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UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`____________
`
`ORACLE CORPORATION,
`NETAPP, INC. and
`HUAWEI TECHNOLOGIES CO., LTD.
`
`Petitioners,
`
`v.
`
`CROSSROADS SYSTEMS, INC.
`
`Patent Owner.
`
`____________
`
`Case IPR2014-01209
`
`U.S. Patent No. 7,051,147
`
`____________
`
`PETITIONERS’ MOTION TO EXCLUDE
`
`
`
`

`
`
`
`I.
`
`
`RELIEF REQUESTED
`
`Pursuant to 37 C.F.R. § 42.64(c), Petitioners move to exclude all of Exs.
`
`2300-2304, 2306-2311, 2312-2323, 2035-36, 2043¶6, 2044-45, and 2050.
`
`Petitioners timely objected to these same exhibits on June 2, 2015. See Ex. 1236.
`
`II.
`
`STATEMENT OF REASONS FOR THE RELIEF REQUESTED
`
`This motion is directed to (A) a chronology of events associated with the
`
`alleged prior invention (Ex. 2311), (B) the laboratory notebooks and related
`
`development documents referenced therein (Ex. 2300-2304, 2306-2310 and 2312-
`
`2323), (C) the table purporting to summarize patent licenses (Ex. 2050), (D) the
`
`documents relating to sales of routers and bridges (Ex. 2044-45) together with Mr.
`
`Bianchi’s associated opinion (Ex. 2043 ¶6), and (E) the alleged industry awards
`
`(Exs. 2035-36). Each of the requests to exclude and the basis for doing so is
`
`addressed below.
`
`A. Exhibit 2311 (Chronology Table)
`According to Patent Owner’s counsel, “Exhibit 2311 is a chronology that
`
`Crossroads' lawyers have put together based on the documents referenced in
`
`Exhibit -- or Paragraph 2 of [Bianchi’s] declaration [Ex. 2324].” Ex. 1221 at 262.
`
`Patent Owner does not offer any declaration of its counsel to identify who prepared
`
`the chronology or can attest to its accuracy. Nor does Patent Owner point to any
`
`testimony from which the accuracy of the chronology could be determined. The
`
`only way to confirm the accuracy of the chronology is to review the individual
`
`
`
`
`
`1
`
`

`
`
`
`documents referenced therein. Because each of the documents referenced in the
`
`chronology is inadmissible (see discussion infra Section B), the chronology
`
`likewise is inadmissible.
`
`Exhibit 2311 also contains hearsay not within any recognized exception.
`
`The statements in the “Event” column of the table improperly characterize the
`
`evidence. For example, Exhibits 2300 to 2302 purport to demonstrate “conception
`
`of access controls and virtual local storage.” Ex. 2311 at 1. The statements set
`
`forth in the table, however, are unsworn hearsay statements and do not fall within
`
`any recognized exception to the hearsay rule.
`
`Further, Exhibit 2311 constitutes an improper attempt to incorporate by
`
`reference the arguments set forth therein. The Patent Owner’s Response brief
`
`spans the entirety of the allotted sixty pages. Paper 29. The chronology set forth
`
`at Exhibit. 2311 consists of an additional seven pages and includes arguments in
`
`the form of characterizing “Events” as being proven by “Evidence” identified in
`
`the table. Patent Owner’s Response also fails to reference any specific page
`
`citations to Exhibits 2312-2313, 2316- 2320; rather, those citations are provided
`
`only in Ex. 2311. For this additional reason Exhibit 2311 constitutes an improper
`
`attempt to incorporate by reference arguments into the Patent Owner’s response.
`
`See 37 C.F.R. § 42.6(a)(3).
`
`
`
`
`
`2
`
`

`
`
`
`B.
`
`Exhibits 2300-2304, 2306-2310 and 2312-2323
`(Documents Offered to Show Prior Invention)
`
`Patent Owner has the burden of establishing that the exhibits fall within the
`
`Rule 803(6) exception to the hearsay rule. Wojciak v. Nishiyama, 61 USPQ 2d
`
`1576, 1582 (BPAI 2001). Patent Owner “must establish each of the eight elements
`
`necessary to invoke the Rule 803(6) exception”:
`
`A [1] *** report *** or data compilation, in any form, of
`[2] acts, events, conditions, opinions, or diagnoses,
`[3] made at or near the time by, or
`[4] from information transmitted by, a person with knowledge, if
`[5] kept in the course of a regularly conducted business activity,
`and
`[6] if it was the regular practice of that business activity to make
`the report *** or data compilation,
`[7] all as shown by the testimony of the custodian or other
`qualified witness, unless
`[8] the source of information or the method or circumstances of
`preparation indicate lack of trustworthiness.
`
`Id.
`
`Generally laboratory notebooks and related documentation of prior invention
`
`do not qualify as Rule 803(6) records of regularly conducted business activity. As
`
`the Board recently noted in Corning, “[a]pplicable Federal Circuit and Board
`
`precedent declines to invoke a Rule 803(6) exception to laboratory notebook
`
`documents . . . .” IPR2013-00043, Paper 97 at 5 (citing Alpert v. Slatin, 305 F.2d
`
`
`
`
`
`3
`
`

`
`
`
`891, 895-96 (CCPA 1962)). The Board explained the underlying rationale in
`
`Wojciak v. Nishiyama, 61 USPQ2d 1576, 1582 (BPAI 2001):
`
`[A]s applied to laboratory notebooks or information copied
`therefrom, the discussion generally should take place through
`the testimony of the individual who recorded information in the
`notebook.
`Alpert v. Slatin similarly observed that:
`
`Alpert has cited no authority to show that the [business record]
`rule is properly applicable to reports of scientific research and
`tests. We know of no authority for such a position and think
`such application of the rule would be both improper and
`unrealistic.
`305 F.2d at 895-96.
`
`
`
`Exhibit 2307 is representative of the documents offered by Patent Owner to
`
`show prior invention. Exhibit 2307 has not been authenticated by a person with
`
`first hand or personal knowledge of the document’s creation. Patent Owner offers
`
`only the following generalized statement in the declaration of Brian Bianchi in an
`
`improper attempt to authenticate and establish it as an 803(6) business record:
`
`Exhibits 2307, 2308, 2309, 2312, 2314, 2316, 2317, 2318, 2319,
`2320, and 2321 are duplicate copies of Crossroads’ business records
`which were created or modified during the course of the Verrazano
`project. I am familiar with Crossroads’ practices regarding the
`creation, modification, and keeping of such documents through my
`employment with Crossroads, both at the time of the Verrazano
`
`
`
`
`
`4
`
`

`
`
`
`project and today. Each of these documents is a document created by
`Crossroads personnel during the regular course of business. . . .
`Ex. 2324 ¶2.
`
`
`
`Crossroads did not hire Mr. Bianchi until June 1998, six months after the
`
`latest of the events in question. Ex. 2043 ¶1. Because Crossroads was a start-up
`
`company at that time, there is no objective reason to believe that its operations in
`
`1997 matched those that existed in June of 1998, when Mr. Bianchi began working
`
`at Crossroads. Ex. 1220 at 27:17 (“Well, we were a startup company.”)
`
`
`
`Mr. Bianchi acknowledges, of course, that he has no personal knowledge of
`
`any of the events that preceded his arrival at Crossroads. Ex. 1221 at 243:17-20.
`
`He did not create, store, or supervise the creation or storage of any of the
`
`documents referenced in his declaration. Ex. 1221 at 228:18-25. Indeed, Mr.
`
`Bianchi had not even seen the documents referenced in his declaration prior to
`
`2015, when they were first presented to him by Patent Owner’s counsel. Id. at
`
`242:14-19; 231:23-232:25.
`
`
`
`Thus Patent Owner offers no testimony by any person involved with – or
`
`with any sort of first-hand or personal knowledge relating to – the creation or
`
`storage of Exhibit 2307. Patent Owner also offers no testimony from any person
`
`who had seen or was aware of the document prior to 2015. Patent Owner likewise
`
`offers no testimony of any person with personal knowledge of Crossroad’s record-
`
`keeping practices in 1997.
`
`
`
`
`
`5
`
`

`
`
`
`Accordingly, Patent Owner has not carried its burden of demonstrating that
`
`Exhibit 2307 is [1] a report, [3] made at or near the time by, or [4] from
`
`information transmitted by, a person with knowledge, [5] kept in the course of a
`
`regularly conducted business activity. (Elements of proof numbered as they are in
`
`Wojciak, 61 USPQ2d at 1582) Patent Owner also has not met its burden of
`
`establishing [6] that it was the regular practice of that business to make the report
`
`in 1997, during the ordinary course of business. Lastly, Patent Owner has not
`
`offered [7] the testimony of the custodian at the time the records were made. For
`
`these reasons Exhibit 2307 has not been demonstrated to be authentic or within any
`
`exception to the hearsay rule.
`
`The foregoing analysis applies with equal force to the remainder of the
`
`exhibits referenced in paragraph 2 of Exhibit 2324 (Bianchi’s declaration), namely,
`
`Exhibits 2303, 2307, 2308, 2309, 2312, 2314, 2316, 2317, 2318, 2319, 2320,
`
`2321, and 2323. Petitioners will now turn to additional admissibility issues which
`
`are unique to one or more subsets of those exhibits.
`
`Exhibits 2303 and 2323 are letters from patent counsel and thus cannot be
`
`said to be records of business activity regularly conducted by Crossroads.
`
`Moreover, Ex. 2323 refers to two enclosures but the exhibit includes only one.
`
`This demonstrates that “the source of information or the method or circumstances
`
`of preparation indicate lack of trustworthiness.” Wojciak, 61 USPQ2d at 1582.
`
`
`
`
`
`6
`
`

`
`
`
`Exhibit 2307 and 2308 are on their face documents prepared by Brian
`
`Smith, president of a company named Infinity CommStor, LLC. Patent Owner
`
`identifies no evidence demonstrating the role of Infinity CommStor or its
`
`relationship, if any, with Crossroads. Patent Owner similarly fails to proffer any
`
`testimony from Brian Smith, or even any declaration evidence identifying Mr.
`
`Smith’s role, if any, in any alleged development. These exhibits lack any indicia of
`
`authenticity and are inadmissible hearsay.
`
`Exhibit 2312 allegedly depicts a “bare board” but its relevance to the
`
`alleged development has not been explained. Patent Owner’s Response merely
`
`contains the following citation to Ex. 2312: “Ex. 2312, 2314-2321 (various
`
`Crossroads documents detailing work and progress on Verrazano project from
`
`March through December 1997).” Resp. at 23-24. Ex. 2312 should be excluded as
`
`inadmissible hearsay and as lacking demonstrated relevance. FRE 402.
`
`Exhibits 2318 and 2321 bear no author’s name and Patent Owner provides
`
`no testimonial evidence to remedy this deficiency. Patent Owner therefore cannot
`
`be said to have met its burden to establish the authenticity of these exhibits.
`
`Patent Owner’s Response does not contain any page citations for Exhibits
`
`2312 or 2316- 2320; rather, those citations are provided only in Ex. 2311. These
`
`exhibits should be excluded under FRE 401-402 for the additional reason that
`
`Patent Owner failed to meaningfully discuss this exhibit in its Patent Owner
`
`
`
`
`
`7
`
`

`
`
`
`Response and use of this exhibit would constitute an improper incorporation by
`
`reference. See 37 C.F.R. § 42.6(a)(3).
`
`Petitioners now turn to the documents not specifically referenced in the
`
`declaration of Mr. Bianchi. This group consists of Exhibits 2300-2302, 2304,
`
`2306, 2310, 2313 and 2322.
`
`Exhibits 2301, 2302, 2304, 2306 and 2310 are trial and deposition
`
`transcripts from the Chaparral/Pathlight litigation, district court cases to which
`
`Petitioners were not parties. Under FRE 804(b)(1), former testimony can be
`
`admissible only upon a showing that the witness is unavailable as set forth in
`
`804(a) and the testimony is “offered against a party who had — or, in a civil case,
`
`whose predecessor in interest had — an opportunity and similar motive to develop
`
`it by direct, cross-, or redirect examination.”
`
`Patent Owner has made neither showing. Patent Owner does not even
`
`assert, much less provide evidence that, Messrs. Hoese, Russell, Peterman or
`
`Middleton are unavailable. Indeed, Mr. Middleton has provided affidavit
`
`testimony in this proceeding on other issues. See Ex. 2305. Nor has Patent Owner
`
`established that Oracle, NetApp or Huawei are successors-in-interest to the parties
`
`against whom the testimony was being offered in those earlier cases. Petitioners
`
`are not, in fact, successors-in-interest to Pathlight Technology, Inc. or Chaparral
`
`Network Storage, Inc.
`
`
`
`
`
`8
`
`

`
`
`
`Exhibits 2300, 2313 and 2322 are purported invention disclosure and
`
`laboratory notebook documents of Mr. Hoese. Patent Owner offers only
`
`inadmissible evidence – hearsay testimony from another proceeding – to
`
`authenticate Exhibit 2300 and identifies no testimony to authenticate Exhibits 2313
`
`and 2322. Patent Owner’s Response points only to a passage from Exhibit 2301
`
`(previous trial testimony of Mr. Hoese) that refers to Exhibit 2300. Resp. at 21.
`
`Because Exhibit 2301 is inadmissible for the reasons set forth above, Patent Owner
`
`has offered no admissible evidence to authenticate Exhibit 2300. As to Exhibits
`
`2313 and 2322, Patent Owner’s Response identifies no evidence which even
`
`purports to authenticate those exhibits. Some testimony related to Exhibits 2313
`
`and 2322 is cited in Exhibit 2311, which also is inadmissible for the reasons set
`
`forth above. Even if Exhibit 2311 were to be considered, the testimony cited
`
`therein is inadmissible testimony from a prior proceeding as discussed above. Ex.
`
`2311 (citing Exs. 2301, 2302 and 2306, hearsay testimony from earlier litigation).
`
`Exhibits 2300, 2313 and 2322 thus have not been authenticated.
`
`Exhibits 2300, 2313 and 2322 are also hearsay not within any recognized
`
`exception. As noted above, “[a]pplicable Federal Circuit and Board precedent
`
`declines to invoke a Rule 803(6) exception to laboratory notebook documents . . . .
`
`.” IPR2013-00043, Paper 97 at 5. Patent Owner has not met its burden of
`
`demonstrating that Ex. 2307 is a [1] report, [3] made at or near the time by, or [4]
`
`
`
`
`
`9
`
`

`
`
`
`from information transmitted by, a person with knowledge, [5] kept in the course
`
`of a regularly conducted business activity. Wojciak , 61 USPQ 2d at 1582. Nor
`
`has Patent Owner met its burden of showing [6] that it was the regular practice of
`
`that business activity to make the report in 1997. Lastly, Patent Owner has not
`
`offered [7] admissible testimony of the custodian at the time the records were
`
`made.
`
`Patent Owner’s response does not contain any page citations to Exhibit
`
`2313; rather, those citations are provided only in Ex. 2311 (the attorney-prepared
`
`chronology). Ex. 2313 should be excluded under FRE 401-402 since Patent
`
`Owner failed to meaningfully discuss this exhibit in its Patent Owner Response.
`
`Use of this exhibit now would be improper incorporation by reference. See 37
`
`C.F.R. § 42.6(a)(3).
`
`C. Exhibit 2050 (Schedule of License Agreements)
`Ms. Crane testifies that Exhibit 2050 is a “spreadsheet containing a schedule
`
`of certain of Crossroads’ intellectual property settlement and license agreements.”
`
`Ex. 2049 ¶49. The spreadsheet includes seven columns, the last two of which are
`
`“Bates Label” and “Litigation?” Ex. 2050. According to Ms. Crane, “[t]he
`
`“Litigation?” column indicates whether or not, to Crossroads’ knowledge,
`
`Crossroads or the licensee ever filed a lawsuit regarding patents in the ‘972 patent
`
`family.” Ex. 2049 ¶3.
`
`
`
`
`
`10
`
`

`
`
`
`
`
`Ms. Crane testified, however, that she undertook no effort to verify the
`
`accuracy of the information set forth in the last two columns:
`
`*
`
`*
`
`*
`
`
`
`Ex. 1223 at 25:11, 34:21; see also id. at 28:4. Patent Owner has not offered any
`
`declaration of counsel attesting to the accuracy of the information set forth in the
`
`last two columns of Exhibit 2050. Ms. Crane further acknowledged that Exhibit
`
`2050 was not a document prepared in the ordinary course of business. Ex. 1223 at
`
`158:25-159:4.
`
`For these reasons Exhibit 2050 should be excluded because it is
`
`unauthenticated and hearsay not within any recognized exception.
`
`
`
`
`
`
`
`11
`
`

`
`
`
`D. Exhibits 2044-45 (Sales Information) and Ex. 2043 (Bianchi
`Declaration) ¶6
`
`Mr. Bianchi testifies that Exhibit 2044 (Exhibit A to his declaration, Ex.
`
`2043) comprises “tables containing Crossroads’ shipment and sales information for
`
`its storage bridge and storage router products.” Ex. 2043 ¶2. That table
`
`purportedly reflects the cumulative results of over 50 quarterly sales reports which
`
`were prepared in a manner of which Mr. Bianchi had no knowledge. Ex. 1221 at
`
`160:1-162:22. None of these sales reports were produced in this proceeding. The
`
`charts contained in Exhibit 2045 were produced from the data in Exhibit 2044
`
`using a pivot table which likewise was not produced in this proceeding. Id. at
`
`166:3-5. Mr. Bianchi admitted that neither Exhibit 2044 nor Exhibit 2045 were
`
`prepared in the ordinary course of Crossroads’ business. Id. at 163:24-164:10.
`
`Exhibit 2044-45 thus should be excluded because they are unauthenticated and
`
`constitute hearsay not within any recognized exception.
`
`Moreover, any relevance of Exhibits 2044-45 is far outweighed by their
`
`potential to mislead or confuse. These exhibits are presented as evidence of a sales
`
`trend which allegedly suggests that customers preferred routers (which allegedly
`
`had the claimed “access controls”) to bridges (which lacked them). Ex. 2043 ¶6.
`
`Mr. Bianchi testified, however, that he did not even consider the effect of
`
`competitive products – or their prices – on the sales of Crossroads’ bridge and
`
`router products. Ex. 1221 at 108:1-24. Mr. Bianchi instead merely looked at
`
`
`
`
`
`12
`
`

`
`
`
`Crossroads’ own sales figures and completely ignored any effect of price or
`
`competition on Crossroads’ sales. Id.
`
`Mr. Bianchi further acknowledged that in forming his opinion he did not
`
`consider any of the other factors that Crossroads believed could have impacted
`
`bridge and router sales, including OEM endorsement, product reliability,
`
`interoperability, customer service, technical support, brand awareness, ability to
`
`meet delivery schedules, or strength of distribution channel. Ex. 1221 at 127:9-
`
`129:16. Along those same lines, Mr. Bianchi did not consider the substantial
`
`difference in features and functionalities (in addition to access controls) between
`
`the Crossroads routers. As explained by Mr. Bianchi during his deposition, the
`
`routers did not differ from the bridges only in that they included access controls;
`
`rather, the routers also included various other features which “could have made the
`
`router(s) more desirable than the bridge(s),” including tape recover, support for
`
`hundreds of additional initiators, many more buffered tape writes, inquiry caching
`
`and extended copy. Ex. 2046 at 3, Ex. 1221 at 101:24 to 102:6, see also 96:1 to
`
`101:23.
`
`The opinion set forth in paragraph 6 of the Bianchi declaration (i.e., “it is my
`
`impression that the increase in router sales over time, and the corresponding
`
`decrease in bridge sales, is due primarily to customer preference for a product
`
`having access controls”) is an improper expert opinion and is premised solely upon
`
`
`
`
`
`13
`
`

`
`
`
`the foregoing inadmissible and unreliable evidence. Patent Owner has not even
`
`attempted to qualify Mr. Bianchi as an expert competent to testify concerning
`
`market demand for the products in question. See Ex. 2043. Even if Mr. Bianchi
`
`had been qualified as an expert in that field, the Board has a duty to examine the
`
`foundational materials used by an expert to determine whether the experts’
`
`conclusions are logically supported by the materials. Sargon Enterprises, Inc. v.
`
`University of Southern Cal., 55 Cal.4th 747 (2012). Here, an examination of the
`
`supposed premise for Mr. Bianchi’s opinion reveals it to be unsupported
`
`speculation. General Electric Co. v. Joiner, 522 U.S. 136, 140 (1997) (upholding
`
`district court’s decision to grant summary judgement in part because it properly
`
`excluded the deposition testimony of plaintiff's experts as “unsupported
`
`speculation.”) Paragraph 6 of Mr. Bianchi’s declaration is bare conjecture that
`
`lacks any analysis of the objective factors which bear on the matter and it should,
`
`for that reason, be excluded.
`
`Exhibits 2035-36 (Awards)
`
`E.
`Exhibits 2035-36 should be excluded under FRE 401-402 since Patent
`
`Owner failed to discuss or even cite these exhibits in its Patent Owner Response.
`
`Use of these exhibits now would be improper incorporation by reference. See 37
`
`C.F.R. § 42.6(a)(3).
`
`By failing to make reference to these exhibits, Patent Owner likewise failed
`
`
`
`
`
`14
`
`

`
`
`
`to offer any explanation of what relevance or nexus these exhibits might have to
`
`the claimed subject matter. Demaco Corp. v. F. Von Langsdorff Licensing Ltd.,
`
`851 F.2d 1387 (Fed. Cir.) (in order to be of probative value, there must be a
`
`factually and legally sufficient connection between the objective evidence of
`
`nonobviousness and the claimed invention). A “patentee in the first instance bears
`
`the burden of coming forward with evidence sufficient to constitute a prima facie
`
`case of the requisite nexus.” Texas Dept. of Community Affairs v. Burdine, 450
`
`U.S. 248, 254 n. 7 (1981). Patent Owner has failed to do so here and thus has not
`
`established that exhibits 2035 or 2036 have any relevance whatsoever to this
`
`proceeding. FRE 402. Moreover, any relevance that Exhibit2035 might have is
`
`outweighed by its potential to cause confusion. FRE 403. There is no evidentiary
`
`basis to connect the awards to the claimed subject matter and allowing exhibits
`
`2035-36 to remain in the record creates the potential for that (erroneous) inference,
`
`including during appellate review.
`
`III.
`
`CONCLUSION
`
`For the reasons discussed above, all of the above-identified evidence should
`
`be excluded from consideration by the Board in this proceeding.
`
`
`
`
`
`
`
`Dated: September 22, 2015
`
`
`
`
`
`
`
`
`
`
`
` /Greg H. Gardella/
`
`Greg H. Gardella
`Reg. No. 46,045
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`15
`
`

`
`
`
`
`
`CERTIFICATE OF SERVICE
`
`Pursuant to 37 C.F.R. § 42.6(e), the undersigned certifies service of
`
`PETITIONERS’ MOTION TO EXCLUDE on the counsel of record for the Patent
`
`Owner by filing this document through the Patent Review Processing System as
`
`well as delivering a copy via electronic mail to the following addresses:
`
`crossroadsipr@sprinklelaw.com
`CrossroadsIPR@blankrome.com
`
`
`
`
`
`
`
`
`
`/Greg H. Gardella/
`Greg H. Gardella (Reg. No. 46,045)
`Counsel for Petitioners
`
`
`
`
`
`
`
`
`
`Dated: September 22, 2015

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