`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`IBG LLC,
`INTERACTIVE BROKERS LLC, TRADESTATION GROUP, INC., and
`TRADESTATION SECURITIES, INC.,
`Petitioner,
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`
`
`
`CBM2016-00054
`Patent No. 7,693,768 B2
`
`
`
`DECLARATION OF ERIC J. GOULD BEAR
`IN SUPPORT OF PATENT OWNER’S RESPONSE
`
`
`
`
`
`
`
`
`Page 1 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`
`
`
`
`TABLE OF CONTENTS
`
`
`INTRODUCTION .......................................................................................... 3
`I.
`SUMMARY OF CONCLUSIONS ................................................................ 3
`II.
`III. BACKGROUND AND QUALIFICATIONS ................................................ 4
`IV. MATERIALS REVIEWED ......................................................................... 10
`V.
`FIELD OF THE INVENTION ..................................................................... 11
`
`A.
`
`B.
`
`C.
`
`D.
`
`Inventions Necessarily Rely on Existing Technologies ......................................... 11
`The Science of Human-Computer Interaction ...................................................... 12
`The TT Patent is Concerned with Solving a Technical GUI Problem. ................. 16
`Computer-Readable Medium Claims are Not Directed at Propagated Signals. .. 27
`
`VI. CONCLUSION ............................................................................................. 28
`
`
`
`EXHIBIT 1: BEAR CV
`EXHIBIT 2: TUFTE VISUAL AND STATISTICAL THINKING
`EXHIBIT 3: MACKENZIE AND BUXTON ON FITTS’ LAW
`
`
`
`2
`
`Page 2 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`I.
`
`INTRODUCTION
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`
`1.
`
`I have been retained by Trading Technologies International, Inc.
`
`(“TT” or “Patent Owner”), in this action. My credentials are described in my CV,
`
`which is attached hereto as Exhibit 1. I offer this report on the technology at issue
`
`in U.S. Patent No. 7,693,768 B2 (the “’768 Patent”) in response to the Covered
`
`Business Patent Review matter CBM2016-00054 instituted and filed by IBG LLC,
`
`Interactive Brokers LLC, (“IB”) TradeStation Group, Inc. and TradeStation
`
`Securities, Inc. (“TS”, “TradeStation”) (collectively “Petitioner”).
`
`2.
`
`I have been asked by TT’s counsel to explain whether and how
`
`graphical user interface design and development is technology and whether the
`
`inventions claimed in the ’768 Patent are technical solutions to technical problems.
`
`Further, I have been asked to assess whether the claims read on all ways of
`
`displaying and updating market information and placing a trade order. I am being
`
`compensated at the rate of $480 per hour. My compensation is not related to the
`
`outcome of this case.
`
`II.
`
`SUMMARY OF CONCLUSIONS
`
`3.
`
`As a result of performing the analysis described herein and measured
`
`against the standards outlined below in Section IV, I have determined that, in my
`
`opinion, the ’768 Patent claims a new and improved graphical user interface.
`
`Herein, I explain how graphical user interfaces are technologies for human
`
`3
`
`Page 3 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`interaction designed and purpose-built to address problems of speed, accuracy,
`
`efficiency and usability – all technical problems. Since graphical user interfaces
`
`are inherently technology, the ’768 Patent claims are necessarily directed to
`
`technology; solving technical problems with technical solutions. The claims are
`
`not directed to a business method or practice. And since they explicitly improve
`
`upon known computer technologies, they are neither merely implemented using
`
`known computer technology nor directed to routine and conventional computing
`
`components or steps. My opinion is supported by the evidence in the patent
`
`specification, figures and claims.
`
`III. BACKGROUND AND QUALIFICATIONS
`
`4.
`
`I am the first named inventor on at least 80 United States patent
`
`applications that list me as an inventor. These are cataloged in my CV. To date, at
`
`least 70 of those applications have issued as U.S. patents. I am also the first named
`
`inventor on a number of international patents and patent applications.1
`
`5.
`
`Inventions of mine for which patents have been issued include virtual
`
`force-feedback user
`
`interfaces, methods of navigating poly-hierarchical
`
`information, management of playlists that include both owned and un-owned
`
`1 Some of my patents and applications identify me as “Gould” while others identify
`me as “Bear” because I legally changed my name from Eric Justin Gould to Eric
`Justin Gould Bear after adopting my first child from China in 1999.
`
`
`4
`
`Page 4 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`songs, real-time communications architectures, auxiliary visual displays for
`
`personal computers, auxiliary processing by sleeping computing devices, methods
`
`for reducing parallax in computer camera systems, methods for using telephony
`
`controls on personal computers, methods for navigating content using media
`
`transport controls, and methods for unifying audio control on personal computers.
`
`More recent applications claim inventions relating to symbolic and schematic
`
`displays of protocol-specific information, user interfaces for visualizing data
`
`backup and recovery, and handheld multi-channel interactive environments.
`
`6.
`
`By the time I was 12, I was programming computers in BASIC using
`
`Tandy TRS-80 and Apple personal computers. In 1984, I formed Element Systems
`
`to provide a consulting framework for my interface design and code production
`
`skills. From 1984 to 1993, I designed and engineered software for clients in
`
`utilizing a variety of coding languages, including BASIC, Pascal, C, C++, 68000
`
`Assembly Language and HyperCard / SuperCard. Clients included Aetna Life
`
`Insurance, Kaleida Labs (an Apple/IBM joint venture) and SoftWriters, for whom I
`
`wrote code to perform network administration of remote computer systems in
`
`1991. Other clients are listed in my CV.
`
`7.
`
`In 1986, two years after Apple released the Macintosh computer, I
`
`became an Apple Certified Developer.
`
`8.
`
`In 1988 and 1989, I designed and developed a significant portion of
`
`the code for Aetna Life Insurance's first graphical user
`
`interface. The
`
`5
`
`Page 5 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`transformation of Aetna's financial information system from a command line
`
`terminal to a modern point and click Macintosh application (e.g. with mouse, radio
`
`buttons, check boxes and clickable text entry fields) marked my first experience
`
`leading groups of engineers in the design of a multi-million dollar user experience
`
`(“UX”) program.
`
`9.
`
`In 1991, I received a Bachelor of Arts from Wesleyan University in
`
`Cognitive Science, an interdisciplinary degree that combined the studies of
`
`Psychology, Philosophy, Linguistics and Computer Science. Example coursework
`
`included biological neurophysiology, artificial intelligence programming in LISP
`
`and research in human perception of audio/visual phenomena as presented and
`
`measured by computing machines. The Psychology Department at Wesleyan was
`
`also a client, for whom I designed and engineered test tools in Lightspeed Pascal
`
`and SuperCard for millisecond timing of visual search tasks in perception
`
`experiments.
`
`10.
`
`In the summer of 1992, I interned at Apple, Inc. (then Apple
`
`Computer, Inc.) in the Advanced Technology Group’s Human Interface Group
`
`where I worked on designing and programming user interfaces for an auditory-only
`
`display device. I joined ACM and SigCHI (Special interest group on Computer
`
`Human Interaction) at that time and am now a lifetime member. I am also a
`
`lifetime member of CPSR (Computer Professionals for Social Responsibility),
`
`which I joined in 1992.
`
`6
`
`Page 6 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`In 1993, I received a Masters of Professional Studies in Interactive
`
`11.
`
`Telecommunications from New York University’s Tisch School of the Arts. On
`
`full scholarship, I designed and engineered various hardware, software and
`
`interactive video experiences. New York University (with Bell Atlantic) was one
`
`of my clients in 1992, for which I developed software to decode telephone touch-
`
`tones. This code enabled Manhattan Cable TV viewers to control 3D graphical
`
`environments on broadcast television in real-time using their telephone handsets.
`
`12. From 1994 to 1999, I held faculty positions at San Francisco State
`
`University (Multimedia Studies Program) and The University of Texas at Austin
`
`(Department of Radio-TV-Film). I taught graduate and undergraduate courses in
`
`multimedia design as well as advanced interaction and interface design, including
`
`mentoring students in the development of experimental hardware/software UX.
`
`During this same period, I wrote the user interface design column for InterActivity
`
`Magazine. A list of these articles and other publications is included in my CV.
`
`13.
`
`I have also presented papers and given talks regularly on topics
`
`relating to inventorship, UX design and interactive media. I have made
`
`presentations at conferences of ACM SigCHI, SXSW, the International Consumer
`
`Electronics Show (CES), Digital Hollywood and the TV of Tomorrow Show. I
`
`have also served as an independent judge of conference paper submissions and
`
`regularly serve on the SXSW Advisory Board. A list of my presentations and talks
`
`is provided in my CV.
`
`7
`
`Page 7 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`I founded MONKEYmedia in San Francisco in 1994 to provide the
`
`14.
`
`desktop computing, new media and consumer electronics industries a design and
`
`technology resource focused specifically on human-computer interaction. Clients
`
`included Interval Research Corporation, Texas Instruments, Sega of America,
`
`Sprint, Viacom, Microsoft / WebTV. MONKEYmedia earned industry recognition
`
`for my work, including a CLIO, an Award of Excellence from Communication
`
`Arts, Best Use of Audio at South by Southwest (SXSW) and other awards.
`
`15. From 2001 through 2005, I held executive leadership positions at
`
`Microsoft Corporation and Yahoo! Inc. At each company, I directed teams of
`
`interaction designers, visual designers, user researchers, ethnographers and
`
`prototype engineers responsible for crafting the UX of various product lines. These
`
`programs included Windows Tablet PC Edition, the Windows Hardware
`
`Innovation Group, Yahoo! Mail, Yahoo! Messenger, Yahoo! Photos, Yahoo!
`
`Personals, Yahoo!/SBC (now AT&T) set-top experience and Yahoo! Mobile
`
`applications. Descriptions of my work for those corporations are detailed in my
`
`CV.
`
`16. Beginning in 2005, I have provided executive consulting services in
`
`corporate user experience strategy and design innovation through Chief Experience
`
`Officer, Inc. In this capacity, I have lead the UX strategy and design of computer
`
`mice, universal remote controls, mobile phones, stock trading applications, legal
`
`research tools, home automation systems and medical devices for companies
`
`8
`
`Page 8 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`including Logitech, Tektronix, Motorola, Charles Schwab, Thomson Reuters and
`
`others mentioned in my CV. My work on Logitech’s premium mice and remote
`
`controls contributed to winning a number of industry awards, including multiple
`
`2007 CES Technology & Innovation Awards, a 2008 CES Best of Innovations
`
`Award, a 2009 CES Best of Innovations Category Winner Award, and a 2010 CES
`
`Innovations Award.
`
`17. Of particular relevance to this matter is my work on Charles Schwab’s
`
`active stock trading application “Street Smart Edge.” On the project, I led a team
`
`of user interface and interaction designers in studying trader habits and usability
`
`challenges and writing functional and technical specifications for Charles
`
`Schwab’s engineering team to implement that addressed those usability challenges.
`
`18.
`
`In 2012, I designed and wrote an iPad application entitled Walk-in
`
`Theater in collaboration with videographer Rachel Strickland and musician Jim
`
`McKee. Walk-in Theater is an experiment with peripatetic perspective, engaging
`
`participants' proprioceptors and spatial memory to orient them as they navigate
`
`among multiple video streams in a 3D sound field.
`
`19.
`
`In 2013, I joined Austin’s Capital Factory start-up incubator as a
`
`partner and angel investor, where I serve as an advisor to executives in intellectual
`
`property strategy and the design and development of new hardware, software and
`
`services. I am currently employed by CURB, Inc. – an early-stage startup that
`
`manufactures energy monitoring and control systems – as its Chief Experience
`
`9
`
`Page 9 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Officer.
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`
`20. My experience designing and evaluating user interfaces over the last
`
`25+ years, including the optimization of human performance through the use of
`
`computing technology and automated feedback of various forms and modalities, as
`
`well as my background hiring and managing teams of user experience
`
`professionals, position me as an expert in the design and development of graphical
`
`user interfaces.
`
`IV. MATERIALS REVIEWED
`
`21.
`
`In performing my analysis, I have reviewed, among other things, the
`
`’768 Patent, the Federal Circuit’s opinion in the related eSpeed proceedings (595
`
`F.3d 1340 (2010) issued on 4/21/2010), the Federal Circuit’s §112 opinion issued
`
`on 11/27/2013 in the related 728 F.3d 1309 (2013) proceedings, Judge Coleman’s
`
`opinion in the related CQG proceedings (05-cv-4811) holding that the related ’132
`
`and ’304 Patents are patent eligible, portions of declarations by Kendyl A. Román
`
`in support of the petition for CBM review of the ’768 Patent, the petition for CBM
`
`review, TT’s preliminary response to the petition, and the PTAB’s decision to
`
`institute the corresponding CBM review.
`
`22. For consistency and ease of review, all of my column and line
`
`citations to the patent specification are in “(column:line)” format.
`
`10
`
`Page 10 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`V.
`
`FIELD OF THE INVENTION
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`
`A. Inventions Necessarily Improve Existing Technologies
`
`23. No new technology can exist in a vacuum wholly disconnected from
`
`the past. Whether built using metal, wood, plastic or pixels on a computer screen,
`
`all innovations must – to some extent – be made from a combination of known
`
`components. Pixels are building block materials used to construct software
`
`interfaces just like plastic is a building block material used to construct hardware
`
`controls. Whether any given combination is obvious and unanticipated is a
`
`reasonable question to be raised, but it is my understanding that the present CBM
`
`review is not concerned with either anticipation or obviousness issues. I have not
`
`studied the prior art at length and do not have an opinion at this time with regards
`
`to §102 and §103 validity.
`
`24. There are myriad user
`
`interface visualization and
`
`interaction
`
`techniques known to be employable when creating new user experiences. The
`
`existence of these techniques, aka technologies, is akin to the existence of raw
`
`physical building materials. Just like building a house, certain technologies lend
`
`themselves to certain types of use. Similarly, certain technologies draw designers
`
`of software systems into using them in particular combinations. Simply knowing
`
`that various technologies exist that can be used for a variety of purposes is not
`
`enough to motivate, inspire or enable someone to combine such techniques in new
`
`ways. Nonetheless, I believe it important to establish that human-computer
`
`11
`
`Page 11 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`perception and/or human-computer interaction innovations should not be treated
`
`differently from innovations based on physical technologies not built using
`
`software toolkits.
`
`B. The Science of Human-Computer Interaction
`
`25. Understanding the purported inventiveness of TT Patent depends upon
`
`understanding the field of the invention – which is the science of human-computer
`
`interaction (“HCI”), also known as user experience (“UX”) design – as applied in
`
`the context of stock trading with a mission critical tool.
`
`26. The discipline of user experience grew out of ergonomics and what
`
`was once called man-machine interface (“MMI”). It is generally concerned with
`
`how to make machines reliably responsive to human expression while being easy
`
`to use and unobtrusive. The user interface (“UI”) or graphical user interface
`
`(“GUI”) is the boundary or bridge between a person and a machine. It includes the
`
`physical hardware and logical software, capturing concrete measurable human
`
`input and outputting processed information for human perception. To be clear, the
`
`invention neither claims nor improves the underlying process of trading, but rather
`
`offers a better GUI for human interaction within the existing trading model. In
`
`other words, trading, itself, is not at issue; but specific display and interaction
`
`techniques for trading with speed, accuracy and a minimum of error are at issue.
`
`27. Various other terms have been used over the past decades of the
`
`development of the science as it has matured. Technical aspects of the science
`
`12
`
`Page 12 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`include human
`
`factors engineering
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`(“HFE”), ergonomics, ergonometrics,
`
`biomechanics, industrial design, cognitive engineering, user research, design
`
`research, usability engineering, user-centered design (“UCD”),
`
`interaction
`
`engineering, interaction design (“IxD”), information architecture (“IA”), and
`
`product design.
`
`28. Don Norman is generally recognized as a “founding father” of the
`
`modern UX discipline. He is a former VP and User Experience Architect at Apple
`
`Inc. and a professor of Cognitive Science and Psychology at UCSD. He taught
`
`practitioners in the industry many core concepts. Of note and particular relevance
`
`to the ’768 Patent are: (1) affordances, which define what is possible for people to
`
`do at any given time; and (2) feedback, which let people know what can be done,
`
`what they are doing or what they just did. How specific affordances and feedback
`
`are designed and engineered depends heavily on the circumstances of use, and
`
`there is an international community of user experience professionals that have been
`
`meeting and settings standards for over 30 years. The Association of Computing
`
`Machines’ special interest group on computer human interaction (SigCHI), has
`
`been hosting the premier international conference on human factors in computing
`
`systems since 1982. And the International Standards Organization (ISO) has
`
`adopted standards in “ergonomic principles in the design of work systems” that
`
`date back to 1981 (ISO 6485:1981) and standards in “human-centered design
`
`processes for interactive systems” (ISO 13407:1999E) dating to the time of
`
`13
`
`Page 13 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`invention of the TT Patent. These standards were developed because the design of
`
`a GUI is analogous to the crafting of a physical workspace or cockpit – and
`
`incorporates many of the same human factors engineering variables, such as
`
`reachability, readability, glance-ability, performance, speed, and risk of error.
`
`These standards may be used to create new and innovative GUIs that are broadly
`
`used and adapted.
`
`29. By the time of invention of the ’768 Patent, many corporations had
`
`established a track record of investing heavily into user experience research and
`
`design to craft and improve the engineering of their own products and the
`
`industry’s technical competency, generally. A few entities recognized for their
`
`technical contributions to the field in the late 1990s include Xerox PARC, Apple,
`
`IBM, Microsoft, Philips, Sony, AT&T, HP, SAP, SunSoft, Intel, Disney and the
`
`National Science Foundation. By the time of invention of the ’768 Patent, there
`
`were many leading universities with advanced degrees in one or more UX
`
`disciplines. Notable programs turning out graduates who made a significant
`
`inventive impact on the field by the late 1990s included those at Stanford, M.I.T.,
`
`Carnegie Mellon, N.Y.U., University of Maryland, University of Toronto,
`
`University of Michigan, UCSD, SFSU, Georgia Tech, George Washington
`
`University, Bowling Green, Delft University and the Royal College of Art.
`
`30.
`
`I have been informed that Petitioner’s expert Kendyl A. Román has
`
`opined that a college education is not needed to design user interfaces. This may
`
`14
`
`Page 14 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`be true of the design of casual user interfaces, such as simplistic websites, but not
`
`the design of mission critical applications. Commodities trading is high stakes and
`
`requires a trained and nuanced understanding of human factors variables to
`
`interpret the complexity of usability issues and appreciate the value of technical
`
`solutions to specific perception and interaction behavior challenges. This is
`
`especially true of the users of the claimed invention, who are professional
`
`derivatives traders that conduct such trading for their profession. Many well-
`
`funded entities – including software providers, stock exchanges, brokers, futures
`
`commission merchants (FCMs) and trading groups – knew the value of technically
`
`sophisticated user interface experts and invested heavily in GUI technology
`
`development as part of their efforts to innovate in the space.
`
`31. The user experience success metrics used today are the same as they
`
`were at the time of invention of the ’768 Patent. Great user experiences occur to
`
`end-users as simple and easy to use, quick and efficient, seamless and effortless.
`
`Getting the user experience right is also essential for mission critical tasks, where
`
`people’s lives or life savings are at stake. A suboptimal GUI can contribute to
`
`mistakes that cause irreversible damage (e.g. losses of life, losses of wealth,
`
`destruction of property).
`
`32. But to accomplish excellent results depends on the science of user
`
`experience design. There are three general domains of design involved in crafting
`
`user experiences: information design, interaction design, and interface design.
`
`15
`
`Page 15 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`Information design is about the specific techniques for organizing content.
`
`Interaction design is about what people functionally do with their bodies and their
`
`hands, such as hovering over a cell and clicking a mouse button. And interface
`
`design proper is about the sensory aspects of the experience. How are things
`
`technically changing on screen? How do people know what they can do? How do
`
`they know what they are doing and what they just did?
`
`33. Due to the complexities and nuances technical design of GUIs,
`
`following a scientific method is necessary to invent successful GUIs that ultimately
`
`appear to end users as magically intuitive and, thus, at risk of feeling obvious in
`
`hindsight. This process normally involves: (a) listening to users and understanding
`
`their technical needs, (b) inventing and designing novel technical solutions, (c)
`
`validating the efficacy of those novel technical solutions through usability testing,
`
`(d)
`
`iteratively refining
`
`those novel
`
`technical solutions, and (e) clearly
`
`communicating to engineers the specific technical details of the resultant visual
`
`interfaces and human-computer interaction techniques so they can be accurately
`
`constructed to operate as designed. Using such well-weathered objective methods
`
`is what makes interactions between people and machines predictable, measureable
`
`and reproducible.
`
`C. The TT Patent is Concerned with Solving a Technical GUI Problem.
`
`34.
`
`I am aware that petitioners argue that the claims solve a business
`
`problem, not a technical problem. Even if petitioners were correct to frame the
`
`16
`
`Page 16 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`problem of a trader completing an order at a correct price as a “business problem,”
`
`the claimed invention solves technical problems of speed, precision, and usability
`
`with prior GUI tools. These are classic technical problems. Solving an additional
`
`business problem, even if true, does not negate the technological problems solved
`
`by the claimed invention. Trading is the field of application for the claimed GUI
`
`tool and the asserted business problem of obtaining a trade order at an intended
`
`price is merely an application of the claimed technology. All innovative tools that
`
`solve technical problems also solve problems in their field of use. For example, a
`
`flight instrument embodied in a GUI can address both a technical problem
`
`(usability) and a problem in its field (flight safety). The problems of speed,
`
`accuracy, and usability and their solution are necessarily rooted in computer
`
`technology and the operation of prior art GUIs, not in a business practice.
`
`35. The first sentence of the ’768 Patent’s abstract clearly defines the
`
`motivation for the invention as technical – “A method and system for reducing the
`
`time it takes for a trader to place a trade when electronically trading on an
`
`exchange, thus increasing the likelihood that the trader will have orders filled at
`
`desirable prices and quantities.” Ex. 1001, Abstract (emphasis added). In other
`
`words, the invention is being accurately framed as addressing speed, accuracy and
`
`technical usability challenges. Reducing task time is a technical challenge well
`
`established in the field of user interface and interaction design. It is also a well-
`
`established technical problem in the field of physical devices and man machine
`
`17
`
`Page 17 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`interfaces. Also, increasing task accuracy is a technical challenge well established
`
`in the field of user interface and interaction design – in both hardware and software
`
`realms. As in the physical world, motivations to solve such technical challenges
`
`generally do not yield obvious solutions, and that even the most intellectually
`
`logical solutions do not necessarily correlate with the most intuitive or efficacious
`
`solutions. For that reason, the science of user experience depends heavily on
`
`usability research and real-world validation testing to ascertain technical efficacy
`
`and to direct designers back to the drawing board to craft better performing and
`
`frequently novel and non-obvious solutions.
`
`36. The subsequent sentences of the TT Patent’s abstract clearly define
`
`the invention itself as technical – the “display and trading method of the present
`
`invention ensure fast and accurate execution of trades by displaying market depth
`
`on a vertical or horizontal plane, which fluctuates logically up or down, left or
`
`right across the plane as the market prices fluctuates. This allows the trader to
`
`trade quickly and efficiently.” Ex. 1001, Abstract (emphasis added). The design of
`
`dynamic visual displays and the human-computer interactions dictated by the
`
`specific technical aspects of said visual displays is a well-established science with
`
`a rich history, requiring a nuanced appreciation of human performance variables
`
`and
`
`technical design characteristics
`
`to afford
`
`implementation excellence.
`
`Furthermore, such nuance often depends on the field of application, especially
`
`when it comes to mission critical activities. It is my understanding that there is
`
`18
`
`Page 18 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`considerable evidence that the claimed combination was successful in the
`
`marketplace, copied by others, and received praise from many participants in the
`
`industry. This is evidence of careful, nuanced, technical design that created an
`
`improvement over prior GUIs.
`
`37.
`
`It is my understanding that the Petitioners argue that employment of
`
`known structures in any makeup cannot create new functionality. This position is
`
`nonsensical in the context of software applications. Changing the makeup of
`
`known GUI elements (structures) on a computer screen often dictates a dramatic
`
`change in the functionality of the GUI. And because the makeup of any set of user
`
`interface structures – whether involving numerical display regions, lists, cells,
`
`graphical buttons, or what have you – establishes the specific meaning and
`
`technical capabilities of that user interface, this cannot, by definition, avoid being
`
`deemed technology.
`
`38. For the avoidance of doubt about the technical nature of visual design,
`
`itself, it is worth calling attention to the canonical works of visualization expert,
`
`Edward Tufte. Tufte provides ample evidence that (1) the crafting of effective
`
`visual displays is deeply technical, that (2) getting such displays “right” can be a
`
`matter of life and death, and that (3) getting it “right” in mission critical contexts
`
`has proven time and again to be non-obvious. Attached hereto as Exhibit 2 is an
`
`excerpt from Tufte’s 1997 book, “Visual Explanations: Images and Quantities,
`
`Evidence and Narrative,” in which these points are made clear through varying
`
`19
`
`Page 19 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768 B2
`representations of the same data to arrive at dramatically differing outcomes. These
`
`teachings illustrate visual analyses of the Cholera Epidemic in London in 1854 and
`
`the flawed decision to launch the Challenger Space Shuttle in 1986. Visual design
`
`(aka “optical engineering”) is a technical craft regularly requiring experimentation
`
`and innovation to solve technical problems of human perception and graphical
`
`reasoning in relation to numerical and statistical data, as specifically motivated by
`
`the inventors of the ’768 Patent.
`
`39. As a result of reading the patent as a whole, it is clear that the ’768
`
`Patent is a user interface technology patent that improves the science of user
`
`experience well beyond the domain of commodity trading. The ’768 Patent does
`
`not claim general trading concepts independent of the specific technical limitations
`
`taught in the specification and language in the claims. Instead, the claimed steps
`
`are directed to the construction of a specific GUI and how a user can interact with
`
`it.
`
`40. The claimed GUI thus improves the functioning of a computer
`
`because it provides new structure, makeup, and functionality that does not exist
`
`absent the claimed specialized GUI. By “structure,” I mean the individual GUI
`
`components of the invention, whether interactive elements or pure data display
`
`elements. By “makeup,” I mean the specific ordering and layout configuration of
`
`the various GUI structures on screen. By “functionality,” I mean the ways in
`
`which the structures and the makeup of the structures: (i) restrict and/or enable data
`
`20
`
`Page 20 of 82
`
`TRADING TECH EXHIBIT 2168
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`
`
`Case CBM2016-00054
`U.S