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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`________________
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`FRIENDFINDER NETWORKS INC., STREAMRAY INC., WMM, LLC, WMM
`HOLDINGS, LLC, MULTI MEDIA, LLC, AND DUODECAD IT SERVICES
`LUXEMBOURG S.À.R.L.
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`Petitioners
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`v.
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`WAG ACQUISITION, LLC
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`Patent Owner
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`Patent No. 8,122,141
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`Issue Date: February 21, 2012
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`Title: STREAMING MEDIA BUFFERING SYSTEM
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`__________________________________________________________________
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`DECLARATION OF DR. NATHANIEL POLISH IN SUPPORT OF
`PETITION FOR INTER PARTES REVIEW OF U.S. PATENT 8,122,141
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`TABLE OF CONTENTS
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`Declaration of Dr. Nathaniel Polish Regarding U.S. Patent No. 8,122,141 ................... v
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`I.
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`INTRODUCTION ....................................................................................................... 1
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`A. Engagement ........................................................................................................... 1
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`B. Background and Qualifications ........................................................................... 1
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`C. Legal Standards for Patentability ......................................................................... 3
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`i. Types of Claims ............................................................................................... 3
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`ii. Invalidity by Anticipation or Obviousness ................................................... 3
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`iii. Secondary or Objective Evidence of Nonobviousness .............................. 5
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`iv. Basis of Opinion .............................................................................................. 5
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`II. THE ‘141 PATENT ...................................................................................................... 6
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`A. Effective Filing Date of the ‘141 Patent............................................................. 6
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`B. The Person of Ordinary Skill in the Art ............................................................. 6
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`C. Overview of the Claims of the ‘141 Patent ........................................................ 7
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`D. The Claims of the ‘141 Patent ............................................................................. 8
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`III. CLAIM CONSTRUCTION ...................................................................................... 11
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`A. Claims 1, 10, and 24 – “rate more rapid than the rate at which said
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`streaming media is played back by a user” ....................................................... 12
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`B. Claims 6 and 15 – “said server does not maintain a pointer into a buffer
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`established within said server” ........................................................................... 12
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`C. Claims 8, 17 and 21 – “streaming media from a live source” ........................ 13
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`D. Claims 1 and 24 – “a sufficient number of media data elements in the media
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`player for uninterrupted playback” ................................................................... 14
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`E. Claim 19 – “format capable of being served to users by said server” .......... 14
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`IV. STATE OF THE PRIOR ART ................................................................................. 15
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`V. PRIOR ART REFERENCES ................................................................................... 19
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`A. Hollfelder et al., “Transparent Integration of Continuous Media Support
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`into a Multimedia DBMS” (“Hollfelder”) ........................................................ 19
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`B. Su, Continuous Media Support for Multimedia Databases (“Su”) ........................... 19
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`C.
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`International Standard ISO/IEC 11172, “Information Technology –
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`Coding of Moving Pictures and Associated Audio for Digital Storage Media
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`at Up to About 1,5 Mbit/s” (“ISO-11172”) .................................................... 20
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`D. U.S. Patent No. 6,757,796 to Hofmann (“Hofmann”) .................................. 20
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`E. U.S. Patent No. 6,336,143 to Diedrich et al. (“Diedrich”) ............................. 21
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`VI. PATENTABILITY ANALYSIS OF CLAIMS 1-28 .............................................. 21
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`A. Ground 1: Claims 1-2, 5-7, 9-11, 14-16, 18-20, 24 and 27-28 are
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`unpatentable under 35 U.S.C. § 103(a) as obvious over Hollfelder in view of
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`Su. .......................................................................................................................... 21
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`B. Claims 3-4, 12-13, 22-23 and 25-26 are unpatentable under 35 U.S.C. §
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`103(a) over Hollfelder in view of Su and ISO-11172. .................................... 63
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`C. Claims 8, 17 and 21 are unpatentable under 35 U.S.C. § 103(a) over
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`Hollfelder in view of Su and Carmel. ............................................................... 65
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`D. Claim 19 is unpatentable under 35 U.S.C. § 102(b) over Diedrich. .............. 67
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`VII. CONCLUSION ........................................................................................................... 71
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`Declaration of Dr. Nathaniel Polish Regarding U.S. Patent No. 8,122,141
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`I, Nathaniel Polish, do hereby declare and state, that all statements made herein
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`are of my own knowledge, are true and that all statements made on information and
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`belief are believed to be true; and further that these statements were made with the
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`knowledge that willful false statements and the like so made are punishable by fine or
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`imprisonment, or both, under Section 1001 of Title 18 of the United States Code.
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`Date: April 12, 2015
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`Nathaniel Polish
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`I.
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`INTRODUCTION
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`A. Engagement
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`1.
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`I have been retained by Petitioner to provide my opinions concerning the
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`validity of claims 1-28 of U.S. Patent No. 8,122,141 (the “’141 Patent”). I am being
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`compensated for my time in preparing this declaration, but my compensation is not
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`tied to the outcome of this matter and my compensation is not based on the
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`substance of the opinions rendered here.
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`B.
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`Background and Qualifications
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`2.
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`I have a Ph.D. in Computer Science from Columbia University. I hold the
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`following four degrees from Columbia University, spanning the years 1980 to 1993:
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` Ph.D. in Computer Science, May 1993, Thesis: Mixed Distance Measures for
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`the Optimization of Concatenative Vocabularies in Speech Synthesis;
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` M.Phil. in Computer Science, December 1989;
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` M.S. in Computer Science, December 1987; and
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` B.A. in Physics, Columbia College, May 1984.
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`3.
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`I am president of Daedalus Technology Group, Inc., a computer technology
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`development firm that I co-founded over twenty-five years ago. My primary business
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`activity is the development of computer-related products, including small handheld
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`electronic devices and testers, video and messaging systems, as well as large-scale
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`distributed systems.
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`4.
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`I have experience in the technical areas of the ’141 Patent. For example, in the
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`early 1980’s, I developed an interactive system using computer controlled video disks
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`and touch screens. From 1983-1987, I developed high-speed drivers for several
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`graphical devices and evaluated their applicability for interactive uses. By 1994, I had
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`developed a proof-of-concept system to compress images of checks to very small file
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`size.
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`5.
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`I have further written an article regarding the technical areas of the ‘141 Patent,
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`entitled “The Burstware Family of Protocols.”
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`6.
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`I am a named inventor on seven United States patents, including U.S Patent
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`Number 5,963,202 issued on October 5, 1999 and entitled, “System and Method for
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`Distributing and Managing Digital Video Information in a Video Distribution
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`Network.”
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`7.
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`I am further a member of several professional societies, including the Institute
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`of Electrical and Electronics Engineers (IEEE), and the Association for Computing
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`Machinery (ACM). Ex. 1013 of the Petition is a true and correct copy of my
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`Curriculum Vitae describing my background and experience.
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`8.
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`I have also performed services in patent disputes as an independent technical
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`expert and consultant and as an expert witness on computer, video, and software-
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`related cases.
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`2
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`C.
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`Legal Standards for Patentability
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`i. Types of Claims
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`9.
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`I understand that there are two types of U.S. patent claims: 1) independent
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`claims and 2) dependent claims. I understand that independent claims only include
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`the aspects stated in the independent claim. I further understand that dependent
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`claims include the aspects stated in that dependent claim, plus all the aspects stated in
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`the other claim(s) from which that dependent claim depends.
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`ii. Invalidity by Anticipation or Obviousness
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`10.
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`I understand that a claim is invalid if it is anticipated or obvious. I understand
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`that anticipation of a claim requires that every element of a claim is disclosed
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`expressly or inherently in a single prior art reference, arranged as in the claim. With
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`regard to inherency, I understand that anticipation by inherency requires that one of
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`ordinary skill in the relevant art would have recognized that the missing descriptive
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`matter is necessarily present in the subject matter described in the reference.
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`11.
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`I further understand that obviousness of a claim requires that the claim be
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`obvious from the perspective of a person of ordinary skill in the relevant art, at the
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`time the invention was made. In analyzing obviousness, I understand that it is
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`important to understand the scope of the claims, the level of skill in the relevant art,
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`the scope and content of the prior art, the differences between the prior art and the
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`claims, and any secondary considerations.
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`12.
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`I also understand that if a technique has been used to improve one device, and
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`a person of ordinary skill in the art would recognize that it would improve similar
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`devices in the same way, using the technique is obvious unless its actual application is
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`beyond his or her skill. For instance, I understand that the simple substitution of one
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`known element for another or the mere application of a known technique to a piece
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`of prior art ready for the improvement is obvious.
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`13.
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`In addition, I understand that the United States Supreme Court has said that
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`“[t]he use of one material instead of another in constructing a known machine is, in
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`most cases, so obviously a matter of mere mechanical judgment, and not of invention,
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`unless some new and useful result, an increase of efficiency, or a decided saving in the
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`operation, is clearly attained.” Hicks v. Kelsey, 85 U.S. 670, 673 (1873). Moreover, to
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`avoid obviousness, I understand that such a new and useful result, increase of
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`efficiency, or decided saving in the operation must be unpredictable. KSR Int'l Co. v.
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`Teleflex Inc., 550 U.S. 398, 416 (U.S. 2007) (“when a patent claims a structure already
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`known in the prior art that is altered by the mere substitution of one element for
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`another known in the field, the combination must do more than yield a predictable
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`result.”).
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`14. There may also be a specific “teaching, suggestion or motivation” to combine
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`any first prior art reference with a second prior art reference. Such a “teaching,
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`suggestion, or motivation” to combine the first prior art reference with the second
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`prior art reference can be explicit or implicit.
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`4
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`15.
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`I understand that there are several sources for a “teaching, suggestion or
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`motivation” to combine references: the nature of the problem to be solved, the
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`teachings of the prior art, and the knowledge of the persons of ordinary skill in the
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`art. In addition, market forces or other design incentives may be what produced a
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`change, rather than true inventiveness. I also know that the application of common
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`sense and ordinary skill to solve a problem is not patentable.
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`16.
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`I understand that when considering invalidity, each claim must be considered
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`individually.
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`iii. Secondary or Objective Evidence of Nonobviousness
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`17.
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`I understand that secondary (or objective) considerations are relevant to the
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`determination of whether a claim is obvious. Such secondary (or objective)
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`considerations can include evidence of commercial success caused by an invention,
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`evidence of a long-felt need that was solved by an invention, evidence that others
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`copied an invention, or evidence that an invention achieved a surprising result. I
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`understand that such evidence must have a nexus, or causal relationship to the
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`elements of a claim, in order to be relevant to the obviousness or non-obviousness of
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`the claim. I am unaware of any such secondary considerations in relation to the
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`claims of the ‘141 Patent.
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`iv. Basis of Opinion
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`18.
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`In forming my opinion, I have relied on the ‘141 Patent claims, ‘141
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`prosecution history, and disclosure, the prior art exhibits to the Petition for the IPR
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`of the ‘141 Patent, and my relevant work experience and belief as to the knowledge of
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`the person of ordinary skill in the relevant art in the 2000 timeframe.
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`II. THE ‘141 PATENT
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`A. Effective Filing Date of the ‘141 Patent
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`19. The ‘141 Patent issued from U.S. Patent Application No. 12/800,152, filed on
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`May 10, 2010. The ‘152 application claims priority to Provisional Application No.
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`60/231,997, filed on September 12, 2000. I understand that this means the effective
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`filing date of the claims of the ‘141 Patent is no earlier than September 12, 2000.
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`20.
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`I understand that Claims 1, 10, 19 and 24 are the independent claims in the
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`‘141 Patent. I also understand that the remaining claims in the ‘141 Patent are
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`dependent on one of those independent claims.
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`21.
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`I understand that a dependent claim incorporates all of the requirements of the
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`independent claim from which it depends. Thus, these dependent claims cannot have
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`an effective date earlier than that of their respective independent claims.
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`22.
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`I therefore have used September 12, 2000 as the earliest effective filing date of
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`the ‘141 Patent in my analysis.
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`B.
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`The Person of Ordinary Skill in the Art
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`23.
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`I believe that a person of ordinary skill in the art in the field of the ‘141 Patent
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`in September 2000 would be a person with a good working knowledge of computer
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`science and computer engineering, obtained through both education and practical
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`experience. The technology requires relevant academic and/or professional training,
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`but is not so complex that it would strictly require an advanced postgraduate degree.
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`Accordingly, I believe that a person of ordinary skill in the art would have would have
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`had a B.S. degree in computer science or electrical engineering (or comparable degree)
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`and two years of experience in networking or streaming media, or a M.S. in computer
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`science or electrical engineering (or comparable degree). These descriptions are
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`approximate, and a higher level of education or specific skill might make up for less
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`experience, and vice-versa.
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`24.
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`I believe that I would qualify as at least a person of ordinary skill in the art, and
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`that I have a sufficient level of knowledge, experience and education to provide an
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`expert opinion in the field of the ‘141 Patent.
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`25. My opinions were formed based on the perspective of a person of ordinary skill
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`in the art at the time of the priority date of the ‘141 Patent and for some time before
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`then, unless otherwise specifically indicated. This is true even if my statements are in
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`the present tense.
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`C. Overview of the Claims of the ‘141 Patent
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`26. The ‘141 Patent is directed to methods and systems for buffering streaming
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`media data over the Internet. Ex. 1001, ‘141 Patent at 1:30-33.
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`27. The ‘141 Patent admits that sending audio and video files via a network was
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`known in the art. Ex. 1001, ‘141 Patent at 4:1-2. The ‘141 Patent also admits that it
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`was known for media data stored in a server to be sent over networks to a client
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`buffer to assure a continuous stream of audio and video. Id. at 2:35-40. The ‘141
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`7
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`Patent further admits that it was known to use a pre-buffering technique so that the
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`audio and video can be played with a minimum of dropouts, and that it was known to
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`transmit audio and video at the rate it is to be played back on the associated media
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`player. Id. at 2:56-63. Indeed, the “invention presumes the existence of a data
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`communications transport mechanism, such as the TCP protocol, for the reliable
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`delivery of data in an ordered sequence from the source of the media data to the
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`server, or from the server to the media player software of the user computer. Thus,
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`the delivery of data in the proper sequence is outside the scope of this invention.” Id.
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`at 5:5-11. Finally, the patent notes the existence of “two types of encoding schemes
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`…‘Variable Bit Rate’—VBR, and ‘Constant Bit Rate’—CBR . . . [where] [t]he standard
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`encoding scheme used for streaming media is CBR . . . .” Id. at 5:22-35.
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`D. The Claims of the ‘141 Patent
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`28.
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`I understand that the ‘141 Patent includes four independent claims subject to
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`the present Petition:
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`1[a]. A method for distributing streaming media via a data communications
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`medium such as the Internet to at least one user system of at least one user
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`1[b]. the streaming media comprising a plurality of sequential media data
`elements for a digitally encoded audio or video program, comprising:
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`1[c]. providing a server programmed to receive requests from the user system
`for media data elements corresponding to specified serial identifiers and
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`1[d]. to send media data elements to the user system responsive to said
`requests, at a rate more rapid than the rate at which said streaming media is played
`back by a user; and
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`1[e]. providing a machine-readable medium accessible to said user, on which
`there has been recorded software for implementing a media player for receiving and
`playing the streaming media on said user system,
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`1[f]. said software being programmed to cause the media player to maintain a
`record of the identifier of the last data element that has been received; and
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`1[g]. to transmit requests to the server to send one or more data elements,
`specifying the identifiers of the data elements,
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`1[h]. as said media player requires in order to maintain a sufficient number of
`media data elements in the media player for uninterrupted playback.
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`10[a]. A server for distributing streaming media via a data communications
`medium such as the Internet to at least one user system of at least one user,
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`10[b]. the streaming media comprising a plurality of sequential media data
`elements for a digitally encoded audio or video program,
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`10[c]. said user system being assumed to have a media player for receiving and
`playing the streaming media on said user system
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`10[d]. which is operable to obtain media data elements from said server by
`transmitting requests to said server to send one or more specified media data
`elements, said server comprising:
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`10[e]. at least one data storage device, memory for storing machine-readable
`executable routines and for providing a working memory area for routines executing
`on the server, a central processing unit for executing the machine-readable executable
`routines, an operating system, at least one connection to the communications
`medium, and a communications system providing a set of communications protocols
`for communicating through said at least one connection;
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`10[f]. a machine-readable, executable routine containing instructions to cause
`the server to assign serial identifiers to the sequential media data elements comprising
`the program;
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`10[g]. a machine-readable, executable routine containing instructions to cause
`the server to receive requests from the user system for one or more media data
`elements specifying the identifiers of the requested data elements; and
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`10[h]. a machine-readable, executable routine containing instructions to cause
`the server to send media data elements to the user system responsive to said requests,
`at a rate more rapid than the rate at which said streaming media is played back by a
`user.
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`19. A non-transitory machine-readable medium on which there has been
`recorded a computer program for use in operating a computer to prepare streaming
`media content for transmission by a server wherein said server responds to user
`requests for media data elements identified by a serial identifier, said program
`recorded on said non-transitory machine readable medium comprising a routine to
`store and serially identify sequential data elements comprising said streaming media
`content, in a format capable of being served to users by said server.
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`24[a]. A non-transitory machine-readable medium on which there has been
`recorded a computer program for use in operating a media player for receiving and
`playing streaming media comprising a plurality of sequential media data elements, said
`elements being available on request by said player via a data communications medium
`such as the Internet, from a server assumed to be capable of sending streaming media
`elements at a rate more rapid than the rate at which said streaming media is played
`back by a user, each said data element having a serial identifier, said program recorded
`on said machine readable medium comprising:
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`24[b]. a routine that maintains a record of the identifier of the last sequential
`media data element that has been received by said player;
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`24[c]. a routine that requests transmission of the next sequential media data
`elements following said last sequential media data element, as said media player
`requires in order to maintain a sufficient number of media data elements in the media
`player for uninterrupted playback.
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`29. These four independent claims are closely related and substantially similar.
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`Claim 1 describes the method of streaming media data from a server to a client buffer
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`for playback to a user, wherein the client requests specified media data elements from
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`the server, which sends data at a rate faster than the playback. Claim 10 discloses the
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`server in the client-server architecture programmed with machine-readable
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`10
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`instructions to apply the method described in Claim 1, and specifies that it contains a
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`storage device, memory, CPU, OS, connection to the medium and a communications
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`system. Claim 19 discloses a computer program which prepares streaming media
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`content for transmission according to the method of Claim 1. Finally, Claim 24
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`discloses a media player for receiving and playing the streaming media received from
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`the server according to the method of Claim 1. Claims 10, 19 and 24 only disclose
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`common hardware and software constituents of the client-server architecture
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`described in Claim 1, without adding any procedural limitations to its method for
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`streaming media distribution and buffering.
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`III. CLAIM CONSTRUCTION
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`30.
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`I understand that in an Inter Partes Review (“IPR”), a claim receives the
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`“broadest reasonable construction in light of the specification of the patent in which
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`it appears.” 37 C.F.R. § 42.100(b). For purposes of the present IPR only, the claim
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`terms of the ‘839 Patent are presumed to take on their ordinary and customary
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`meaning that the term would have to one of ordinary skill in the art, unless specifically
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`discussed below.
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`31.
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`I am currently unaware of any plausible alternative claim constructions or any
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`claim construction dispute that would affect my opinions as to the invalidity of claims
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`of the ‘141 Patent. However, I may revise my opinions should the Patent Owner or
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`the Board suggest or adopt alternative constructions for any of the claim terms.
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`A.
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`Claims 1, 10, and 24 – “rate more rapid than the rate at which said
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`streaming media is played back by a user”
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`32. One of ordinary skill in the art at the time of invention would have understood
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`“rate more rapid than the rate at which said streaming media is played back by a user”
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`to mean “a transmission rate faster than the rate at which the media is played by the
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`user.” This is supported in the specification: “Connections from the server 12
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`through the Internet 10 commonly are much faster than the data rate required for
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`audio or video playback… Since the connection from the Internet to the user is faster
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`than that required for media playback, audio/video data is transmitted form the server
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`faster than it is played out by the user system, thus building up audio/video data in
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`the user buffer.” ‘141 Patent at 11:17-30, 11:55-60. The description in the patent
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`specification indicates that the “rate more rapid” to the rate of transmission from the
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`server, which is greater than the rate at which the media player presents the streaming
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`multimedia data to the user. The specification thus illustrates the common meaning
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`that a person of ordinary skill would have ascribed to this term.
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`B.
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`Claims 6 and 15 – “said server does not maintain a pointer into a
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`buffer established within said server”
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`33. One of ordinary skill in the art would not be able to determine the scope of the
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`negative limitation “does not maintain a pointer into a buffer,” because the written
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`description does not sufficiently explain this language. The only mention of this
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`phrase in the specification describes it as an equivalent to the media player
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`maintaining a record of the identifier, which incorporates the same language already
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`stated in Claim 1: “The server buffer manager does not maintain a pointer into the
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`server buffer for each user. Instead, the media player buffer manager in the user
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`computer maintains a record of the serial number of the last data element that has
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`been received. Via the use of standard data communications protocol techniques
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`such as TCP, the user computer transmits a request to the server to send one or more
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`data elements, specifying the serial numbers of the data elements.” ‘141 Patent at
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`8:38-42. This limited description does not provide enough information to precisely
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`define this negative limitation – it simply contrasts the lack of a pointer with the
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`media player maintaining a record. Thus, to the extent this ambiguous phrase can be
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`construed at all, the broadest reasonable construction is that the “media player
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`maintains a record of the identifier.”
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`C.
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`Claims 8, 17 and 21 – “streaming media from a live source”
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`34. A person of ordinary skill in the art at the time of invention would have
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`understood “streaming media from a live source” to mean “media that originated
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`from a broadcast.” This understanding is consistent with the usage of this term in the
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`‘141 Patent specification. The ‘141 Patent illustrates media from a “live source” in
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`Fig. 1 by depicting a person speaking into a microphone to generate the data being
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`stored in the server. ‘141 Patent at Fig. 1, 3:33-36. However, the patent specification
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`also states that media data elements originating from a recording of a live broadcast
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`would satisfy this limitation. ‘141 Patent at 10:60-65. For example, the specification
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`describes “playing a CD” as an example of a “live source.” Id. Thus, this limitation
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`cannot exclude media read from a storage medium, as this would improperly exclude
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`the embodiment of a live source discussed in the specification. One of ordinary skill
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`in the art at the time of invention would therefore understand that this phrase
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`encompasses media stored as a recording of a live broadcast.
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`D. Claims 1 and 24 – “a sufficient number of media data elements in
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`the media player for uninterrupted playback”
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`35. One of ordinary skill in the art would find difficulty in defining this limitation.
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`The specification of the ‘141 Patent does not provide a reference for what amount of
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`streaming media is “sufficient” to continuously playing back the streaming media data
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`elements. The buffer is filled as playback continues by each media data element
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`received to the buffer regardless of whether the level of the buffer ever increases or
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`decreases. Thus, this phrase does not impart any limit to the amount or rate that
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`streaming data elements other than streaming media data elements must continue to
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`be received so that the next element to be played is available when needed.
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`Accordingly, to the extent this phrase could mean anything to one of ordinary skill in
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`the art, it would mean that “the specified amount of streaming media data elements
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`being any non-zero amount.”
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`E. Claim 19 – “format capable of being served to users by said server”
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`36. A person of ordinary skill in the art at the time of invention would find
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`difficulty defining this limitation. The ‘141 Patent specification is silent as to what
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`“formats” would be capable or incapable of being served to the user. The
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`specification merely states that there may be a “means for formatting media data
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`according to the requirements of [the] buffer,” without giving any description or
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`example of an acceptable format. The prosecution history does not contain any
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`further description of the term.
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`37.
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`In absence of further detail from the written description, one of ordinary skill
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`in the art would not have any way to determine whether a particular data format is
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`within the scope of the claims. The ‘141 Patent offers no guidance as to the
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`characteristics that make a format “capable of being served to users,” nor does it
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`provide any example of a format which would be “incapable” of being served to
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`users. Accordingly, this term is indefinite.
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`IV. STATE OF THE PRIOR ART
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`38.
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`Since at least the beginning of the 1990’s, digital transmission technologies had
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`been introduced for digital audio broadcasting and digital video broadcasting. Ex.
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`1009, Kozamernik at pp. 1-2. The Internet was recognized as a de facto worldwide
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`network important for broadcasting activities having achieved more than 50%
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`penetration in five major American cities and 50 million users in four years. Id. at pp.
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`3, 5. It was recognized that in contrast to conventional broadcasting, the Internet
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`allowed the audience to interact with the originator and shape the content that is
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`delivered. Id. at p. 5. Several protocols, including Real Time Streaming Protocol
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`(“RTSP”) – a popular application-level protocol known to enable controlled on-
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`demand delivery of real-time audio and video stream – were in use for providing real-
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`time services via the Internet. Id. at p. 13.
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`39. While “download-first-and-then-play” technology was considered acceptable
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`for short program clips, “streaming” technology, which allowed for immediate playback,
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`was preferred for online radio listening and watching video clips. Id. at p. 6. During
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`media streaming, a media player, such as RealPlayerTM, read the media file stream as it
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`was arriving from the network and began playing it before the rest of the file arrived. Id. In
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`order to make the playback smooth, the player used a process of buffering. Id. As
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`the player played out the file, it continued to collect packets in reserve so that if there
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`were minor delays in receiving the packets, playback was still continuous. Id.
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`40. Buffering was commonly known in the context of media streaming over the
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`Internet. Transmission over the Internet may not be fully reliable and may suffer
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`from delay jitter. Id. at pp. 12-13. Delay jitter is the variance in delay from end to end
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`of one packet as compared to the subsequent packet. Id. Buffering was known to
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`smooth out jitter to