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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`DROPBOX, INC.
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`Petitioner,
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`v.
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`SYNCHRONOSS TECHNOLOGIES, INC.
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`Patent Owner.
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`Case IPR2016-00851
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`Patent 6,671,757
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`DECLARATION OF ARTHUR M. KELLER, Ph.D.
`IN SUPPORT OF PATENT OWNER'S RESPONSE
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`SYNCHRONOSS Exhibit 2008
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`I, Arthur M. Keller, do hereby declare:
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`1.
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`I am making this declaration at the request of Synchronoss
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`Technologies, Inc. in the matters of IPR2016-00850 and IPR2016-00851, Inter
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`Partes Reviews of U.S. Patent No. 6,671,757 (the “’757 Patent”) to David L.
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`Multer, et al.
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`I.
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`BACKGROUND AND INTRODUCTION
`A.
`2.
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`Scope
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`I have been asked to review certain materials and give my opinion
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`about whether claims 1-29 of the ’757 Patent are valid over certain documents. I
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`was also asked for my opinions regarding the meaning of certain words of the
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`claims and the level of ordinary skill in the art. I express those opinions in this
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`declaration.
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`3.
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` I have been advised that my declaration is being used in support of a
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`Response by Synchronoss to petitions filed by Dropbox. I reserve the right to
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`further supplement my analysis and opinions as set forth therein, in the event that I
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`am called upon to do so.
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`4.
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`I have been retained by Patent Owner, Synchronoss, as an expert and
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`am being compensated for my time. My compensation is not dependent on the
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`outcome of this proceeding, the results of my analysis, or on the substance of my
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`opinions and testimony. I have no interest in the outcome of this matter.
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`5.
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`I have no financial interest in Dropbox, Inc. or Synchronoss, Inc. I
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`similarly have no financial interest in the ’757 Patent and I have had no contact
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`with the named inventors of the ’757 Patent.
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`B.
`6.
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`Educational Background
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`I was awarded a Bachelor of Science degree in 1977 from Brooklyn
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`College, with majors in Mathematics and in Computer and Information Science.
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`7.
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`I obtained a Master of Science degree and doctorate degree in
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`Computer Science from Stanford University in 1979 and 1985, respectively.
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`C.
`8.
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`Professional Experience
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`From 1974 to 1977, I was a Systems Analyst at Brooklyn College. In
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`1977, I also worked as an Instructor at Brooklyn College.
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`9.
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`In 1980, I worked at IBM as a Summer Research Assistant. In 1981, I
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`again worked at IBM, as an Academic Associate.
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`10. From 1977 to 1985, I worked in various roles in the Computer
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`Science Department at Stanford University, mostly while a graduate student. My
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`roles included working as a Research Associate, Research Assistant, Acting
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`Assistant Chairman, and Instructor.
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`11.
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`I later continued my work at Stanford University in various other
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`academic capacities. In particular, I was a Visiting Assistant Professor from 1987
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`to 1989, a Research Associate from 1989 to 1991, a Research Scientist from 1991
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`to 1992, and a Senior Research Scientist from 1992 to 1999.
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`12. From 1985 to 1989, I worked as an Assistant Professor and an
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`Adjunct Assistant Professor at the University of Texas at Austin in the Department
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`of Computer Sciences.
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`13. Since 2001, I have been a Visiting Associate Professor, Lecturer, and
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`Researcher in various departments at the Baskin School of Engineering at the
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`University of California, Santa Cruz.
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`14. Furthermore, I have provided advice to startups, including as co-
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`Founder, Board member, Chief Data Scientist, and CFO of PSYCHeANALYTICS,
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`Inc., and co-Founder, Board member, and CFO of Active Ion Displays, Inc.
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`15. Throughout my career, I have worked at various other institutions and
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`businesses. For further details regarding my employment and academic history,
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`please refer to my curriculum vitae, already of record in this case as Exhibit 2002.
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`16. My experience in the field of database technology dates back to at
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`least 1980, when I co-authored a paper on database implementation titled “FLASH:
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`A Language-Independent, Portable File System.” My doctoral dissertation was on
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`updated relational databases through views. I have published papers on various
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`aspects of database systems, including distributed databases, parallel databases,
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`object-oriented and object-relational databases, database integration, database
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`security, and database implementation, as well as various applications of database
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`technology.
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`17. Through my work on the Penguin project on object-relational
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`databases at Stanford University, I became Chief Technical Advisor and Board
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`member of Persistence Software, which went public in June 1999. Persistence
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`Software commercialized object-relational database technology, and I co-authored
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`several papers for Persistence Software starting in 1993. See, for example, my
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`curriculum vitae, Exhibit 2002, pp. 12-13.
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`18.
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`I served as Stanford University’s project manager for CommerceNet,
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`a consortium promoting electronic commerce on the Internet, between 1993 and
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`1997. My research work at the time focused on cross-search of multiple electronic
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`catalogs that were emerging on the Internet, particularly involving parameters and
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`translation of terminology across multiple ontologies. I published papers on this
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`work starting in 1994. See, for example, “CommerceNet: Overview and Electronic
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`Catalogs,” Exhibit 2002, p. 15. I co-founded Mergent Systems with Prof.
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`Genesereth to commercialize this technology, and the company was acquired by
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`CommerceOne in January 2000. I was also organized instructor for courses on
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`electronic commerce and Internet security at the Western Institute for Computer
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`Science in the mid-1990s.
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`19.
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`In the early to mid-1990s, I co-authored papers regarding independent
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`updates to replicated databases. These updates were commutable operations, that
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`is, those that can be reordered without changing the effect on the data. For
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`example, debit and credit operations can commute (if one ignores the potential to
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`overdraft an account). This body of work involved peer-to-peer synchronization of
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`updates that could occur at any replica, without use of a server. See, for example,
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`“The Case for Independent Updates,” “Achieving Incremental Consistency among
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`Autonomous Replicated Databases,” “Independent Updates and Incremental
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`Agreement and Replicated Databases,” “A Classification of Update Methods for
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`Replicated Database,” and “Independent Updates and Incremental Agreement in
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`Replicated Databases.” Exhibit 2002, pp. 10, 13, and 15.
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`20. Also in the early to mid-1990s, I coauthored papers on
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`synchronization under intermittent connectivity using a technique I called
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`“zippering.” In this project, a handheld computer could either operate connected to
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`the server or in disconnected operation. See, for example, “Zippering: Managing
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`Intermittent connectivity in DIANA,” Exhibit 2002, p. 10. The term zippering
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`because of the analogy to a partially open (i.e., “Y” shape) zipper. The
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`synchronization process involves moving the zipper’s shuttle from the junction
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`point while interleaving the teeth as the synchronization proceeds. See, for
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`example, “The DIANA Approach to Mobile Computing,” and “Zippering:
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`Managing Intermittent Connectivity in DIANA,” Exhibit 2002, pp. 11-12.
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`21. My publications are listed in my curriculum vitae, attached at Exhibit
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`2002.
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`D. Materials Considered
`22.
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`In the preparation of this declaration, I have also considered:
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`23. U.S. Patent No. 6,671,757 (“the ’757 Patent”; Exhibit 1001).
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`24.
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`In forming the opinions expressed below, I have considered:
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`(a)
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`(b)
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`(c)
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`(d)
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`(e)
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`(f)
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`Prosecution History of the ’757 Patent (Exhibit 2003);
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`Prosecution History excerpt of inter partes reexamination no. 95/002,339
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`(Exhibit 1008);
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`The Nichols document (“Nichols”; Exhibit 1003);
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`The Kistler document (“Kistler”; Exhibit 1006);
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`The Burns document (“Burns”; Exhibit 1007);
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`Petition for Inter Partes Review of Claims 1-15 of U.S. Patent No.
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`6,671,757 (April 7, 2016; IPR2016-00850; “’850 Petition”);
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`(g)
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`Petition for Inter Partes Review of Claims 16-29 of U.S. Patent No.
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`6,671,757 (April 7, 2016; IPR2016-00851; “’851 Petition”);
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`The Declaration of Azer Bestavros, Ph.D. (Exhibit 1002);
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`The Transcript of the Deposition of Azer Bestavros, Ph.D. (Exhibit
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`(h)
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`(i)
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`2009);
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`(j)
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`James W. Hunt and M. Douglas McIlroy, “An Algorithm for Differential
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`File Comparison,” Bell Laboratories, Computing Science Technical
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`Report 41 (1976) (Exhibit 1020);
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`(k)
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`Julie K. Peterson, The Telecommunications Illustrated Dictionary,
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`Second Edition, CRC Press, 2002 (Exhibit 2010);
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`(l) Microsoft Computer Dictionary, Fourth Edition, Microsoft Press, 1999
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`(Exhibit 2011);
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`(m) The relevant legal standards, including the standards for anticipation and
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`obviousness, and any additional documents cited in the body of this
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`declaration; and
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`(n) My knowledge and experience in this area.
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`II. RELEVANT LEGAL STANDARDS
`25.
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`I have been asked to provide my opinions regarding whether the
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`claims of the ’757 Patent would have been anticipated or obvious, in light of
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`certain documents provided by Dropbox.
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`26.
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`I have been informed that a claim is patentable unless a single prior
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`art reference describes every element of the claim, either expressly or inherently, to
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`a person of ordinary skill in the art. I understand that this is referred to as
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`“anticipation.” I have also been informed that, to anticipate a patent claim, the
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`prior art reference need not use the same words as the claim, but it must describe
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`the requirements of the claim with sufficient clarity that a person of skill in the art
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`would be able to make and use the claimed invention based on the single prior art
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`reference. The claim elements must also be arranged in the same way in the prior
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`art as they are in the claim.
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`27.
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`In addition, I was informed and understand that, in order to establish
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`that an element of a claim is “inherent” in the disclosure of a prior art reference, it
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`must be clear to one skilled in the art that the missing element is an inevitable part
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`of what is explicitly described in the prior art, and that it would be recognized as
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`necessarily present by a person of ordinary skill in the art.
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`28.
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`It is my understanding that a claimed invention is unpatentable under
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`35 U.S.C. § 103 if the differences between the invention and the prior art are such
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`that the subject matter as a whole would have been obvious at the time the
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`invention was made to a person having ordinary skill in the art to which the subject
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`matter pertains. I also understand that the obviousness analysis takes into account
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`factual inquiries including the level of ordinary skill in the art, the scope and
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`content of the prior art, the differences between the prior art and the claimed
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`subject, and any secondary considerations or evidence of nonobviousness.
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`29.
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`It is my understanding that the Supreme Court has recognized several
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`rationales for combining references or modifying a reference to show obviousness
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`of claimed subject matter. Some of these rationales include the following:
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`combining prior art elements according to known methods to yield predictable
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`results; simple substitution of one known element for another to obtain predictable
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`results; applying a known technique to a known device (method, or product) ready
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`for improvement to yield predictable results; choosing from a finite number of
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`identified, predictable solutions, with a reasonable expectation of success, and
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`some teaching, suggestion, or motivation in the prior art that would have led one of
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`ordinary skill to modify the prior art reference or combine prior art reference
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`teachings to arrive at the claimed invention.
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`30.
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` I have been advised that the level of ordinary skill in the art can be
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`determined by taking into consideration the type of problems encountered by those
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`in this art; the solutions to those problems; the rate at which innovations are made;
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`the sophistication of the technology; and the educational level of active workers in
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`the field.
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`31.
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`I have also been advised that challenges to the claims of a granted
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`patent in inter partes reviews are limited to challenges based on patents and printed
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`publications. I have been advised that the Synchronoss believes that the
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`documents cited by Dropbox have not been adequately shown to constitute printed
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`publications. I do not express any opinion with regard to these issues. However,
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`nothing contained in my declaration is intended to be considered any form of
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`admission or concession that the documents cited by Dropbox constitute printed
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`publications under the appropriate legal standards.
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`32.
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`I also understand that, as Petitioner, Dropbox bears the burden of
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`demonstrating that the claims of the ’757 Patent are unpatentable by a
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`preponderance of the evidence.
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`III. LEVEL OF ONE OF ORDINARY SKILL IN THE ART
`33. Taking into consideration the type of problems encountered by those
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`in this art; the solutions to those problems; the rate at which innovations are made;
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`the sophistication of the technology; and the educational level of active workers in
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`the field; and based on my education and experience, I am familiar with the level
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`of knowledge that one of ordinary skill would have possessed during the relevant
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`time period. I consider that a person of ordinary skill in the art with respect to
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`the ’757 patent would have a bachelor’s degree in Computer Science, or an
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`equivalent course of study, and three or more years of experience with networked
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`computer systems and/or distributed computing, including aspects of client-server
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`coordination. I would also consider a person with a Master’s Degree in Computer
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`Science, or an equivalent course of study, with at least two years of experience in
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`the above-mentioned areas, to also be a person of ordinary skill in the art. Finally,
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`I would consider someone with a doctorate degree in a course of study involving
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`networked computer systems and/or distributed computing, including aspects of
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`client-server coordination, to be a person of ordinary skill in the art.
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`IV. OVERVIEW OF THE ’757 PATENT
`34. The ’757 Patent is directed to systems that provide for data
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`synchronization amongst a plurality of users, clients or devices that are connected
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`through a network. The ’757 Patent discussed the need for efficiently
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`synchronizing data or information between different devices available to one or
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`more users, that potentially operate on different platforms using different
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`applications. Exhibit 1001, column 1, lines 36-47; and column 2, lines 46-54 and
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`61-65. For example, the ’757 Patent discloses a system that includes a first sync
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`engine on a first system, a second sync engine on a second system, and a data store
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`coupled to a network in communication with the first and second systems. The
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`first sync engine may interface with data on the first system to identify changes or
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`differences in data by comparing the data on the system to a previous version of
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`the data on the sync engine thereby generating difference information and
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`difference transactions, and provide instructions for implementing these
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`differences as a result of the data comparison. The second system is coupled to
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`receive the difference information from the data store via a network, and update
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`the date on the second system with difference information identified by the first
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`sync engine. Exhibit 1001, column 3, lines 32-42. The ’757 patent recognizes that
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`an important part of the efficiency and effectiveness of a synchronization system is
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`the ability to transfer data between devices or systems in a form that is independent
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`of the form in which the data is kept on a respective system; i.e., using a universal
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`format. Exhibit 1001, 1:16-21, 2:61-65, and 12:1-10.
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`35. The ’757 Patent has 29 claims, with claims 1, 16 and 24 being the
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`main or independent claims. Claims 1, 16 and 24 are reproduced below, annotated
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`with subsections corresponding to those contained in the claim charts of the
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`Petitions.
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`1. (a) A system for synchronizing data between a first system and a
`second system, comprising:
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`(b) a first sync engine on the first system interfacing with data
`on the first system to provide difference information in a difference
`transaction;
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`(c) a data store coupled to the network and in communication
`with the first and second systems; and
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`(d) a second sync engine on the second system coupled to
`receive the difference information in the difference transaction from
`the data store via the network, and interfacing with data on the second
`system to update said data on the second system with said difference
`information;
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`(e) wherein each said sync engine comprises a data interface,
`(f) a copy of a previous state of said data,
`(g) and a difference transaction generator.
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`16. (a) A system, comprising:
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`a first device including at least a first data file and first
`differencing code, the first device having an input and an output
`coupled to a network to receive first device data change transactions
`from, and provide change transactions generated by the first
`differencing code based on said at least one data file to, said network;
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`(b) a data store coupled to the network having at least one data
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`structure coupled to store change transactions; and
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`(c) a second device including at least a second data file and
`second differencing code, the second device having an input and an
`output coupled to the network to receive said first device data change
`transactions from, and provide second change transactions generated
`by the second differencing code based on said at least second data file
`to, said data store;
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`(d) wherein said first differencing code includes a first sync
`engine having a first data interface, a first copy of a previous state of
`said data, and a first difference transaction generator, and
`(e) said second differencing code includes a second sync engine
`having a second data interface, a second copy of a previous state of
`said data, and a second difference transaction generator.
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`24. (a) An Internet synchronization system, comprising:
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`(b) a storage server having an Internet connection;
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`(c) a first device coupled to the Internet and including a first
`device sync engine interfacing with data on the first device, the first
`device in communication with at least the storage server; and
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`(d) a second device coupled to the Internet and including a
`second device sync engine interfacing with data on the second device,
`the second device in communication with at least the storage server;
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`(e) wherein each said device sync engine comprises a data
`interface,
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`(f) a copy of a previous state of said data,
`(g) and a difference transaction generator.
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`V. CLAIM CONSTRUCTION
`36.
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`It is my understanding that in this proceeding, the claim terms of
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`the ’757 patent are given their broadest reasonable interpretation, consistent with
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`the specification of the ’757 Patent, as understood by one of ordinary skill the art.
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`I have also been advised that although the claim terms should be interpreted
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`consistently with the specification, care should be taken to avoid unnecessarily
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`importing limitations into the claims. Thus, I have been advised that claim terms
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`are normally given their ordinary and customary meaning as would be understood
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`by one of ordinary skill in the art. It is my understanding that claim terms that do
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`not possess a special meaning to those of ordinary skill in that relevant art may be
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`simply given their plain and ordinary meaning.
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`37. For any claim terms that I have not expressly defined, I considered
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`their meaning according to their ordinary and customary meaning, as would be
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`understood by one of ordinary skill in the art, to the extent necessary to formulate
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`the opinions expressed in my declaration.
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`A.
`38.
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`“Difference Information”
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`I understand that the Board construed this limitation as “information
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`that comprises only the changes to one system’s data which have occurred on that
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`system, and instructions for implementing those changes.” I have adopted this
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`construction for purposes of this opinion.
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`B.
`“Difference Transaction”
`39. The Board construed this limitation as “one or more pieces of
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`difference information communicated together.” I have adopted this construction
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`for purposes of this opinion.
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`C.
` “Difference Transaction Generator”
`40. This term appears in each independent claim 1, 16 and 24.
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`41. The broadest reasonable interpretation, as would be understood by one
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`of ordinary skill in the art, and consistent with the specification of the ’757 patent
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`is: “software that compares a current state of the data to a previous state of the
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`data to generate difference information, and then places the difference information
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`into a difference transaction.”
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`42. The term “difference transaction generator” embodies data
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`differencing. See, the ’757 patent, 4:23, 5:32, 5:36. Differencing, and a number of
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`conjugations of this word, is a term of art. As the term is used in the art,
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`differencing involves the comparison of data to derive or generate differences. For
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`example, James W. Hunt and M. Douglas McIlroy, “An Algorithm for Differential
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`File Comparison,” Bell Laboratories, Computing Science Technical Report 41
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`(1976) (Exhibit 1020) discuss the generation of difference information by
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`comparing two files. Dr. Bestavros agrees. See Exhibit 1002, ¶34. Dr. Bestavros
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`also talks about comparing two files to “compute the difference between the two
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`files.” Id., ¶35. See also Exhibit 1007, p. 26. Thus, the plain and ordinary
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`meaning of “difference,” as used in the ’757 patent specification and the term
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`“difference transaction generator” in the claims, and as would be understood by
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`one of ordinary skill in the art, involves the comparison of data to derive or
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`generate the differences between them.
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`43. The word “generator” in the term “difference transaction generator”
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`implicates the manner by which the difference information present in the
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`difference transaction is created or derived. The specification of the ’757 patent
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`consistently uses “generating” difference information by comparison of data to a
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`previous state of the data. For example, the specification describes “difference
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`information” is the product of “extraction.” This extraction is performed by a
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`“differencing transmitter” or “differencing synchronizer.” See, the ’757 patent,
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`6:3-8, 6:33-37. The “differencing synchronizer” is further described in the ’757
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`patent as a delta module or differencing engine. See, ’757 patent, 12:18-19. The
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`delta module or differencing engine is consistently disclosed as “generating”
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`differences through comparison. See, ’757 patent, 12:14-53, 14:39-42, 28:26-31,
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`17:57-61.
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`44. Thus, the specification consistently characterizes the difference
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`transaction generator as “generating” differences through comparison of the
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`current state of the data to a previous state of the data.
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`45. This understanding is further reinforced by the context of the plain
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`language of the claims surrounding the use of the term. For example, claim 1
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`recites both data on the first system (or second system) interfacing with a sync
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`engine and a copy of a previous state of said data. The purpose of maintaining two
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`separate versions of the data is to perform a comparison.
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`46. Furthermore, claim 1 specifies that the sync engine, which includes
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`the difference transaction generator and the copy of the previous state of said data,
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`is characterized as “interfacing with data on the first system to produce difference
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`information in a difference transaction.” Again, the claimed “interfacing” between
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`the different versions of the data in the difference transaction generator is
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`consistent with the notion of a comparison of the data as the process of “generating”
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`difference information in difference transactions.
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`VI. GROUNDS BASED ON NICHOLS
`A. Nichols Fails to Disclose a “Difference Transaction Generator”
`When Properly Construed
`47. This term appears in each independent claim 1, 16 and 24.
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`48. Nichols is directed to a “collaboration system.” Essentially, Nichols
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`only deals with changes to information made on a user’s display, which can then
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`be propagated to other users of the collaboration system that are connected through
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`a server. Thus, the system described by Nichols can be thought of as a virtual
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`whiteboard. Exhibit 1003, p. 111. In other words, any “differences” in data
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`created in the Jupiter system simply involve changing widget values; the user
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`changes the state of the widget value through commands such as keyboard strokes
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`or mouse movements. These commands are then immediately applied locally to
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`the user’s version of the widget, the same changes then sent to the server that then
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`updates its version of the widget’s value, and propagates the changes to other users
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`operating on the system. Exhibit 1003, p.112. There is simply no notion, or
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`disclosure whatsoever, of a difference transaction generator that creates or derives
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`differences through comparison of different versions of data.
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`49. Thus, Nichols fails to disclose or suggest a difference transaction
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`generator, or software that compares a current state of the data to a previous state
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`of the data to generate difference information, and then places the difference
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`information into a difference transaction.
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`B. Nichols Fails to Disclose Both Versions of Data Required by
`Claims 1, 16 and 24 of the ’757 Patent
`50. Claim 1 reads in part a “sync engine on the first system interfacing
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`with data on the first system,” as well as a “sync engine comprises . . . a copy of a
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`previous state of said data.” A second system is mentioned that also includes the
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`same two versions of the data.
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`51. Claim 16 reads in part a “first device including at least a first data file,”
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`as well as a first sync engine having . . . a first copy of a previous state of said data.”
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`A second system is also claimed having similar requirements.
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`52. Claim 24 specifies a first device including a “sync engine interfacing
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`with data on the first device,” as well as a “sync engine comprises . . . a copy of a
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`previous state of said data.” A second system is also mentioned having similar
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`requirements.
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`53. Thus, according to the plain language of the claims of the ’757 Patent,
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`a copy of a previous state of the data associated with the first or second system or
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`device, in addition to, a (current) version of the data that interfaces with the sync
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`engine, is maintained on each of the first and second systems or devices.
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`54.
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`It is these versions of the data that are compared by the sync engine’s
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`difference transaction generator to create the difference information included in the
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`difference transactions. Not surprisingly, Nichols fails to disclose this feature of
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`the claimed invention. Nichols does not generate difference information through
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`comparison. Instead, Nichols simply propagates changes from one user to a server,
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`which then propagates changes to other users.
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`55. During his Deposition, Dr. Bestavros, Dropbox’s expert, uses the
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`description of widgets in Nichols in his attempt to show that Nichols reference
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`discloses maintaining two versions of data at the same time and comparing these
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`two versions of data. In particular, Dr. Bestavros stated:
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`. . . And I just want to go back to something I said earlier. I was
`A
`actually looking for that one sentence: The Numeric widget does not
`send intermediate values while the slider is being moved, but waits
`until the mouse button is released to send the final widget value.
`This is a perfect example that a person of ordinary skill in the art, my
`reading of this patent says they must have another copy because there
`is a copy that is being displayed, which obviously has to change as
`you move your mouse. But then when it’s -- because I want to filter
`all of the stuff that happens in the middle when it is time to send the
`update message I certainly have to have an old copy of that object
`and the current state to decide what sort of thing to send. For
`example what to replace, you know, a part of your screen or
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`something else would be like. So there is a need to compute that and
`for that you have to maintain another copy. I think this was what I
`was looking for earlier when asked the question about where does it
`say, you know, you have a copy.
`Q
`But it doesn’t actually say that it saves an additional copy in
`those words?
`A
`All I said was a person of ordinary skill in the art reading this
`system description, it necessarily has to do that otherwise you cannot
`do what it says it can do. . .
`Exhibit 2009, 74:3-75:9 (emphasis added).
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`56. Nichols contains the following description of how such widgets’
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`values are updated:
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`In addition, each widget type supplies a set of event notifications,
`most of which are result of user interactions. Buttons notify the
`application when they have been activated by the user. Numerics do
`so when the user chooses a new value for them. . . When any widget
`event occurs, a predetermined application routine is invoked with
`information about the event . . . Each change made by a user is
`reported to the application and automatically propagated to the other
`users.
`Exhibit 1003, p. 114.
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`57.
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`I do not agree with Dr. Bestavros’ interpretation of the disclosure of
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`Nichols that, although not explicitly disclosing the presence of a separate copy of
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`the data, as nevertheless requiring the presence of a separate copy in order to
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`effect a change.
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`58. For the Numeric widget, the widget sends the new (final) value to the
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`application, which in turn sends that new (final) value to the server. The
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