throbber
Filed on behalf of ABB, Inc.
`
`By: Richard D. Mc Leod (Reg. No. 46,921)
`Rick.mcleod@klarquist.com
`Michael D. Jones (Reg. No. 41,879)
`michael.jones@klarquist.com
`Klarquist Sparkman LLP
`One World Trade Center, Suite 1600
`121 S.W. Salmon Street
`Portland, Oregon 97204
`Telephone: (503) 595-5300
`Facsimile: (503) 595-5301
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`ABB, INC.
`Petitioner
`
`v.
`
`ROY-G-BIV CORPORATION
`Patent Owner
`
`____________
`
`Trial No. IPR2013-00062 (joined with IPR2013-00282)
`Patent 6,516,236 B1
`
`____________
`
`ABB’S OPPOSITION TO PATENT
`OWNER’S MOTION TO EXCLUDE EVIDENCE
`
`
`

`

`TABLE OF CONTENTS
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`Case IPR2013-00062
`Case IPR2013-00282
`Patent 6,516,236 B1
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`Page
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`I.
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`INTRODUCTION ........................................................................................... 1
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`II.
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`DISCUSSION .................................................................................................. 1
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`A.
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`RGB’s Motion Is Improper ................................................................... 1
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`B.
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`C.
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`ABB’s Reply Responded To The Issues Raised By RGB .................... 2
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`Drs. Papanikolopoulos And Voyles Testimony Is Admissible ............. 7
`
`1.
`
`2.
`
`Drs. Papanikolopolous And Voyles Offer Facts
`In Addition To Opinions Based On The Cited Art ..................... 8
`
`Expert Testimony
`(Via Declaration) Is Not An “Expert Report” ..........................11
`
`3.
`
`Dr. Papanikolopolous Applied The Law Correctly ..................12
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`III. CONCLUSION ..............................................................................................13
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`TABLE OF AUTHORITIES
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`Page
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`
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`Cases
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`Avaya, Inc. v. Network-1 Security Solutions, Inc.,
`IPR2013-00071, Paper 75, Dec. 2, 2013 ................................................................ 1
`
`Graham v. John Deere Co.,
`383 U.S. 1 (1966) .................................................................................................11
`
`Phillips v. AWH Corp.,
`415 F.3d 1303 (Fed. Cir. 2005) ............................................................................13
`
`
`
`Other Authorities
`
`MPEP 2143.03 ........................................................................................................... 9
`
`Office Patent Trial Practice Guide,
`77 Fed. Reg. 48756, 48767 (Aug. 14, 2012) .......................................................... 2
`
`
`
`Rules
`
`Rules of Practice,
`77 Fed. Reg. at 48633 ............................................................................................. 2
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`
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`ii
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`

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`I.
`
`INTRODUCTION
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`Case IPR2013-00062
`Case IPR2013-00282
`Patent 6,516,236 B1
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`ABB timely submits this Opposition to Patent Owner’s Motion to Exclude
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`Evidence (Paper #59). RGB moved to exclude: “(1) arguments raised for the first
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`time in ABB’s reply (“Reply”); (2) new alleged grounds of un-patentability outside
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`of the scope of the initial Petition and Institution Decision (“I.D.”); and (3) the
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`expert testimony of Dr. Papanikolopoulos (“Dr. P.”) and portions of Dr. Voyles’
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`declaration…” For at least the reasons set forth below, RGB’s motion should be
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`denied in its entirety.
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`II. DISCUSSION
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`RGB’s motion to exclude makes clear that it either misunderstands the
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`technology, misunderstood ABB’s reply, or is seeking to obfuscate the issues.
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`A. RGB’s Motion Is Improper
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`As they Board has stated, a motion to exclude should be directed at the
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`admissibility of evidence, not the sufficiency of evidence, credibility of witnesses,
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`or whether new arguments may have been raised in a reply. Avaya, Inc. v.
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`Network-1 Security Solutions, Inc., IPR2013-00071, Paper 75, Dec. 2, 2013 (“a
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`motion to strike or motion to exclude is not the proper mechanism for raising the
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`issue of whether a reply or reply evidence is beyond the proper scope permitted
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`ABB’s Opposition to Patent Owner’s Motion to Exclude Evidence
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`under the rules” -- citing Rules of Practice, 77 Fed. Reg. at 48633 and Office
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`Patent Trial Practice Guide, 77 Fed. Reg. 48756, 48767 (Aug. 14, 2012)).
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`Thus, RGB’s Motion is improper on its face, and should be denied.
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`B. ABB’s Reply Responded To The Issues Raised By RGB
`
`ABB has not raised new arguments or new grounds of unpatentability; it
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`responded to the assertions made in RGB’s papers.
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`RGB did not provide persuasive evidence supporting its interpretation of the
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`claims in its preliminary, primary, or supplemental responses. Rather, RGB
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`appears to have been reduced to the two pronged argument that: 1) the claimed
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`functions and component code include only “executable” functions/code, and 2)
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`the prior art does not teach executable functions associated with one another by
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`executable code. Accordingly, ABB’s reply pointed out that, with respect to the
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`first prong of RGB’s argument:
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`However, “computer code” encompasses more than executable machine
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`language, rather it includes any form of control flow, including visual
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`programming constructs. (Ex. 1130, ¶¶ 21-22, 39; Ex. 1132, ¶ 55-56; 236
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`Patent, Fig. 1A, “Visual Basic”).
`
`…
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`However, the term “function” encompasses more than executable machine
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`language instructions. Rather, “function” broadly encompasses “in-line”
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`functions, constructs in scripting languages, interpreted languages, and also
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`visual programming constructs, regardless of how the program is stored or
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`executed. (Ex. 1130, ¶ 39, 42-46). (Reply, 9-10)
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`Indeed, neither the Board nor the district court has adopted a construction for
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`the disputed terms that is limited to “executable code.”
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`ABB’s reply also pointed out that, with respect to the second prong of
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`RGB’s argument:
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`Stewart identifies the executable functions of a PBO. (Id. at 47, 52). Of
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`these, the “cycle” method is the function that executes the task represented
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`by the PBO. (Id.; also Gertz at 56, Fig. 6). The others are simply constructor,
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`destructor and error methods typically associated with OO programming
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`techniques (Id. at 48, discussing init).
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`As such, the PBOs taught by Gertz and Stewart provide the “driver
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`function” limitation of the claims. The “cycle” function for any given PBO
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`corresponds to executing the task represented by the PBO. By definition, a
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`PBO for a “primitive operation” that sends commands to a motion control
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`device has an association to a “core driver function.” (See e.g., Gertz, “joint
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`move to q” discussed below).
`
`…
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`While Dr. Stewart ignored the Board’s BRI, ordinary artisans would
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`recognize that Onika is both a programming and execution environment
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`(Gertz at §§ 1.1; 1.3; 5.9) and that the configuration files that it creates
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`comprise software code that binds various components together into a
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`programming sequence (including Turing equivalents) that have been the
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`basis of computer programming for over a century. (Ex. 1030, ¶ 37-39, 42-
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`46). (Reply, 12-13).
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`That is, in any case, Gertz’s tasks are executed – by the “cycle” function
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`contained within the port based object – and are associated with one another by
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`computer code. Thus, the “cycle” function (discussed by Dr. Stewart in his
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`declaration at exhibit 2011, ¶ 11) illustrates that tasks are executed.
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`ABB’s Reply does not present new “alleged grounds of un-patentability,”
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`but merely responded to RGB’s strained arguments supported by the Stewart
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`declarations. ABB’s Petition explained that Gertz’s control tasks, configurations,
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`and actions, as well as their connections (i.e. associations) within Onika (Gertz,
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`Fig. 1), met various claim limitations (e.g., driver functions, component functions,
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`and component code.) Although the Board and district court have not limited these
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`terms to “executable” code, RGB presented an analysis premised on Dr. Stewart’s
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`memory of Onika/Chimera, asserting that Onika was not an execution
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`environment. ABB’s Reply focused on portions of Gertz that refuted Dr. Stewart’s
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`analysis -- portions that he admitted not reading reading/reviewing in detail (e.g.,
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`Gertz, § 5.9 “Execution of Applications”; Ex. 1104, pp. 45-48. This is not a “new
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`argument.” Indeed, ABB’s Petition noted that Onika is:
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`…capable of creating, simulating, and executing motion control
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`application programs which are capable of controlling a variety of
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`motion control devices. (’236 Petition at 10-11, citing Gertz, § 1.1; §
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`1.3) (underline added).
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`ABB’s petition also noted (underline added):
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`an application can be created by combining subsystems for execution
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`in parallel. (’236 Petition at 12, citing Gertz, § 3.2.10).
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`…
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`Gertz discloses that the applications built in Onika are constructed
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`from one or more control subsystems, and that “[a] control subsystem
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`is a collection of actions which are executed one at a time, and can be
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`assembled by a user.” (’236 Petition at 22).
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`…
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`Onika can then execute the application, thereby translating the logic
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`contained in the application into commands for controlling a specific
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`motion control device. (’236 Petition at 24).
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`…
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`“The control tasks, which execute in parallel, are combined (using
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`their icons) to form configurations, which perform some real-time
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`control function (such as ‘move to x’).” (’236 Petition at 52, quoting
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`Gertz, § 3.3).
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`…
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`Applications comprise component functions (“actions”) defining a
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`desired motion sequence: “An application is one or more subsystems
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`executing in parallel towards some common goal.” (Gertz, § 3.2.10).
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`“A control subsystem is a collection of actions which are executed one
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`at a time, and can be assembled by a user.” (Gertz, § 3.2.9). (’236
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`Petition at 55).
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`With specific reference to “component code,” ABB’s Petition noted:
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`Thus, by describing that the control tasks and configurations (“driver
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`functions”) are connected to the actions (“component functions”),
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`Gertz discloses that Onika contains the claimed component code.
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`(’236 Petition at 23, citing Gertz, § 3.2; § 4).
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`Strangely, RGB’s response argued that “configuration information” is not
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`“software code” (Response, 29, citing Stewart Decl. ¶ 44), even though this
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`is not the BRI of any claim term.
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`Three other points require clarification. First, the motion to exclude states
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`that ABB’s reply did not rely on Morrow as teaching primitive operations. RGB’s
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`response did not dispute that Morrow teaches “trajectory primitives” or
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`substantively dispute the Board’s finding regarding Morrow, thus it appeared
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`neither necessary nor appropriate for ABB to address. Second, RGB apparently
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`confuses a configuration, which is “a set of tasks taken from a from a library
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`which, when assembled together and activated, will perform a specific job, such as
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`‘move to x,’” (Gertz, 45) and which ABB asserts is an extended driver function
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`(’236 Petition at 21) with a type of configuration file, which is one of the various
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`file formats used by Onika (Gertz, 145; 147-148). Third, the motion to exclude
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`accuses ABB of “switching horses” and citing to the Stewart reference too often.
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`In essence, RGB suggests that it is entitled to ignore the teaching of the Stewart
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`reference, even though Gertz and Stewart describe the Onika/Chimera framework.
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`The central ground for trial, unpatentability over Gertz, Stewart, and Morrow
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`(along with other references for some claims) remains.
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`C. Drs. Papanikolopoulos And Voyles Testimony Is Admissible
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`The Board’s Trial Practice Guide states:
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`In the event that cross-examination occurs after a party has filed
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`its last substantive paper on an issue, such cross-examination may
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`result in testimony that should be called to the Board’s attention, but
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`the party does not believe a motion to exclude the testimony is
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`warranted. The Board may authorize the filing of observations to
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`identify such testimony and responses to observations, as defined
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`below. (Emphasis added).
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`
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`Apparently, RGB “does not believe a motion to exclude the testimony is
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`warranted,” as RGB filed a motion for observations in this matter. (NB: RGB did
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`not serve objections to ABB’s Reply in the related IPR2013-00063, and did not
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`cross-examine Dr. Papanikolopolous in that proceeding). ABB will nevertheless
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`respond, briefly, to each of RGB’s assertions in turn.
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`ABB’s Opposition to Patent Owner’s Motion to Exclude Evidence
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`Drs. Papanikolopolous And Voyles Offer Facts
`In Addition To Opinions Based On The Cited Art
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`1.
`
`RGB accuses both Drs. Papanikolopoulos and Voyles of relying on their
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`own knowledge and experience, and on other background materials not cited in
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`ABB’s original petition. RGB apparently concludes that such knowledge is
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`“impermissible as a reference.”
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`Drs. Papanikolopoulos and Voyles testified regarding RGB’s Response,
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`specifically the testimony of Dr. Stewart. Dr. Stewart’s testimony included factual
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`assertions based on the alleged operation of Onika/Chimera (see, e.g., ¶¶ 9, 17, 23,
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`27 and 28), as well as opinions regarding the references and patents (see, e.g., ¶¶
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`29-32). Drs. Papanikolopoulos and Voyles gave testimony rebutting both
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`Stewart’s factual assertions (e.g., what a person of skill in computer science and/or
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`motion control who attended Carnegie Mellon University and worked in the
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`Advanced Manipulators Lab actually thought of the systems described in the cited
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`prior art, in the timeframe of the alleged invention by Mr. Brown), and opinions
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`(e.g., what a person of skill in the art would have thought of the patents and the
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`cited prior art in the timeframe of the alleged invention), principally with respect to
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`the issues disputed by Dr. Stewart.
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`RGB has not presented a proper basis for excluding all factual testimony of
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`Drs. Papanikolopoulos and Voyles, particularly the fact that Dr. Voyles personally
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`suggested to Dan Morrow using Onika in his research (Ex. 1130, ¶ 36-40) and the
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`facts regarding Dr. Stewart’s problems in academia. (ABB’s reply to RGB’s
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`Motion for Observations at section IV; Exhibit 2014 at 58:3-64:22) (Ironically, it
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`desires to retain testimony that would paint Stewart in a better light).
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`Further, RGB has presented no reasonable basis to exclude any of the
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`opinions of Drs. Papanikolopoulos and Voyles. 37 C.F.R. § 42.65(a) provides:
`
`Expert testimony that does not disclose the underlying facts or data on
`
`which the opinion is based is entitled to little or no weight…
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`The Board’s Trial Practice Guide also states:
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`Affidavits expressing an opinion of an expert must disclose the
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`underlying facts or data upon which the opinion is based. See Fed. R.
`
`Evid. 705; and § 42.65. Opinions expressed without disclosing the
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`underlying facts or data may be given little or no weight.
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`Thus the regulations and the Board’s guidance not only contemplate that expert
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`testimony may rely on background material, but in fact require its disclosure.
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`
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`Of course, it is black letter law that the cited art is interpreted through the
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`knowledge of persons having order skill, who are presumed to have knowledge of
`
`all prior art. Further, background material (even that which is not prior art) may be
`
`relied upon to explain how a reference might be understood, the level of ordinary
`
`skill, etc. (See e.g., MPEP 2143.03).
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`Drs. Papanikolopoulos and Voyles do not map “background material”
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`against the claims, but, as required, they disclosed background materials they
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`relied upon in preparing their declarations. See, e.g., Ex. 1132, ¶ 8, disclosing
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`relevant publications by Dr. Papanikolopoulos illustrating his background
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`knowledge of the field, ¶ 5, disclosing his familiarity with the Chimera system, and
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`¶ 34, disclosing relevant publications relied upon by Dr. Papanikolopoulos in his
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`discussion of the “Background of the State of the Art.” See also, e.g., Ex. 1130, ¶
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`3, disclosing his familiarity with the Chimera and Onika systems, ¶ 12, disclosing
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`that Dr. Voyles relied on contemporaneous documents reflecting the state of the art
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`prior to July 10, 1994, the research being conducted at the AML, and his
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`experience in the field, ¶¶ 2-3, disclosing the relevance of Dr. Voyles’s own Ph.D.
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`thesis and that he made extensive use of Chimera and Onika while at the AML,
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`and ¶¶ 11 and 41, referring to specific materials reviewed. See also, e.g., the C.V.s
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`of Drs. Papanikolopoulos and Voyles, included in their declarations.
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`
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`FRE 702 requires that expert testimony be (1) based on sufficient facts or
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`data; (2) the product of reliable principles and methods; and (3) the product of
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`reliable application of the principles and methods to the facts of the case. In this
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`case, the testimony undoubtedly meets these requirements. Drs. Papanikolopoulos
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`and Voyles (1) based their testimony on the claim terms and prior art at issue, as
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`well as prior findings of the Board in this proceeding and their own background
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`knowledge of and experience with the technologies (see, e.g., Ex. 1130, ¶¶ 11, 32;
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`Ex. 1132, ¶¶ 23-25, 43; and above); (2) assessed the scope of the claim terms at
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`issue and the scope and content of the prior art, as required by Graham v. John
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`Deere Co., 383 U.S. 1 (1966) (see, e.g., Ex. 1130, ¶¶ 22, 39, and 42-44 and Ex.
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`1132, ¶¶ 47- 51, 56, 61, and 90-92); and (3) applied the analysis prescribed in
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`Graham to the underlying facts and information, rendering the various opinions set
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`forth in their respective declarations.
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`2.
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`Expert Testimony
`(Via Declaration) Is Not An “Expert Report”
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`RGB attempts to treat expert testimony like litigation-based “expert reports,”
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`asserting that Dr. Papanikolopolous offered “new opinions” on cross. However,
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`there is no such parallel litigation.
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`RGB asserts that Stewart’s port-based object is not itself a “function” even
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`though Dr. Stewart admitted that a PBO includes numerous functions including a
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`“cycle” function. (Ex. 2011, ¶ 11).
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`Dr. Papanikolopoulos explained that the cycle function is executable code
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`that does the “work” associated with the specific by the PBO. (Ex. 2014, 178:21-
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`179:9). Stewart teaches a variety of specific modules, some of which are
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`cognizable as being primitive (i.e. “zero”), as well as combining them into variety
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`of more complex tasks (just as Gertz does).
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`As such, ABB’s experts fairly responded to Dr. Stewart’s asssertions.
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`3.
`
`Dr. Papanikolopolous Applied The Law Correctly
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`RGB accuses Dr. Papanikolopoulos of “refus[ing] to rely upon accepted
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`dictionary definitions.” Of course, the Board has not adopted a dictionary
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`definition for any claim term. Rather, Dr. Papanikolopoulos expressly relied upon
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`the Board’s construction of terms as he was required to do. Ex. 1132, ¶ 25.
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`Moreover, RGB cannot reasonably assert that 1997 Microsoft dictionary is
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`the preeminent source of computer terminology (even though the alleged priority
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`application dates to 1995). (Ex. 2016; Ex. 2014, 140:11-16; 180:12 – 181:20). For
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`example, RGB’s witness testified that there were multiple definitions for “code”
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`and “execution.” See Ex. 1104, 38:6 – 39:8, specifically “To the best of my
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`knowledge, yes, there are different definitions of code.” See also 72-17: 75:12.
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`Similarly, Dr. Papanikolopolous acknowledged having both IEEE and ACM
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`dictionaries in his library (Ex. 2014, 180:5-16):
`
`Q. Mr. Chorush asked you if -- well, when he introduced the
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`Microsoft dictionary, previously, you'd testified I think there were
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`something like eighty definitions of code if you looked in various
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`places; is that correct?
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`A. Of -- of different types of programming.
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`Q. Different types of programming. Are there other dictionaries in
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`your office that you use from time to time?
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`A. There is the ACM. There is the IEEE standard.
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`Of course, there is no evidence establishing that the Microsoft Computer
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`Dictionary 3rd ed. contains only the “accepted dictionary definitions” adopted by
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`the ACM, IEEE or other professional body. Indeed, well-established rules of
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`claim construction relegate extrinsic evidence such as dictionary definitions behind
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`other more relevant sources in determining how the ordinary artisan would have
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`understood the claims. Phillips v. AWH Corp., 415 F.3d 1303 (Fed. Cir. 2005).
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`At best, RGB’s motion is an attack on credibility, not admissibility, and even
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`then, Dr. Papanikolopolous (like Dr. Voyles) has faithfully relied upon not just the
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`teaching of cited references, but also the claim construction adopted by the Board
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`as applied to those references.
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`III. CONCLUSION
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`RGB’s motion to exclude is improper. RGB’s did not serve specific
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`objection to ABB’s Reply, and the instant motion is directed to issues that the
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`Board has deemed inappropriate, both in its Trial Practice Guide and in specific
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`opinions construing those rules.
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`Where appropriate, ABB’s witnesses gave testimony as to facts, and these
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`facts refute the testimony of RGB’s witness, Dr. Stewart. Factual testimony is not
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`subject to a Daubert challenge.
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`Further, ABB’s witnesses properly relied on various background materials
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`(i.e. representing and/or confirming the knowledge and understanding of the
`
`ordinary artisan). ABB’s witnesses rendered sound opinions based on the proper
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`legal standards and the claim construction given by the Board, and refuting Dr.
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`Stewart’s conclusory testimony (who could give no account for the legal basis he
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`used, nor explain the glaring inconsistency between the references and his
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`testimony).
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`Accordingly, the Board should deny RGB’s motion to exclude in its entirety.
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`
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`Dated: January 21, 2014
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`
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`Respectfully submitted,
`
`
`
`
`
`
`
`/Richard D. Mc Leod/
`Richard D. Mc Leod
`Registration No. 46,921
`rick.mcleod@klarquist.com
`Klarquist Sparkman LLP
`One World Trade Center, Suite 1600
`121 S.W. Salmon Street
`Portland, Oregon 97204
`Telephone: (503) 595-5300
`Facsimile: (503) 595-5301
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`Case IPR2013-00062
`Case IPR2013-00282
`Patent 6,516,236 B1
`
`
`Certificate of Service in Compliance With 37 C.F.R. § 42.6(e)(4)
`
`The undersigned certifies that a complete copy of ABB’s Opposition to
`
`Patent Owner’s Motion to Exclude Evidence was served on counsel of record for
`
`RICHARD S. MEYER
`BOIES, SCHILLER & FLEXNER LLP
`5301 WISCONSIN AVENUE NW
`SUITE 800
`WASHINGTON, DC 20015
`TEL: (202) 237-2727
`FAX: (202) 237-6131
`RMEYER@BSFLLP.COM
`
`
`the ’236 Patent Owner:
`
`RICHARD T. BLACK
`FOSTER PEPPER PLLC
`1111 THIRD AVENUE, SUITE 3400
`SEATTLE, WA 98101-3299
`TEL: (206) 447-6251
`FAX: (206) 749-2062
`BLACR@FOSTER.COM
`
`
`DOUGLAS R. WILSON
`HEIM, PAYNE & CHORUSH LLP
`600 TRAVIS, SUITE 6710
`HOUSTON, TX 77002
`TEL: (512) 242-3622
`FAX: (713) 345-2924
`DWILSON@HPCLLP.COM
`
`
`via EXPRESS MAIL, on January 21, 2014.
`
`By /Richard D. Mc Leod/
`Richard D. Mc Leod
`Registration No. 46,921
`rick.mcleod@klarquist.com
`Klarquist Sparkman LLP
`One World Trade Center, Suite 1600
`121 S.W. Salmon Street
`Portland, Oregon 97204
`Telephone: (503) 595-5300
`Facsimile: (503) 595-5301
`
`CERTIFICATE OF SERVICE
`
`

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