UNITED STATES PATENT AND TRADEMARK OFFICE
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`TESLA, INC.,
`Petitioner,
`
`v.
`
`INTELLECTUAL VENTURES II LLC,
`Patent Owner.
`
`———————
`
`IPR2025-00217
`U.S. Patent No. 10,952,153
`
`DECLARATION OF MICHAEL D. KOTZIN, PH.D.
`UNDER 37 C.F.R. § 1.68 IN SUPPORT OF PETITION FOR
`INTER PARTES REVIEW
`
`Ex.1003 / Page 1 of 101
`TESLA, INC.
`
`
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`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`TESLA, INC.,
`Petitioner,
`
`v.
`
`INTELLECTUAL VENTURES II LLC,
`Patent Owner.
`
`———————
`
`IPR2025-00217
`U.S. Patent No. 10,952,153
`
`DECLARATION OF MICHAEL D. KOTZIN, PH.D.
`UNDER 37 C.F.R. § 1.68 IN SUPPORT OF PETITION FOR
`INTER PARTES REVIEW
`
`Ex.1003 / Page 1 of 101
`TESLA, INC.
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`
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
`
`TABLE OF CONTENTS
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`Introduction ...................................................................................................... 3
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`Qualifications and professional experience ..................................................... 5
`
`
`
`I.
`
`II.
`
`III. Level of ordinary skill in the art ....................................................................14
`
`IV. Relevant legal standards ................................................................................15
`
`V.
`
`The ’153 patent ..............................................................................................16
`
`A.
`
`B.
`
`Technological background ................................................................. 16
`
`’153 patent overview .......................................................................... 21
`
`VI. Claim construction .........................................................................................26
`
`VII.
`
`Identification of how the claims are unpatentable .........................................27
`
`A. Ground 1: Claims 1-2, 4-5, 11-12, and 14-15 are obvious over
`Andersson in view of Baker and Khan .............................................. 28
`
`B.
`
`C.
`
`Ground 2: Claims 3 and 13 are obvious over Andersson in view of
`Baker, Khan, and Dick ....................................................................... 63
`
`Ground 3: Claims 1-2, 4-5, 10-12, 14-15, and 20 are obvious over
`Zeira in view of Baker, Khan and Tong ............................................. 67
`
`D. Ground 4: Claims 3 and 13 are obvious over Zeira in view of
`Baker, Khan, Tong, and Dick ............................................................. 97
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`VIII. Conclusion ...................................................................................................101
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`2
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`I.
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`INTRODUCTION
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
`
`1.
`
`I am making this declaration at the request of Tesla, Inc. in the matter
`
`of the Inter Partes Review of U.S. Patent No. 10,952,153 (“the ’153 patent”) to
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`Anderson.
`
`2.
`
`I am also being reimbursed for reasonable and customary expenses
`
`associated with my work and testimony in this investigation. My compensation is
`
`not contingent on the outcome of this matter or the specifics of my testimony, and I
`
`have no other interest in this case or the parties thereto.
`
`3.
`
`I have been asked to provide my opinions regarding whether claims 1-
`
`5, 10-15, and 20 (“the Challenged Claims”) of the ’153 patent are unpatentable as
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`they would have been obvious to a person having ordinary skill in the art
`
`(“POSITA”) at the time of the alleged invention, in light of the prior art. It is my
`
`opinion that all of the limitations of the Challenged Claims would have been
`
`obvious to a POSITA.
`
`4.
`
`In preparation of this declaration, I have studied:
`
`Exhibit Description
`
`Ex.1001 U.S. Patent No. 10,952,153 to Anderson (“’153 Patent”)
`
`Ex.1004 U.S. Patent No. 6,600,772 to Zeira et al. (“Zeira”)
`
`Ex.1005 U.S. Patent Application Publication No. 2004/0190485 by Khan
`(“Khan”)
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`Exhibit Description
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`Ex.1006 U.S. Patent No. 7,493,133 to Krishnan et al. (“Krishnan”)
`
`Ex.1007 U.S. Patent No. 6,529,741 to Tong et al. (“Tong”)
`
`Ex.1008 U.S. Patent Application Publication No. 2004/0077370 by Dick et
`al. (“Dick”)
`
`Ex.1009 U.S. Patent No. 6,334,047 to Andersson et al. (“Andersson”)
`
`Ex.1010 U.S. Patent Application Publication No. 2001/0036238 by Baker et
`al. (“Baker”)
`
`Ex.1012 Harri Holma & Antti Toskala, WCDMA for UMTS: Radio Access
`for Third Generation Mobile Communications (2d ed. 2002)
`(“Holma”)
`Ex.1016 Shin & Zeira et al., “Pathloss-Aided Closed Loop Transmit Power
`Control for 3G UTRA TDD,” IEEE (2003) (“Shin & Zeira”)
`Ex.1025 Andrew S. Tanenbaum, “Computer Networks,” 4th ed. (2002)
`(“Tanenbaum”)
`Ex.1027 Behrouz A. Forouzan, “Data Communications and Networking,”
`(3rd ed. 2003) (“Forouzan”)
`Ex.1029 Prabhakar Chitrapu, et al., “Wideband TDD: WCDMA for the
`Unpaired Spectrum,” (2004) (“Chitrapu”)
`Ex.1030 U.S. Patent No. 7,519,390 (“’390 patent”)
`Ex.1031 U.S. Patent No. 6,351,460 (“’460 patent”)
`5.
`In forming the opinions expressed below, I have considered:
`
`the documents listed above;
`
`the relevant legal standards, including the standard for obviousness, as
`
`explained to be by counsel, and any additional authoritative documents as
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`cited in the body of this declaration; and
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`my own knowledge and experience based upon my work in the field of
`
`wireless communication systems as described below.
`
`6.
`
`Unless otherwise noted, all emphasis in any quoted material has been
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`added.
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`II. QUALIFICATIONS AND PROFESSIONAL EXPERIENCE
`7. My complete qualifications and professional experience are described
`
`in my Curriculum Vitae, a copy of which can be found in Exhibit 1014. The
`
`following is a brief summary of my relevant qualifications and professional
`
`experience.
`
`8. My academic and professional background is in electrical engineering
`
`and computer science, and I have been working in those fields since the
`
`completion of my B.S. in electrical engineering almost 50 years ago. The following
`
`is a brief summary of my relevant qualifications and professional experience.
`
`9.
`
`In 1975, I received a Bachelor of Science in Electrical Engineering
`
`and a Bachelor of Science in Chemistry from the University of Illinois at Urbana.
`
`In 1977, I received a Masters of Science in Electrical Engineering from
`
`Northwestern University in Evanston, Illinois. My master’s project was entitled
`
`"Digital Filter Implementation Using Cascaded Microprocessors." At the time,
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`microprocessors were a nascent technology and there was great interest in using
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`them to perform useful digital signal processing operations especially those useful
`
`for wireless communications such as digital filtering. Practical speeds of single
`
`microprocessors were very limited, and there was great interest utilizing multiple
`
`devices simultaneously to collaboratively perform processing functions. My
`
`project demonstrated a design and hardware prototype for digital filtering of a
`
`signal utilizing three Motorola MC6800 microprocessors simultaneously to take
`
`advantage of a nearly three-fold increase in processing speed.
`
`10.
`
`In 1981, I received a Ph.D. in Electrical Engineering and Computer
`
`Science from Northwestern University in Evanston, Illinois. My dissertation was
`
`entitled "Short Range Communication Using Diffusely Scattered Infrared
`
`Radiation." This research was related to the use of infrared light to provide
`
`communication within an enclosed area. While I focused on communicating
`
`speech, the method is also applicable for data communications, for example, as a
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`wireless local area network. The research included a study of scattered light
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`propagation, as well as circuit and system techniques for providing speech
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`supporting multiple simultaneous users. A time division multiple access (TDMA)
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`system with four timeslots was prototyped, providing the capability for two full
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`duplex speech channels.
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`11. My professional experience begins immediately after I earn my
`
`
`
`undergraduate degrees in 1975. At Motorola, I spent the first 15 years working in
`
`various research labs as a bench engineer. Almost all of my work during this time
`
`period focused on innovating and inventing new technology relating to or using
`
`radiocommunication systems, including cellular, public safety and private mobile
`
`systems.
`
`12. Throughout this period, I was involved in what might be termed the
`
`transition of analog land mobile radio systems to digital technology. I was
`
`researching new systems including new radio access and modulation technologies.
`
`Several proposals were designed and prototyped for use with private land mobile
`
`radio. These proposals were contemporary with the initial investigations which
`
`were a precursor of the first digital cellular system standard occurring in Europe,
`
`namely GSM.
`
`13. A key objective of my projects during this period was to provide new
`
`radio systems having an extremely high degree of spectrum efficiency. In other
`
`words, it was desired to serve the largest population of mobile users using as little
`
`spectrum as possible. Since reuse of existing spectrum allocations was necessary,
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`maintaining the existing channel spacing that had already been deployed was a
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`critical design factor. Our proposed solutions to addressing these issues involved
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`the use of digital speech coding, both constant envelope and linear modulation
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`techniques and, again, TDMA. I was actively involved in the design and building
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`of several of these prototype systems. Ultimately, this early work evolved into
`
`what became Motorola's successful proprietary dispatch and telephone system
`
`called iDEN, which was widely deployed by Nextel.
`
`14.
`
`In 1989, I joined the Cellular Infrastructure and Networks Business of
`
`Motorola. In this capacity, I was responsible for ensuring the highest level of
`
`performance of Motorola’s cellular infrastructure deployments. The first two years
`
`here were directed specifically to addressing unique technology issues facing the
`
`GSM product development communities. While I was in the infrastructure group,
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`this team embraced a much broader systems view and thus addressed problems that
`
`would also be of significance to the group developing the mobile devices as well.
`
`Activities undertaken were often relevant to both the infrastructure and mobile
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`development camps. For example, my participation in the channel equalizer
`
`activities provided results which were utilized in both base and mobile stations
`
`equipment.
`
`15. Following the GSM activity, I became involved in numerous other
`
`digital cellular systems throughout the remainder of my career at Motorola. These
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`include USDC (IS-54 and IS-136), CDMA (IS-95), W-CDMA (also known as 3G
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`or UMTS) as well as LTE (Long Term Evolution also known as eUTRA [evolved
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`UMTS Terrestrial Radio Access] and often characterized as 4G). From time to
`
`time either I, or engineers reporting to me, participated in various standards
`
`activities, both domestic and international.
`
`16. This work transitioned in the early 1990s to digital cellular applied
`
`research and development on cellular infrastructure and mobile devices. As a
`
`senior technologist and leader, first in the cellular infrastructure division and
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`subsequently the mobile device division at Motorola, I was a significant participant
`
`and contributor to the development of new and evolving digital systems. Some of
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`these evolutions included the adoption of functional improvements, continuing
`
`quality improvements, system generation advancement, etc.
`
`17. As a senior level technologist, I was personally working on
`
`technology to advance, evolve, and improve the various digital cellular systems
`
`deployed throughout the world. I was also directing several worldwide research
`
`organizations working on digital cellular technology to create novel and enhanced
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`cellular communications products and techniques. In 1997, I became the Vice
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`President of Technical Staff and Director of Research and Advanced Technology
`
`in Motorola’s Cellular Infrastructure and Networks division.
`
`18.
`
`In 1998, I transferred organizations at Motorola to become Vice
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`President of the Technical Staff, Office of the Chief Technology Officer, in the
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`mobile devices business. In this role, I provided leadership and strategic directions
`
`for the adoption and creation of new technology for handheld devices. In this
`
`position, in addition to providing ongoing technology proposals for advancing and
`
`improving digital cellular performance and functionality, I formulated strategy for
`
`the creation and adoption of new technologies relevant to mobile devices and
`
`wireless systems generally. I directly supervised and worked with engineers in the
`
`United States and Europe in developing technology focused on radio layer and
`
`signaling protocols. As part of this work, we developed and provided technical
`
`contributions to industry standards organizations.
`
`19.
`
`In 2006, I accepted a position at Motorola as Vice President of the
`
`Technical Staff, Corporate Law Department, Patent Operations. In this role, my
`
`responsibilities included working with technology teams throughout Motorola to
`
`create, manage and maintain strategically important technology, patent portfolios
`
`and patent review committees. This included responsibility for decision making on
`
`patent filings, annuities, acquisitions and divestitures; formulating technology
`
`patent portfolio strategy; and continuing to oversee the protection of intellectual
`
`property across all Motorola's business entities. In this role, I created technology
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`portfolio strategy across businesses including quantitative goals for new and
`
`retained intellectual property assets. I also managed processes and corporate-wide
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`teams related to creating and maintaining patent portfolios. I served in this position
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`until I left Motorola in 2009.
`
`20. As part of my activities over the years at Motorola, I served as a
`
`chairman or member of several patent review committees. Patent committees are
`
`groups of the most senior technologists from within an organization or technology
`
`area. These committees are charged with the responsibility to evaluate patentable
`
`ideas submitted from all engineers and make recommendations about whether the
`
`idea warrants the large investment for it to be pursued to obtain a patent.
`
`21. While at many times during my Motorola career I was responsible for
`
`supervising other engineers, my key responsibilities were always more technology-
`
`related than managerial. My primary responsibilities were always to be actively
`
`engaged in technological innovation and, as possible, to provide technical
`
`leadership for those individuals I supervised.
`
`22.
`
`I received several awards and recognitions within Motorola. I was
`
`designated an Associate of the Science Advisory Board in 1982. In 1990, I was
`
`recognized as a Dan Noble Fellow, which is the highest recognition given by
`
`Motorola to a technologist. I received the Distinguished Innovator Award, Master
`
`Innovator Award, a Special Intellectual Property Award for Defensive
`
`Contributions, and several “Patent of the Year” awards. "Patent of the Year"
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`awards are presented to Motorola inventors whose patents are demonstrated to
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`have had significant business impact, such as resulting in significant patent
`
`licensing revenue or a major business impacting product improvement.
`
`23. At various times during my Motorola employment, I was also an
`
`active TIA and 3GPP standards organization participant representing Motorola. I
`
`received several standards impact awards.
`
`24.
`
`I created MDK Consulting, Inc. in 2009 when I left Motorola. As
`
`President of MDK Consulting, Inc., I serve as a consultant and expert regarding
`
`intellectual property analysis, portfolio management and technology strategy
`
`relating to aspects of wireless communications technology including systems and
`
`products. In addition to my consulting activities, I have served as an expert for a
`
`variety of patent-related litigations and arbitrations relating to various aspects of
`
`wireless communications technology.
`
`25.
`
`I have been a member of the Institute of Electrical and Electronics
`
`Engineers (IEEE) for 43 years. In 1995, I received the IEEE Vehicular
`
`Technology Society's "Avant Garde" recognition “for pioneering leadership and
`
`continuing contributions in promoting new technology in the field of vehicular
`
`communications and electronics." In 2005, I was designated a Fellow of the IEEE
`
`"for contributions to cellular mobile radio communications." I am also a member
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`of the Eta Kappa Nu and Tau Beta Pi engineering honors societies. In addition to
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`my industry experience, I have taught electrical engineering courses at
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`Northwestern University as an Adjunct Professor in various wireless technologies.
`
`26.
`
`I am a listed inventor on approximately 134 issued U.S. patents and
`
`over 500 issued patents worldwide in areas including signal processing, data
`
`compression, communications, and wireless systems. I have also authored
`
`published articles and presented at several public conferences.
`
`27. Additional detailed information regarding my background,
`
`experience, and professional qualifications may be found in the attached
`
`Curriculum Vitae. My Curriculum Vitae (Ex. 1014) lists my publication record in
`
`archival journals, international conferences, and workshops and further includes a
`
`list of granted patents.
`
`28. My technical background has addressed private/public wireless
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`systems, base/mobile hardware and software, algorithms, networking and
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`protocols, signal processing, software/hardware design methodologies, antennas
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`and cybersecurity. Based on my experience and education, I consider myself to be
`
`an expert at least in the fields of telecommunications, cellular networking,
`
`infrastructure, and mobile devices. As of the earliest priority date of the ’153
`
`patent, I was at least a person of ordinary skill in the art, and I had personal
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`knowledge of the technologies utilized therein.
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`III. LEVEL OF ORDINARY SKILL IN THE ART
`29.
`
`I understand there are multiple factors relevant to determining the
`
`level of ordinary skill in the pertinent art, including (1) the levels of education and
`
`experience of persons working in the field at the time of the invention; (2) the
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`sophistication of the technology; (3) the types of problems encountered in the field;
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`and (4) the prior art solutions to those problems.
`
`30.
`
`I have been informed that the earliest alleged priority date for the ’153
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`patent is August 12, 2004.
`
`31. A person of ordinary skill in the art (“POSITA”) in the field of the
`
`’153 patent, as of its alleged priority date in August 2004, would have been
`
`someone knowledgeable and familiar with the wireless communications systems
`
`that are pertinent to the ’153 patent. That person would have a bachelor’s degree in
`
`electrical engineering, computer engineering, computer science, or equivalent
`
`training, and approximately two years of experience working in the field of
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`wireless communication systems or design of similar communication systems.
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`Lack of work experience can be remedied by additional education, and vice versa.
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`32. For purposes of this Declaration, in general, and unless otherwise
`
`noted, my statements and opinions, such as those regarding my experience and the
`
`understanding of a POSITA generally (and specifically related to the references I
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`consulted herein), reflect the knowledge that existed in the field as of the alleged
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`Inter Partes Review of 10,952,153
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`priority date of the ’153 patent (i.e., August 12, 2004). Unless otherwise stated,
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`when I provide my understanding and analysis below, it is consistent with the level
`
`of a POSITA prior to the alleged priority date of the ’153 patent.
`
`IV. RELEVANT LEGAL STANDARDS
`33.
`
`I am not an attorney. In preparing and expressing my opinions and
`
`considering the subject matter of the ’153 patent, I am relying on certain basic
`
`legal principles that counsel have explained to me. These principles are discussed
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`below.
`
`34.
`
`I understand that prior art to the ’153 patent includes patents and
`
`printed publications in the relevant art that predate the priority date of the alleged
`
`invention recited in the ’153 patent.
`
`35.
`
`I have been informed that a claimed invention is unpatentable under
`
`35 U.S.C. § 103 if the differences between the invention and the prior art are such
`
`that the subject matter as a whole would have been obvious at the time the
`
`invention was made to a person having ordinary skill in the art to which the subject
`
`matter pertains. I have also been informed by counsel that the obviousness analysis
`
`takes into account factual inquiries including the level of ordinary skill in the art,
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`the scope and content of the prior art, and the differences between the prior art and
`
`the claimed subject matter.
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`36.
`
`I have been informed by counsel that the Supreme Court has
`
`
`
`recognized several rationales for combining references or modifying a reference to
`
`show obviousness of claimed subject matter. Some of these rationales include the
`
`following: (a) combining prior art elements according to known methods to yield
`
`predictable results; (b) simple substitution of one known element for another to
`
`obtain predictable results; (c) use of a known technique to improve a similar device
`
`(method, or product) in the same way; (d) applying a known technique to a known
`
`device (method, or product) ready for improvement to yield predictable results; (e)
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`choosing from a finite number of identified, predictable solutions, with a
`
`reasonable expectation of success; and (f) some teaching, suggestion, or motivation
`
`in the prior art that would have led one of ordinary skill to modify the prior art
`
`reference or to combine prior art reference teachings to arrive at the claimed
`
`invention.
`
`V. THE ’153 PATENT
`A. Technological background
`1. Multiple Access Protocol for Enhanced Cellular
`Communication: Code Division Multiple Access (CDMA)
`
`37. Multiple mobile devices (e.g., cell phones) typically need to
`
`communicate through the same medium (air space) to the same node (base station
`
`on a cell tower). With many devices sharing one communication medium, it is
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`important to prevent and/or correct for interference from other mobile devices
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`trying to communicate at the same time. A “multiple access” protocol provides a
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`way for those mobile devices to receive and transmit data on the same medium
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`while keeping collisions and interference to a minimum. Tanenbaum, 247-251
`
`(explaining challenges with providing multiple users access to a common link, and
`
`summarizing different types of multiple access solutions); Forouzan, 311-313
`
`(same).
`
`38. The multiple access protocol underlying Third Generation (3G)
`
`cellular communications is called Code Division Multiple Access (CDMA).
`
`Tanenbaum, 162, 166-167; Forouzan, 419-420. CDMA is different from other
`
`multiple access protocols which simply assign different time and/or frequency
`
`resources to different users. For instance, Time Division Multiple Access (TDMA)
`
`allocates separate time periods (e.g., time frames, slots), and Frequency Division
`
`Multiple Access (FDMA) allocates separate frequency resources (carriers).
`
`Tanenbaum, 162; Forouzan, 321. But CDMA allows multiple wireless devices to
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`communicate in the same frequency band and at the same time by using unique
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`codes. Tanenbaum, 162-165; Forouzan, 321-324. The figure below illustrates how
`
`TDMA, FDMA, and CDMA use time division, frequency division, or code
`
`division to allow multiple UEs (blue, red, yellow, and green) to communicate with
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`a base station on a cell tower.
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`Code 4
`
`FDMA
`
`CDMA
`
`Code 3
`Code 2
`Code 1
`
`
`
`Carrier 4
`
`
`Carrier 3
`
`Carrier 2
`
`Carrier 1
`
`Frame/slot 4
`Frame/slot 3
`Frame/slot 2
`Frame/slot 1
`frequency
`
`time
`TDMA
`
`
`
`39.
`
`In CDMA, each user’s signal is encoded with a unique spreading
`
`code, which includes a series of code bits or “chips.” This code spreads the signal
`
`across a wide bandwidth. The receiver (base station on the cell tower) uses the
`
`same code to decode the signals and associate the decoded signals with each
`
`corresponding user. Tanenbaum, 162-163; Forouzan, 321-323 (explaining that both
`
`the transmitting device and receiving device use code sequence to transmit and
`
`receive data on CDMA channels).
`
`40. This CDMA coding scheme is what allows multiple devices to
`
`communicate with the network concurrently without interfering with one another.
`
`Because each user’s signal is spread over the same frequency spectrum and across
`
`time, CDMA increases spectrum efficiency, making it particularly useful in
`
`18
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`environments with many simultaneous users, such as mobile networks.
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`Tanenbaum, 165-167 (explaining advantages of CDMA and its eventual adoption
`
`into 3G networks). Its interference mitigation and capacity for handling multiple
`
`signals efficiently made CDMA a desirable choice for 3G cellular providers
`
`attempting to deliver more advanced services in rapidly growing networks.
`
`Third Generation (3G) Cellular: Universal Mobile
`2.
`Telecommunications System (UMTS) and UMTS Terrestrial
`Radio Access Network (UTRAN)
`
`41. CDMA is the multiple access technology on which 3G cellular
`
`communication technologies are built. Two 3G systems were deployed by different
`
`providers in the United States: the Universal Mobile Telecommunications System
`
`(UMTS), and CDMA2000. Tanenbaum, 167; Chitrapu, 1-4. Both systems are
`
`based on CDMA, and systems that are based upon CDMA utilize many similar
`
`signaling techniques, such as control signaling techniques. At a high level, both
`
`systems had similar goals, e.g. the ability to provide high quality, reliable personal
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`communication of voice and data using economical, compact and long-life battery
`
`powered equipment. The techniques / functions utilized for both systems to
`
`achieve these goals are very similar— use of advanced and efficient channel
`
`coding and modulation schemes, employing accurate synchronization schemes,
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`design of both flexible and tailored high-speed channels with rapid access, use of
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`hard and soft handover, provision for timely and accurate neighbor cell
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`19
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`measurements, as well as high-speed forward and reverse link power control, etc.
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`Hence, in my experience, it was common for engineers working on the respective
`
`systems to implement beneficial techniques found in one system in the other
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`system.
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`42. UMTS, which became the more widely deployed 3G technology
`
`compared to CDMA2000, provides high-speed voice, data, and multimedia
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`services. Tanenbaum, 166-168; Chitrapu, 2. The UMTS Terrestrial Radio Access
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`Network (UTRAN) is a component of the radio access network of UMTS.
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`Chitrapu, 5-6. UTRAN is responsible for connecting mobile devices to the core
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`network, managing communications between mobile devices (cell phones) and the
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`UMTS core network, and handling both the radio transmissions and resource
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`allocation. Chitrapu, 5-6.
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`3.
`
`Transmission power control
`
`43.
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`In 3G cellular networks, power control is important for managing
`
`interference and ensuring efficient use of the shared spectrum in CDMA systems.
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`The goal of power control is that each device transmits at a power level high
`
`enough to maintain a reliable connection, but not too high that it interferes with
`
`other users.
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`44. CDMA systems like UMTS and CDMA2000 rely on a Transmission
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`Power Control (TPC) mechanism. Chitrapu, 114-118. Power control is used to
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`20
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`adjust and regulate the transmission power of both the network device (base station
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`on a cell tower), and the user equipment (UE), which may be a cell phone. For
`
`transmission power from the mobile device to the network device (referred to as
`
`“uplink”), the base station continuously monitors signals transmitted by the mobile
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`device and assesses quality. Chitrapu, 115-118. Based on this evaluation, the base
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`station sends TPC commands that instruct the mobile device to either increase or
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`decrease its transmission power by discrete, incremental amounts. ’153 patent,
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`2:36-44. This is referred to as “closed loop” power control.
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`45. This closed loop feedback mechanism provided real-time transmission
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`power optimization to increase the reliability of communications, reduce
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`interference, and reduce unnecessary power consumption.
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`’153 patent overview
`
`B.
`46. The ’153 patent is directed to uplink power control in a wireless
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`communication system. ’153 patent, Abstract, 1:28-31. A wireless communication
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`system generally involves a mobile radio (abbreviated as “UE” or user equipment)
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`and a base station. Id., 1:58-67. The ’153 patent background acknowledges the two
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`well-known power control modes, “open loop” and “closed loop.” Id., 1:58-60.
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`47.
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`“Open loop” power control involves a UE measuring a received signal
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`strength to set its transmission power based on “path loss.” Id., 2:24-35. Path loss
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`21
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`is the “difference between the actual transmit power level and the received signal
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`power level.” Id., 5:9-13. “Closed loop” power control involves the base station
`
`issuing transmit power control (TPC) commands to the UE to increase or decrease
`
`the UE’s current transmit power—where the UE’s current transmit power was
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`previously adjusted by the previously-received TPC command. Id., 2:36-44. The
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`process of iteratively adjusting the UE’s transmit power with each received TPC
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`command is called “accumulation” of TPC commands. Id., 10:4-30. For example,
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`the ’153 patent describes:
`
`The closed loop scheme also includes an inner loop in
`which the network measures 310 the received SNIR of the
`uplink signal 302. The network compares 312 the
`measured SNIR with the SNIR Target determined in the
`outer loop. The inner loop generates and transmits 314 a
`TPC command based on the comparison 312. A downlink
`signal 316 carries the TPC command 318 over the
`radio
`link. The UE accumulates 320 the TPC
`commands and uses the accumulated TPC commands
`to set 322 a transmit power for future uplink
`transmission 300.
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` ’153 patent, 7:37-47. In some cases, “[b]inary signalling may be used, such that
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`the TPC command indicates a change in transmission power by a fixed amount
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`either up or down.” Id., 9:15-17. The ’153 patent notes, without further
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`22
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`explanation, that “[a]lternately, a multi-level TPC command may be used.” Id.,
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`Declaration of Dr. Michael Kotzin
`Inter Partes Review of 10,952,153
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`9:17-18.
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`48. The ’153 patent’s purported novelty lies in a power
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