meeting, March 21, 2006, available at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN
`
`Reference
`Ex. 1005
`
`Ex. 1006
`
`Ex. 1007
`
`Ex. 1008
`
`Ex. 1013
`
`Appx. A
`
`Ex. 1016 / Page 2 of 187
`
`
`
`_WG2&P=39601
`R2-060905, Access procedure for TDD, CATT, RITT, 3GPP
`RAN1/RAN2 joint meeting on LTE, March 27 – March 31, 2006,
`available in R2-060905.zip at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN
`_WG2&P=39601
`Quan Haiyang, CATT contributions for RAN1/RAN2 JM, March 24,
`2006, available at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN
`_WG2&P=77863
`R2-060988, PCH mapping and Paging control, CATT, 3GPP
`RAN1/RAN2 joint meeting on LTE, March 27 – March 31, 2006,
`available in R2-060988.zip at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN
`_WG2&P=77863
`SungJun Park, LG Contributions(2) on Joint Meeting in Athens, LG
`Electronics, March 21, 2006, available at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603C&L=3GPP_TSG_RA
`N_WG1&P=184751
`R2-061014, Discussion on LTE Paging and DRX, LG Electronics,
`Joint RAN WG1 and RAN WG2 on LTE, March 27 – March 31,
`2006, available in R2-061014.zip at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603C&L=3GPP_TSG_RA
`N_WG1&P=184751
`Gaoke Du, Huawei Contributions on RAN1 LTE Ad hoc Meeting,
`Huawei, June 16, 2005, available at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0506&L=3GPP_TSG_RAN
`_WG1&P=26850
`R1-50629, Inter-cell Interference Mitigation, Huawei, June 20 –
`June 21, 2005, available in R1-50629.zip at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0506&L=3GPP_TSG_RAN
`_WG1&P=26850
`3GPP TR 25.813, V0.6.0, 2006-03, available in 25813 v060
`Changes.zip at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN
`_WG2&P=25253
`
`Appx. B
`
`Appx. C
`
`Appx. D
`
`Appx. E
`
`Appx. F
`
`Appx. G
`
`Appx. H
`
`Appx.(cid:3)(cid:45)
`
`Ex. 1016 / Page 3 of 187
`
`
`
`3GPP TR 25.813, V0.6.0, 2006-03, available at:
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN
`_WG2&P=25253
`R2-061151, Draft2 minutes of the 52nd TSG-RAN WG2 meeting,
`available in R2-061151.zip at:
`http://www.3gpp.org/ftp/tsg_ran/WG2_RL2/TSGR2_52/Report/
`
`Appx. (cid:44)
`
`Appx. K
`
`I.
`
`PROFESSIONAL BACKGROUND
`
`4.
`
`I graduated from Uppsala University in 1981 with a master’s degree
`
`in applied physics. Upon graduation, I joined Ericsson as an engineer in Sweden.
`
`I have been employed at Ericsson since 1981, except for a short period from June
`
`to August 1989, when I was employed at Pharmacia Biosensor AB in Sweden.
`
`5.
`
`Since I joined Ericsson, I have held a number of positions relating to
`
`the development of 3GPP standards. 3GPP is a global initiative partnership that
`
`unities seven 3GPP telecommunications standard development organizations from
`
`around the world for the purpose of developing cellular wireless communication
`
`standards. I am currently employed by Ericsson in Stockholm as a systems
`
`engineer.
`
`6.
`
`Since 2010, I have worked on Long-Term Evolution (LTE) in the area
`
`of traffic load balancing and traffic management in eNodeB. From November
`
`2003 – February 2009, I was engaged full-time in Ericsson’s RAN2 delegation.
`
`During that time, I attended all regular RAN2 meetings and several ad hoc
`
`meetings. I monitored the development of LTE standards, but I was mainly
`
`Ex. 1016 / Page 4 of 187
`
`
`
`involved in the evolution of 3G, or third generation, wireless cellular standards.
`
`The evolution of 3G standards occurred in parallel with the development of LTE,
`
`which was viewed as the next step beyond 3G standards.
`
`a. 3GPP Experience
`
`7.
`
`RAN1 and RAN2 were, and are, 3GPP working groups responsible
`
`for different, but related, portions of cellular standards. More specifically, RAN1 is
`
`a working group responsible for the specification of the physical layer of various
`
`cellular standards, and RAN2 was, and is, a working group responsible for
`
`signaling protocol layers residing just above the physical layer. The RAN1
`
`Working Group is sometimes referred to as TSG-RAN1 or RAN WG1. Likewise,
`
`the RAN2 Working Group is sometimes referred to as TSG-RAN2 or RAN WG2.
`
`These Working Groups met regularly where member companies’ contributions,
`
`draft specifications / reports, and other documents were presented for agreement.
`
`If there was agreement, the agreed documents were then submitted to the TSG
`
`RAN (“plenary meeting”), where they may be formally approved. I attended three
`
`of the TSG RAN meetings during my period as acting technical coordinator of the
`
`Ericsson RAN2 team. The TSG RAN meetings that I attended were in May,
`
`September, and November/December 2006.
`
`8.
`
`This declaration addresses 3GPP activities in the 2005-2006
`
`timeframe, particularly prior to May 2006. In the 2005-2006 timeframe, there were
`
`Ex. 1016 / Page 5 of 187
`
`
`
`at least dozens of companies that were members of 3GPP. Member companies
`
`were generally interested in the discussion, creation, and adoption of cellular
`
`telecommunications standards. For example, the technical specifications
`
`developed by 3GPP were, and are, contribution-driven by the 3GPP member
`
`companies and the many individual participants from these companies. Each of
`
`these companies typically delegated one or multiple individuals to regularly
`
`participate in 3GPP meetings. The documents provided before the meetings were
`
`uploaded to 3GPP’s public FTP server shortly after being made available via the e-
`
`mail reflector (within the next few days). Additionally, documents provided or
`
`updated during the meeting were uploaded to the FTP server after the meeting. The
`
`documents were, and are, available to the general public via the Internet from the
`
`FTP server.
`
`9.
`
`In my experience, working groups RAN1 and RAN2 met several
`
`times per year and had primary responsibility for drafting and editing
`
`specifications and change requests. Meetings for working group were numbered
`
`sequentially (e.g., RAN2, Meeting #52 (“TSGR2_52”)). There were also so-called
`
`“bis” meetings (e.g., TSGR2_56bis), which were “half step” meetings between the
`
`sequentially numbered meetings (integer numbers). The “bis” meetings were extra
`
`meetings to handle the working group workload. The members of the working
`
`groups were typically employees of various companies in the telecommunications
`
`Ex. 1016 / Page 6 of 187
`
`
`
`industry. Prior to each meeting, members of the working group prepared technical
`
`documents (“TDocs”, also referred to as “contributions”) to discuss and/or propose
`
`a new feature or change(s) to an existing feature.
`
`10.
`
`In 2003, I joined the RAN2 Working Group as a delegate for
`
`Ericsson. There was some overlap between RAN1 and RAN2, which led to joint
`
`RAN1/RAN2 meetings where the groups would try to agree on features common
`
`to both groups. Typically at least 50 delegates attended working group meetings. I
`
`worked as a delegate for Ericsson focused primarily on RAN2 until 2009.
`
`11. During my time as RAN2 delegate, I regularly attended the meetings
`
`for the RAN2 group. Specifically, I began attending RAN2 meetings in 2003 and
`
`continued until 2009. During those meetings, I presented Ericsson contributions
`
`and participated in technical discussions, e.g., to discuss and evaluate technical
`
`contributions submitted by other companies. In addition, prior to those meetings, I
`
`did technical research to prepare contributions to RAN2 meetings, regularly
`
`accessed the 3GPP FTP website during that time, and regularly monitored emails
`
`originating from the email reflector for RAN2.
`
`b. General Practices of 3GPP
`
`12. Based on my experience as a RAN2 delegate, I understand that during
`
`that period in the ordinary course of its regularly conducted business activities, and
`
`pursuant to its standard business practices, 3GPP published technical
`
`Ex. 1016 / Page 7 of 187
`
`
`
`specifications, proposals, reports, TDocs and other documents related to the
`
`development of cellular telecommunications standards. Such documents were
`
`published for the purposes of discussion and the establishment of industry
`
`standards for wireless cellular telecommunications.
`
`13.
`
`These documents were made available and actually distributed to the
`
`public in several ways. These documents were uploaded to and available for
`
`download at 3GPP’s publicly available website: http://www.3gpp.org/ftp. TDocs
`
`were also disseminated via email to subscribers of various working group email
`
`reflectors. Additionally, some TDocs were discussed or presented at the working
`
`group meetings, and all TDocs submitted for the meeting were available
`
`electronically to meeting attendees from a server via a local WiFi network setup at
`
`the location where the meeting took place.
`
`i. FTP Server
`
`14.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to 3GPP’s standard business practices in the 2005-2006
`
`timeframe, TDocs were assigned a document number (“TDoc number”) and
`
`uploaded to 3GPP’s public FTP server for public viewing prior to the meeting
`
`listed on the TDoc that indicates the meeting in which the TDoc was intending to
`
`be discussed. Making the documents publicly available encouraged discussion and
`
`promoted establishment of industry standards for cellular telecommunications. As
`
`Ex. 1016 / Page 8 of 187
`
`
`
`a result, these documents are public and available to all without any restriction
`
`(e.g., no login, password, or membership login, and no restriction on further
`
`dissemination), including individuals not employed by a 3GPP member company.
`
`15. After a meeting, the RAN2 secretary or others would create a report
`
`or document list that would summarize or otherwise identify each meeting
`
`document treated (presented during the meeting) or not treated (available to
`
`attendees and the public). The report and document list would be stored in the
`
`same meeting directory on the FTP website. This report would therefore provide a
`
`summary or index of the contributions submitted for a meeting. Someone who was
`
`interested in the development of communications standards and the proposals
`
`discussed in RAN2 meetings could access the directory for the meeting on the
`
`3GPP FTP website, look for the document list or meeting report, and then look for
`
`specific documents discussed in that report to identify submissions of interest.
`
`ii. E-mail Reflector
`
`16.
`
`In the ordinary course of 3GPP’s regularly conducted business
`
`activities and pursuant to its standard business practices, TDocs and discussion
`
`documents were also typically distributed using 3GPP’s public email mechanism
`
`referred to as an “exploder” or “reflector.” The email exploder effectively acted as
`
`an email alias that distributed emails, e.g., having attached TDocs, to all the
`
`subscribers to the email list. There were over a hundred subscribers to the RAN1
`
`Ex. 1016 / Page 9 of 187
`
`
`
`and RAN2 email reflectors/exploders. The people that subscribed were typically
`
`engineers, such as myself, that were interested in following and/or participating in
`
`3GPP standards development and/or that were interested in keeping abreast of new
`
`ideas being submitted in TDocs. The subscriber list typically included all those
`
`persons who planned to attend an upcoming meeting were a TDoc may be
`
`discussed. The typical practice among people who were to attend an upcoming
`
`meeting was to review and form opinions about the ideas in TDocs and the
`
`potential impact on the standard. The email exploders for RAN1 and RAN2
`
`provided an efficient way for contributors to quickly and efficiently disseminate
`
`TDocs and provided a forum for email discussion about TDocs where desired.
`
`17.
`
`In my experience, when a participant wanted to share a TDoc for
`
`discussion, he or she would use the 3GPP exploder for the relevant working group
`
`(e.g., RAN2) to disseminate the TDoc. When an email was sent to the exploder list,
`
`the email and any attachments were immediately disseminated to any members of
`
`the public who subscribed to the list. The email and any attachments were also
`
`immediately available to any members of the public via the email exploder’s
`
`online archive that is maintained by one of 3GPP’s Organizational Partners:
`
`http://list.etsi.org/scripts/wa.exe?INDEX. Emails and documents uploaded to
`
`3GPP’s publicly-available, unrestricted, online email exploder archive would
`
`receive a time and date stamp. In my experience, all emails and documents are
`
`Ex. 1016 / Page 10 of 187
`
`
`
`retained on the 3GPP’s email exploder archive indefinitely, and the date and time
`
`stamp for each email and document can be relied upon to indicate when the upload
`
`occurred.
`
`18.
`
`TDocs were circulated typically at least a few days and up to a week
`
`before the meeting took place, in order to allow meeting attendees enough time to
`
`digest the material that would be discussed at the meeting. Usually there were
`
`more documents submitted than would be possible to discuss in a meeting. The
`
`delegates did not know which documents were going to be discussed at the
`
`meeting, and which documents were not going to be discussed at the meeting. It
`
`was usually decided at the meeting which documents were not going to be treated.
`
`As a result, the delegates read and prepared for all the documents as best they
`
`could.
`
`19. Anyone could subscribe to the RAN2 email reflector if they provided
`
`a name and e-mail address, and the email reflector was well-known among persons
`
`interested in following or participating in the development of wireless cellular
`
`standards.
`
`20.
`
`I subscribed to RAN2’s email reflector list during the 2005 – 2006
`
`timeframe. Over the years, I sent numerous email messages to RAN2’s email
`
`reflector and have received many more email messages from the RAN WG2 email
`
`reflector. It was my standard practice to pay attention to those emails and
`
`Ex. 1016 / Page 11 of 187
`
`
`
`selectively follow and participate in discussions that took place on the list. As a
`
`delegate for RAN2, I sent email messages submitting TDocs on Ericsson’s behalf
`
`to the RAN2 email reflector many times for discussion in advance of working
`
`group meetings.
`
`II.
`
`SPECIFIC REFERENCES
`
`21.
`
`In the following paragraphs I identify specific 3GPP documents. For
`
`each document available on the public 3GPP FTP server, I navigated to the
`
`relevant file. I reviewed the publicly available file in order to confirm that it had
`
`been correctly uploaded to the public 3GPP FTP server. In my experience, the
`
`date and time stamp for each file can be relied upon to indicate when the upload
`
`occurred.
`
`22.
`
`For each standard available on the 3GPP specifications page, I
`
`navigated to the relevant standard and version number. I reviewed the publicly-
`
`available standard in order to confirm that it had been correctly uploaded to
`
`3GPP’s specifications page. In my experience, the date stamp for each standard
`
`can be relied upon to indicate when the upload occurred.
`
`23.
`
`For each email and document available on 3GPP’s email exploder
`
`archive, I navigated to the relevant email, as described above. I reviewed the
`
`publicly-available email and its attachments in order to confirm that they had been
`
`correctly uploaded to 3GPP’s email exploder archive. In my experience, the date
`
`Ex. 1016 / Page 12 of 187
`
`
`
`and time stamp for each email and document available on 3GPP’s email exploder
`
`archive can be relied upon to indicate when the upload occurred.
`
`a. R2-060905 (Exhibit 1007)
`
`24.
`
`Based on the information in R2-060905, the document is a TDoc for
`
`the “TSG-RAN Working Group 2” (or RAN2) titled “Access procedure for TDD”
`
`and submitted by “CATT, RITT.” Accordingly, when asked to access this
`
`document, I navigated to the 3GPP website at http://www.3gpp.org, selected
`
`“Specification Groups” from the menu bar, and then selected “TSG RAN” from the
`
`dropdown. I then selected “RAN2 – Radio layer 2 and Radio layer 3 RR” and the
`
`“Documents” link to access the public file server where documents for the RAN
`
`Working Group 2 are stored.
`
`25. R2-060905 states that it was prepared for “3GPP RAN1/RAN2 joint
`
`meeting on LTE,” which took place in “Athens, Greece” from “27th-31th March,
`
`2006.” Accordingly, at the file server website, I selected the link “TSGR2_52,”
`
`which corresponds to RAN2 meeting #52, and selected the link “Documents,”
`
`where documents for the meeting are stored. A true and correct copy of the
`
`relevant portion of the Documents directory listing produced by the file server
`
`website is provided below.
`
`Ex. 1016 / Page 13 of 187
`
`
`
`Available at: http://www.3gpp.org/ftp/tsg_ran/wg2_rl2/TSGR2_52/Documents/
`
`26.
`
`The Documents directory index stated that R2-060905 was uploaded
`
`on “3/23/2006.” I selected the link for “R2-060905.zip” and downloaded a zip file
`
`of the same name. The zip file contained a Microsoft Word document, “R2-
`
`060905.doc,” with a date stamp of “3/21/2006,” two days before the zip file was
`
`uploaded. A true and correct copy of the document within the zip file (R2-
`
`060905.doc) is provided as Ex. 1007. Based on my personal knowledge, R2-
`
`060905.zip was uploaded to 3GPP’s publicly available website on March 23, 2006,
`
`and any member of the public could have downloaded the zip file, extracted the
`
`Word document enclosed, and viewed the contents of the Word document without
`
`restriction on March 23, 2006, and thereafter. I have no reason to believe these
`
`date stamps are inaccurate. I have determined that Ex. 1007 was publicly available
`
`on the file server no later than March 23, 2006.
`
`27. Because document R2-060905 was prepared for the working group
`
`meeting, I knew that the submitter at that time would have sent to the 3GPP RAN 2
`
`email exploder an email containing the document. Accordingly, I navigated to the
`
`3GPP web site at http://www.3gpp.org, then selected “Specification Groups” from
`
`Ex. 1016 / Page 14 of 187
`
`
`
`the menu bar, and then selected “email lists” from the dropdown. On the resulting
`
`page, next to “See all 3GPP email exploder lists at,” I selected “list.3gpp.org,”
`
`which took me to the web site https://list.etsi.org/scripts/wa.exe?INDEX. From
`
`there, I selected the link “[Next]” and “3GPP_TSG_RAN_WG2,” which
`
`corresponds to RAN Working Group 2. I then selected “March 2006,” which is
`
`where emails relating to meeting #52 from March 27 to 31, 2006 are stored.
`
`28. R2-060905 states that it was submitted by “CATT, RITT.”
`
`Accordingly, I selected the link “CATT contributions for the RAN1/RAN2 joint
`
`meeting.” This took me to a web page containing an email with the same subject.
`
`A true and correct copy of the web page containing the email is attached as
`
`Appendix A (available at:
`
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN_WG2&P=3
`
`9601).
`
`29.
`
`From its location in the directory labeled “3GPP_TSG_RAN_WG2”
`
`and with my knowledge of the email exploder, I determined that the email would
`
`have been sent to the members of RAN2. The email states that it was sent on
`
`“Tue, 21 March 2006,” which is two days before Ex. 1007 (R2-060905) was
`
`uploaded to the public file server. The email states, “Please find attached the
`
`following CATT contributions for the RAN1/RAN2 joint meeting. R2-060905
`
`Access procedure for TDD.” The web page displaying the email provided links to
`
`Ex. 1016 / Page 15 of 187
`
`
`
`download the email attachments, and I selected “R2-060905.zip.” This
`
`downloaded a file of the same name. The zip file contained a Microsoft Word
`
`document, “R2-060905.doc,” with a date stamp of “3/21/2006,” the same as that of
`
`the Microsoft Word file downloaded from the public file server (Ex. 1007). I have
`
`no reason to believe these date stamps are inaccurate. A true and correct copy of
`
`the document is provided as Appendix B.
`
`30. Based on comparing the documents, I determined that Ex. 1007 and
`
`Appendix B are identical. From this, I concluded that Ex. 1007 was publicly
`
`disseminated without restriction distributed via email exploder on March 21, 2006,
`
`a process that made Ex. 1007 publicly available. The email and document were
`
`also publicly available via the web page that contained the email on this date.
`
`Furthermore, the email confirmed that, consistent with the Documents directory
`
`index, Ex. 1007 was publicly available on the 3GPP public file server on March
`
`23, 2006.
`
`31. Based on the information above and my personal knowledge of
`
`3GPP’s business practices, it is my opinion that R2-060905, provided as Ex. 1007,
`
`was publicly available on the 3GPP file server, was publicly distributed by email,
`
`and was publicly available via a web page containing the email and the document
`
`no later than March 23, 2006. Persons interested in the subject matter, such as
`
`subscribers to the RAN2 email exploder (such as myself) or attendees at the
`
`Ex. 1016 / Page 16 of 187
`
`
`
`relevant meeting, would have received the document via email without restriction
`
`on further dissemination and/or would have been aware of an upcoming RAN2
`
`meeting and would have had incentive to navigate to the public file server/FTP site
`
`storing documents for the meeting to download and review TDocs, including the
`
`TDoc at issue, in anticipation of the upcoming meeting. Each meeting was
`
`publicized well ahead of time so that interested participants could work to generate
`
`TDocs for the next meeting to advance the standards process.
`
`b. R2-060988 (Exhibit 1005)
`
`32. Based on the information in R2-060988, the document is a TDoc for
`
`the “TSG-RAN Working Group 2” (or RAN2) titled “PCH mapping and Paging
`
`control” and submitted by “CATT.” Accordingly, when asked to access this
`
`document, I navigated to the 3GPP website at http://www.3gpp.org, selected
`
`“Specification Groups” from the menu bar, and then selected “TSG RAN” from
`
`the dropdown. I then selected “RAN2 – Radio layer 2 and Radio layer 3 RR” and
`
`the “Documents” link to access the public file server where documents for the
`
`RAN Working Group 2 are stored.
`
`33. R2-060988 states that it was prepared for “3GPP RAN1/RAN2 joint
`
`meeting on LTE,” which took place in “Athens, Greece” from “27-31 March,
`
`2006.” Accordingly, at the file server website, I selected the link “TSGR2_52,”
`
`which corresponds to RAN2 meeting #52, and selected the link “Documents,”
`
`Ex. 1016 / Page 17 of 187
`
`
`
`where documents for the meeting are stored. A true and correct copy of the
`
`relevant portion of the Documents directory listing produced by the file server
`
`website is provided below.
`
`Available at: http://www.3gpp.org/ftp/tsg_ran/wg2_rl2/TSGR2_52/Documents/
`
`34.
`
`The Documents directory index stated that R2-060988 was uploaded
`
`on “3/24/2006.” I selected the link for “R2-0060988.zip” and downloaded a zip
`
`file of the same name. The zip file contained a Microsoft Word document, “R2-
`
`0060988.doc,” with a date stamp of “3/24/2006,” the same day the zip file was
`
`uploaded. A true and correct copy of the document within the zip file (R2-
`
`0060988.zip) is provided as Ex. 1005. Based on my personal knowledge, the date
`
`stamps to mean that R2-0060988.zip was uploaded to 3GPP’s publicly available
`
`website on March 24, 2006, and that any member of the public could have
`
`downloaded the zip file, extracted the Word document enclosed, and viewed the
`
`contents of the Word document without restriction on March 24, 2006, and
`
`thereafter. I have no reason to believe these date stamps are inaccurate. Based on
`
`my understanding and personal knowledge, I have determined that Ex. 1005 was
`
`publicly available on the file server no later than March 24, 2006.
`
`Ex. 1016 / Page 18 of 187
`
`
`
`35. Because document R2-0060988 was prepared for the working group
`
`meeting, I knew that the submitter at that time would have sent to the 3GPP RAN 2
`
`email exploder an email containing the document. Accordingly, I navigated to the
`
`3GPP web site at http://www.3gpp.org, then selected “Specification Groups” from
`
`the menu bar, and then selected “email lists” from the dropdown. On the resulting
`
`page, next to “See all 3GPP email exploder lists at,” I selected “list.3gpp.org,”
`
`which took me to the web site https://list.etsi.org/scripts/wa.exe?INDEX. From
`
`there, I selected the link “[Next]” and “3GPP_TSG_RAN_WG2,” which
`
`corresponds to RAN Working Group 2. I then selected “March 2006,” which is
`
`where emails relating to meeting #52 from March 27 to 31, 2006 are stored.
`
`36. R2-060988 states that it was submitted by “CATT.” Accordingly, I
`
`selected the link “CATT contributions for RAN1/RAN2 JM.” This took me to a
`
`web page containing an email with the same subject. A true and correct copy of
`
`the web page containing the email is attached as Appendix C (available at:
`
`https://list.etsi.org/scripts/wa.exe?A2=ind0603&L=3GPP_TSG_RAN_WG2&P=7
`
`7863).
`
`37.
`
`From its location in the directory “3GPP_TSG_RAN_WG2” and with
`
`my knowledge of the email exploder, I determined that the email would have been
`
`sent to the members of RAN Working Group 2. The email states that it was sent
`
`on “Fri, 24 Mar 2006,” which is the same day Ex. 1005 (R2-060988) was uploaded
`
`Ex. 1016 / Page 19 of 187
`
`
`
`to the public file server. The email states, “Please find attached the following
`
`CATT contributions for RAN1/RAN2 JM… R2-060988 PCH mapping and Paging
`
`control.” The web page displaying the email provided links to download the email
`
`attachments, and I selected “R2-060988.zip.” This downloaded a file of the same
`
`name. The zip file contained a Microsoft Word document, “R2-060988.doc,” with
`
`a date stamp of “3/24/2006,” the same as that of the Microsoft Word file
`
`downloaded from the public file server (Ex. 1005). I have no reason to believe
`
`these date stamps are inaccurate. A true and correct copy of the document is
`
`provided as Appendix D.
`
`38. Based on comparing the documents, I determined that Ex. 1005 and
`
`Appendix D are identical. From this, I concluded that Ex. 1005 was publicly
`
`disseminated without restriction via email exploder on March 24, 2006, a process
`
`that made Ex. 1005 publicly available. The email and document were also
`
`publicly available via the web page that contained the email on this date.
`
`Furthermore, the email confirmed that, consistent with the Documents directory
`
`index, Ex. 1005 was publicly available on the 3GPP public file server on March
`
`24, 2006.
`
`39. Based on the information above and my personal knowledge, it is my
`
`opinion that R2-060988 titled “PCH mapping and Paging control” and provided as
`
`Ex. 1008, was publicly available on the 3GPP file server, was publicly distributed
`
`Ex. 1016 / Page 20 of 187
`
`
`
`by email, and was publicly available via a web page containing the email and the
`
`document no later than March 24, 2006. Persons interested in the subject matter,
`
`such as subscribers to the RAN2 email exploder (such as myself) or attendees at
`
`the relevant meeting, would have received the document via email without
`
`restriction on further dissemination and/or would have been aware of an upcoming
`
`RAN2 meeting and would have had incentive to navigate to the public file
`
`server/FTP site storing documents for the meeting to download and review TDocs,
`
`including the TDoc at issue, in anticipation of the upcoming meeting. Each
`
`meeting was publicized well ahead of time so that interested participants could
`
`work to generate TDocs for the next meeting to advance the standards process.
`
`c. R2-061014 (Exhibit 1006)
`
`40. Based on the information in R2-061014, the document is a TDoc for
`
`the “Joint RAN WG1 and RAN WG2 on LTE” titled “Discussion on LTE Paging
`
`and DRX” and submitted by “LG Electronics.” Accordingly, when asked to access
`
`this document, I navigated to the 3GPP website at http://www.3gpp.org, selected
`
`“Specification Groups” from the menu bar, and then selected “TSG RAN” from
`
`the dropdown. I then selected “RAN2 – Radio layer 2 and Radio layer 3 RR” and
`
`the “Documents” link to access the public file server where documents for the
`
`RAN Working Group 2 are stored.
`
`41. R2-061014 states that it was prepared for “Joint RAN WG1 and RAN
`
`Ex. 1016 / Page 21 of 187
`
`
`
`WG2 on LTE,” which took place in “Athens, Greece” from “27th-31th March,
`
`2006.” Accordingly, at the file server website, I selected the link “TSGR2_52,”
`
`which corresponds to RAN2 meeting #52, selected the link “Documents,” and
`
`selected the link for “Joint_R1_R2,” where the documents for the joint meeting are
`
`stored. A true and correct copy of the relevant portion of the Documents directory
`
`listing produced by the file server website is provided below.
`
`Available at:
`
`http://www.3gpp.org/ftp/tsg_ran/WG2_RL2/TSGR2_52/Documents/Joint_R1_R2/
`
`42.
`
`The Documents directory index stated that R2-061014was uploaded
`
`on “3/23/2006.” I selected the link for “R2-061014.zip” and downloaded a zip file
`
`of the same name. The zip file contained a Microsoft Word document, “R2-
`
`061014.doc,” with a date stamp of “3/21/2006,” two days before the zip file was
`
`uploaded. A true and correct copy of the document within the zip file (R2-
`
`061014.zip) is provided as Ex. 1006. Based on my personal knowledge, I
`
`understand these date stamps to mean that R2-061014.zip was uploaded to 3GPP’s
`
`publicly available website on March 23, 2006, and that any member of the public
`
`could have downloaded the zip file, extracted the Word document enclosed, and
`
`Ex. 1016 / Page 22 of 187
`
`
`
`viewed the contents of the Word document without restriction on March 23, 2006,
`
`and thereafter. I have no reason to believe these date stamps are inaccurate. Based
`
`on my understanding and personal experience, I have determined that Ex. 1006
`
`was publicly available on the file server no later than March 23, 2006.
`
`43. Because document R2-061014 was prepared for the working group
`
`meeting, I know that the submitter at that time would have sent to the 3GPP RAN
`
`2 email exploder an email containing the document. Accordingly, I navigated to
`
`the 3GPP web site at http://www.3gpp.org, then selected “Specification Groups”
`
`from the menu bar, and then selected “email lists” from the dropdown. On the
`
`resulting page, next to “See all 3GPP email exploder lists at,” I selected
`
`“list.3gpp.org,” which took me to the web site
`
`https://list.etsi.org/scripts/wa.exe?INDEX. From there, I selected the link “[Next]”
`
`and “3GPP_TSG_RAN_WG1,” which corresponds to RAN Working Group 1. I
`
`then selected “March 2006, Week 3,” which is where emails relating to meeting
`
`#52 from March 27 to 31, 2006 are stored.
`
`44. R2-061014 states that it was submitted by “LG Electronics.”
`
`Accordingly, I selected the link “LGE Contributions(2) on Joint Meeting in
`
`Athens.” This took me to a web page containing an email with the s
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