`
`IN THE UNITED STATES DISTRICT COURT
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`FOR THE DISTRICT OF DELAWARE
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` )
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`
`
`
`)
`)
`)
`) C.A. No. 15-cv-262-SLR-SRF
`)
`)
`)
`)
`)
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`
`IMPROVED SEARCH LLC,
`
`
`Plaintiff,
`
`
`
`v.
`
`
`AOL INC.,
`
`
`
`
`
`
`Defendant.
`
`DECLARATION OF JAIME CARBONELL, PH.D IN SUPPORT OF
`IMPROVED SEARCH OPENING CLAIM CONSTRUCTION BRIEF
`
`
`I, Jaime Carbonell, Ph.D., do hereby declare as follows:
`
`I.
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`INTRODUCTION
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`1.
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`I, Jaime Carbonell, Professor at the Language Technologies Institute, in the
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`School of Computer Science at Carnegie Mellon University, located at 5000 Forbes Avenue,
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`Pittsburgh PA 15213, am over eighteen years of age, and I am competent to testify as to the
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`matters set forth herein if I am called upon to do so.
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`2.
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`I have been retained by Improved Search LLC (“Improved Search”) to provide
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`expert testimony in the above captioned matters. In particular, I have been asked to provide my
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`expert opinions on the proper construction of claim terms in U.S. Patent Nos. 6,604,101 (the
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`“’101 Patent”) and 7,516,154 (the “’154 Patent). I have also been asked to opine on the
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`understanding that a person of ordinary skill in the art at the time of the inventions claimed in the
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`‘101 Patent and ‘154 Patent would have had with respect to those terms. I am being
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`compensated at the rate of $550 per hour.
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`AOL Ex. 1013
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`II.
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`BACKGROUND AND EXPERIENCE
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`3.
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`I received Bachelor of Science degrees in both Physics and Mathematics in 1975
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`from the Massachusetts Institute of Technology. I received M.S., M.Phil. and Ph.D. degrees in
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`Computer Science from Yale University in 1976, 1977, and 1979, respectively.
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`4.
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`I have held the position of Allen Newell Professor of Computer Science at
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`Carnegie Mellon University from 1995 to the present. I currently also hold the title of Director
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`of the Language Technologies Institute at Carnegie Mellon University. I first joined Carnegie
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`Mellon as an Assistant Professor of Computer Science in 1979. In 1987, I was appointed as a
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`Professor of Computer Science at Carnegie Mellon.
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`5.
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`Since 1979, I have taught a wide variety of graduate and undergraduate courses at
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`Carnegie Mellon that fall within the general field of Computer Science, including courses in
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`software engineering, data mining, natural language processing, search engines, machine
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`translation, electronic commerce, and artificial intelligence. I have been involved in a number of
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`different professional organizations and activities, including memberships in the Association of
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`Computing Machinery (“ACM”), the Association for the Advancement of Artificial Intelligence
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`(“AAAI”), and the Cognitive Science Society. I have also held leadership positions within
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`professional organizations. From 1983 to 1985, I served as Chair of the ACM’s Special Interest
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`Group on Artificial Intelligence (“SIGART”). From 1988 to the present, I have been a Fellow of
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`the AAAI. From 1990 to 1992, I served on the AAAI executive committee. I have also served
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`on a number of different government committees, including the Computer, Information Science
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`& Engineering Advisory Committee of the National Science Foundation (2010 to 2014); the
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`Human Genome Scientific Advisory Committee to the National Institute of Health, also known,
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`colloquially, as the “Watson Committee” (from 1988 through 1992); and the Scientific Advisory
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`Committee of the Information Access Division of the National Institute of Standards and
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`Technology (from 1997 through 2001).
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`6.
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`I am an author or co-author on more than 330 technical papers published as
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`invited contributions and/or in peer-reviewed journals or conferences. These papers present the
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`results of my research, which is generally directed at computer implemented algorithms and
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`methods that relate to machine learning, natural language processing and information retrieval,
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`including such applications as cross-language information retrieval (best paper award),
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`optimizing database access, machine, parsing natural language (a.k.a., “content analysis”), search
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`engine optimization, and text mining. I have served as an editor and peer-reviewer for a number
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`of different technical journals in my field, including the Machine Learning Journal (from 1984
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`through 2000), the Machine Translation Journal (the 1980’s), and the Artificial Intelligence
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`Journal (1984 through 2008). I was also a Co-editor of the book series Lecture Notes in
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`Artificial Intelligence, which was published by Springer from 1996 through 2008.
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`7.
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`I received a “recognition of service” award from the Association for Computing
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`Machinery for my role as chair of the ACM’s special interest group in Artificial Intelligence
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`(SIGART) between 1983 and 1985. In 1986, I received the Sperry Fellowship for excellence in
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`artificial intelligence research. In 1987, I received the Carnegie Mellon University Herb Simon
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`Computer Science Department’s teaching award.
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`8.
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`I have also worked as a technical consultant on Computer Science applications for
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`a variety of industrial clients. This includes consulting on data mining applications for Industrial
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`Scientific Corporation (data mining to improve workplace safety); Carnegie Group Inc. (artificial
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`intelligence and natural language processing); Citicorp (financial data mining, natural language);
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`Wisdom Technologies (financial optimization); Dynamix Technologies (large-scale algorithms,
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`databases and information retrieval, with applications to Homeland Security), and Meaningful
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`Machines in natural language processing and machine translation. I have experience in many
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`aspects of computing technology, including electronic commerce, where I regularly teach two
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`classes every year, including in data mining and business processes, and in search engine
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`optimization.
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`9.
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`I am a named inventor on a number of issued U.S. Patents, including: U.S. Patent
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`No. 5,677,835 (“Integrated authoring and translation system”); U.S. Patent No. 5,995,920
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`(“Computer-based method and system for monolingual document development”); U.S. Patent
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`No. 6,139,201 (“Integrated authoring and translation system”); U.S. Patent No. 6,163,785
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`(“Integrated authoring and translation system”); and U.S. Patent No. 7,406,443 (“Method and
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`system for multi-dimensional trading”).
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`10.
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`A current copy of my curriculum vitae setting forth details of my background and
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`relevant experience, including a full list of my publications and a listing of cases for which I
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`have provided expert testimony over the last seven years as Exhibit A.
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`III. MATERIALS REVIEWED
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`11.
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`In performing the analysis that is the subject of this Declaration, I have reviewed:
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`•
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`•
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`•
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`•
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`•
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`•
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`US Patent No. 6,604,101
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`US Patent No. 7,516,154
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`File History for the US Patent No. 6,604,101
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`File History for the US Patent No. 7,516,154
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`Joint Claim Construction Statement
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`Exhibits B-J attached hereto
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`IV. UNDERSTANDING THE LAW TO BE APPLIED TO INTERPRET CLAIMS
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`12.
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`In formulating my opinions and conclusions in this declaration, I have been
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`provided with an understanding of some of the prevailing principles of United States patent law
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`that govern the issues of patent claim interpretation, including claim construction, applicable to
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`my declaration.
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`V.
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`LEVEL OF ORDINARY SKILL IN THE ART
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`13.
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`It is my understanding that my analysis of the interpretation of a claim term must
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`be undertaken from the perspective of what would have been known or understood by a person
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`having ordinary skill in the art (POSITA) at the time of the invention. In my opinion a POSITA
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`would have had a Bachelor’s degree in computer science or computer engineering, plus two or
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`more years of either work experience or graduate study involving web-based search engines, as
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`well as familiarity with multi-lingual text processing and databases.
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`VI. CLAIM TERMS
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`A.
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`Translating
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`14.
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` The common and ordinary meaning of “translating”, consistent with the
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`specifications of the ‘101 and ‘154 patents is “changing the text in one language into an
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`equivalent text in a different language.” No further narrowing is warranted, certainly not
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`constraining the different language to have been preselected by the user. I have worked in
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`translation since college in the 1970’s, and later in machine translation, and nowhere is there a
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`pre-selection restriction placed on the second language. Nor do the specifications place such a
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`restriction; a single example embodiment where (‘101: 6:5-9) the user pre-selects the text does
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`not override the multitudes of other referents to translation in the specification without this
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`restriction.
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`AOL Ex. 1013
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`B.
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`Second language
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`15.
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`In my opinion, in the context of the ‘101 and ‘154 patents, “second language” is
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`meant to be inclusive of a language different from the first language, and other dialects of the
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`first language. I was informed that the terms should be construed as their ordinary and
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`customary meaning to a person of ordinary skill in the art at the time of the invention, consistent
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`with the claim language, written description, and prosecution history. For instance, Croatian and
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`Serbian are different dialects of Serbo-Croatian, yet there are translators from one to the other
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`(including Google translate (e.g. typing “translation from Croatian to Serbian” in the Google
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`search box brings up exactly such a translator with the “second language” with Serbian, Serbian
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`and Croatian being dialects of the same language, Serbo-Croatian)). For example, Google
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`translate will translate Croatian “Dobro jutro. Drago mi je” into Serbian “Добро јутро. Драго
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`ми је,” which roughly means, “Good morning. Pleased to meet you.” Attached hereto as
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`Exhibit J. The ‘101 specification explicitly cites an example of Chinese dialects (‘101, 5:44-47),
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`and hence there is both intrinsic and extrinsic evidence to support the broader definition of
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`second language. Other extrinsic evidence shows that translation includes dialects, such as
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`translating between Mandarin and Cantonese which are both dialects of the same language,
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`Chinese, e.g. the second language may be a dialect of the first. See Zhang “Dialect MT: A Case
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`Study between Cantonese and Mandarin” (1998), Attached hereto as Exhibit B; Petras
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`“Translating Dialects in Search: Mapping between Specialized Languages of Discourse and
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`Documentary Languages” (2006) at 111-153, Attached hereto as Exhibit C.
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`C.
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`Content word
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`16.
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` “Content word” is a basic concept in language and linguistics. A “content word”
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`is any word that carries semantic content. Merriam Webster defines “content word” as “a word
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`that primarily expresses lexical meaning” (http://www.merriam-
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`webster.com/dictionary/content%20word). Attached hereto as Exhibit D. Words that carry
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`meaning (i.e. semantic content) include nouns, verbs, adjectives and adverbs, but also include
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`proper nouns (names), quantifiers (e.g. cardinal and ordinal numbers), qualifiers (common in
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`Chinese, for instance), neologisms, and artificial words such as part numbers or product codes,
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`such as “EOS-ID X”. For a more complete list and explanation of parts of speech, see Santorini,
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`“Part-of-Speech Tagging Guidelines for the Penn Treebank Project (3rd Revision)” (1990).
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`Attached as Exhibit E. Search engines also cope with model numbers, acronyms, etc. which go
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`beyond the traditional parts of speech. Under a strict interpretation of “nouns, verbs, adjectives
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`and adverbs” search queries such as “EOS-1D X under $4000” would have no content words at
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`all – it is a model number, a preposition and a cardinal (numerical quantity, i.e.(a price), and yet
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`if typed to Google the above query retrieves appropriate pages, and hence contains content
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`words. Attached hereto as Exhibit F Search engines typically operate on what they consider
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`content words.
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`17.
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`The ‘154 at 4:41-45 recites: “in a typical deployment, as soon as a content word
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`or a keyword is extracted from the user’s query input, the server conducts a search in the
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`database and returns to the user one or more advertisements relevant to the content word or
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`keyword” which implies that data-base searchable key words are used, and these include names,
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`model numbers, quantities, etc., -- whatever is defined as a key field in the data base, and not
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`restricted to just nouns, verbs, adjectives and adverbs. For example, the PC Magazine
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`encyclopedia defines “key field” as: “A field in a record that holds unique data which identifies
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`that record from all the other records in the file or database. Account number, product code and
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`customer name are typical key fields.” (http://www.pcmag.com/encyclopedia/term/45766/key-
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`field) Attached as Exhibit G.
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`18.
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`Therefore the more general definition of content word is warranted, correct, and
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`commonly used in the practice.
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`D.
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`Contextual search / contextually searching
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`19.
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`In my opinion “contextual search” applies to web search both in normal ordinary
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`usage and in terms of intrinsic evidence (e.g. ‘101, 1:16-20), and also explicit mentions of URLs
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`in the patent, which are identifiers of web-based document, providing access thereto, rather than
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`being typical database designators. Hence the construction “Identification of/identifying relevant
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`domain-unlimited set of documents available on the World Wide Web, based on the words
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`contained in the documents” is appropriate. I note that the construction proposed by AOL
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`referring to “external set of unidentified documents” could be consistent with Improved Search’s
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`construction, but could also be problematic. External to what? If external means external to the
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`user’s computer, including the web, then it could make sense, but “external” could mean
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`“outside the company” or “outside the country” and thus exclude important parts of the web.
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`Also the word “unidentified” is confusing in the context of these patents, unidentified by whom?
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`If it means documents not previously identified by the user, it is acceptable, but it could mean
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`“documents not previously identified by the search engine” which would rule out web search – a
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`search engine must crawl and index the web, before searches are conducted, and in the process
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`identifies the documents and corresponding URLs. Hence in my opinion AOL’s proposed
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`construction is fraught with indeterminacy, and the much better stated Improved Search
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`construction should be adopted.
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`E.
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`Dialectal standardization / dialectally standardizing / dialectally standardized
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`20.
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`In my opinion dialectical standardization includes both standardization within a
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`dialect and across dialects of a language, therefore “to map keywords from different styles and
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`dialects into standard and less ambiguous keywords” is the correct construction. The intrinsic
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`evidence is clear to one of ordinary skill in the art reviewing the patents. For example, ‘101 5:63-
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`37 gives variants for standardization including “auto”, “automobile” and “transportation vehicle”
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`all of which are in Standard American English (e.g. within-dialect standardization, not requiring
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`cross-dialect mapping). Other within dialect variants would include “car” and “motorcar.” Other
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`examples of within-dialect standardization are “delimit”, “demarcate” and “differentiate”, or
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`“airplane”, “plane”, and “aircraft.” It makes sense to standardize to “airplane”, which is less
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`ambiguous (“plane”, for instance, can also refer to a carpenter’s tool, to a geometric figure, or
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`other meaning). Typing “planes and level” to Google, yields a mix bag of results: geometric
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`figures, carpenter’s tools, level flight, etc. (Attached as Exhibit H), whereas typing “airplanes
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`and level” yields only flight-related results (Attached as Exhibit I).
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`21.
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`The specification also gives examples of cross-dialect standardization (e.g. “lorry
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`vs. truck”), hence both within-dialect and cross-dialect are including in dialectical
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`standardization, not just the latter, as would be the case if the unjustifiably narrow AOL
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`construction were adopted.
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`F.
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`Search in the second language / searching in the second language
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`22.
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`The meaning of “search in the second language” should be self-evident as
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`searching using words that are used in that second language. However there is an important
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`subtlety that ruins the normal search engine process if the construction adds the word “only.”
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`“Only words in the second language” could and probably would be interpreted to exclude words
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`that may be used in that second language but are not properly part of said language. For instance
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`in English we may search for a “Sushi restaurant” or for a “Tapas restaurant” or for “Toyota
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`automobiles”, or for “haute couture fashion”, but all of those searches could be excluded because
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`they contain words that are not “only” in the second language (in English, in this case). A more
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`comprehensive example: Suppose a Japanese person visiting the United States types “すし屋”
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`(sushi-ya) as a query in Japanese, the query translator turns this into “sushi restaurant” and this
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`query in the second language is passed to the contextual search engine, which finds sushi
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`restaurant web pages returning same (or translations thereof into Japanese). This would be a
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`typical use of the invention, but would be excluded if “sushi” (written in roman letters, but still a
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`Japanese word) were excluded from the search in the second language because said search in the
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`second language may use only words that in that language. The same would happen if the initial
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`query would contain “トヨタ” (Toyota), because it is a Japanese word and therefore forbidden
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`in a search (e.g. for “Toyota dealers”) that can only use English words (Toyota is a Japanese
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`word, even if written in roman characters).
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`23.
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`Therefore, adding the word “only” to the construction is an arbitrary and
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`unwarranted restriction whose sole function is to significantly reduce the value of the invention.
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`The correct construction is simply “searching using words in the second language”.
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`G.
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`Advertising cues
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`24.
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`The ‘154 patent is clear in its use of the term “advertising cues” to mean
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`advertisements, links to advertisements (e.g. URLs/hyperlinks) or other references to
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`advertisements. Hence AOLs proposed construction of that term to just “advertisements” is in
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`my opinion unwarranted. For instance ‘154 claims 2 and 8 mention examples of signals of
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`references to advertisements. A hyperlink is an example of a reference. The specification of
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`the‘154 at 6:29-34 mentions “a hyperlink to an advertisement page”, “a pop-up window” “a
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`flag”, “audio advertisement” and “non-textual visual advertisement”. All of these are
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`“advertising cues”; essentially the same information is repeated in ‘154 7:25-30. Claim 2 of the
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`‘154 recites: “The method of claim 1, wherein the advertising cues comprise any of: a hyperlink
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`to an advertisement page in the first language; a pop-up window containing content in the first
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`language; a flag containing content in the first language; an audio advertisement; and a non-
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`textual visual advertisement”, making it even clearer that advertising cues contain signals and
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`references (flags and hyperlinks).
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`H. Means for receiving from the user through an input device a query in the
`first language
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`25.
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`It is my understanding that a “means plus function” claim or claim element entail
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`first specifying the function and then identifying the structure that supports that function, either
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`in the claim itself or in the specification. The function is clearly stated in a manner a POSITA
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`would understand: “receiving from the user through an input device a query in the first
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`language.” The structure is provided by the specification: that “the user inputs a query in her
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`native language (i.e. the source language) through an input device such as a keyboard.”
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`(emphasis added) in ‘154 1:60-61; 4:53-55; 6:39-41. Moreover a keyboard is the standard means
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`for inputting information (queries) to a search engine. Hence the structure is “a keyboard or its
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`equivalents”.
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`I.
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`Dialectal controller for dialectally standardizing a content word extracted
`from the query
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`26.
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` “Dialectal controller” is definite in light of the claim language, specification and
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`prosecution history. The ‘101 patent states at 5:27-33: “The query is received by a dialectal
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`controller which processes the query and identifies a keyword from the query input 120. The
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`dialectal controller extracts content word out of the query. The next step involves dialectal
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`standardization 122, wherein the dialectal controller at server backend picks up the keyword and
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`standardizes it to a commonly known word and/or term.” The specification further defines
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`“dialectal controller” at 7:9-16: “The dialectal controller uses processing logic to identify the
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`keyword 152. Statistical data in conjunction with syntactic analysis provides the foundation for
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`the processing logic so as to include and exclude certain kind of verbal entries. Thereafter, the
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`dialectal controller applies dialectal standardization logic to standardize keyword 154. Such a
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`logic is used so as to standardize the keyword to a commonly known word/term.” A person of
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`ordinary skill in the art would understand that “dialectal controller” is a server implementing
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`processing logic using statistical data in conjunction with syntactic analysis to dialectally
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`standardize the keyword to a commonly known word, and is thus sufficiently definite.
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`27.
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`If this term were to be governed as a means-plus-function element, then the
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`function is clearly stated in the phrase “dialectally standardizing a content word extracted from
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`the query,” and the corresponding structure evident to a POSITA reading the specification is a
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`“server.”
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`28.
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`Support for this structure is evident in the ‘154 at 4:37-39, which recites: “The
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`server, which is connected to a search engine through the Internet, hosts a dialectal controller”;
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`and at 4:55-63, which recites: “Step 102: The input is received by a dialectal controller in the
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`server which processes the query input, identifies the user’s input language, and extracts a
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`content word or keyword out of the query input. The dialectal controller at the server backend
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`picks up the keyword and standardizes it to a commonly known word or term. This is done to
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`bring about a consistency in the meaning of a word notwithstanding dialectal variations.”
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`29.
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`The specification of the ‘101 patent further adds to this structure, e.g. ‘101 patent
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`at 7:10-16 states that” statistical data in conjunction with syntactic analysis” at the server is the
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`structure that implements the “processing logic” supporting, and implementing, the function of
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`dialectally standardizing a content word extracted from the query. Hence the structure can be
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`summarized as “server.”
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`J.
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`Means to search the database of the advertising cues based on the relevancy
`to the translated content word
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`30.
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`In my opinion the function would be evident to a POSITA from the description,
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`namely: “to search the database of the advertisement cues based on the relevance to the
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`translated content word.” A POSITA reading the specification would conclude that the structure
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`is a “server.” The ‘154 at 4:39-45 recites: “The server is also associated with a database of
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`advertisements. In a typical deployment, as soon as a content word or a keyword is extracted
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`from the user’s query input, the server conducts a search in the database and returns to the user
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`one or more advertisements relevant to the content word or keyword.” It is typical for a remote
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`server-based database search to be performed by the server running a database manager (the
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`DBMS) that searches the database. Server-based databases are not useful without a search
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`capability, and by definition the DBMS performs that search. Hence the server runs a database
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`search, implementing this function.
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`31.
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`Further structure is provided via the LACE embodiment, ‘154 7:32-44: “In
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`another equally preferred embodiment, the cross language advertising is incorporated with the
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`LACE, a system for dynamically returning a remote online user a bilingual annotation or
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`translation, displayed in a mouse pointer associated callout, on the textual information contained
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`in the website. When the user initiates a real-time annotation or translation using her mouse
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`pointer, he is returned one or more advertisements in the user’s language. The system includes a
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`web server which supports a website on the Internet,” such as English, and “[t]he LACE
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`application can be activated from the web site but runs on the web site server.” The user
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`communicates with LACE and with any search engine and advertisement database via a browser.
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`A POSITA would assemble these elements to see that the keywords come from the user’s query
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`via the browser, and go to the server for database search to find the relevant advertisements or
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`advertisement cues, which are then served back to the user’s browser for viewing.
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`K. Means to send the search results and the matching advertising cues
`to the user’s computer screen
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`32.
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`A POSITA would understand that the function is contained in the statement,
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`namely “to send the search results and the matching advertising cues to the user’s computer
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`screen.” In the context of the client-server framework provided in the specification of the ‘154
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`the POSITA would further understand that the structure inherently would be the server sending
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`the search results to the browser, which then displays it on the computer screen. This is the way
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`browsers and servers operate. The description of the LACE server referenced above, reinforces
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`this structure more explicitly:
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`“The remote end user logs on the Internet by using a browser in her
`computer and visits a website. The website is in a target language, such
`as English. The LACE application can be activated from the web site but
`runs on the web site server. Upon activation of the LACE application,
`the user can obtain translation of or bilingual annotation on, a segment
`of textual information in the website by moving her mouse pointer over,
`or pointing the pointer at, the text that she wants to understand. For
`example, when the user moves the pointer over “tax preparer”, a bubble
`or a pop-up callout comes to the screen. The callout is associated with
`the pointer such that a visual reference between the callout and the target
`text is established. At the same time, the server sends the user one or
`more advertisements which are relevant to the text she targeted.” (‘154
`at 7:41-55.)
`
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`The LACE description explicitly mentions a “bubble or pop-up callout comes to the [user’s]
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`screen” which as the POSITA knows is done via the browser explicitly mentioned above “the
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`user … using a browser in her computer.” And the “web site server” sends this information to
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`14
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`AOL Ex. 1013
`Page 14 of 15
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`the browser. Hence it should be completely clear to a POSITA that the structure is “the server
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`and/or browser or equivalents.”
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`I declare under penalty of perjury that the foregoing is true and correct.
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`
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`Dated: Nov 3, 2016
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`
`Jaime Carbonell, Ph.D
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`15
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`AOL Ex. 1013
`Page 15 of 15
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