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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 PRELIMINARY RESPONSE
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`SYNCHRONOSS Exhibit 2001
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`I, Arthur M. Keller, do hereby declare:
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`I am making this declaration at the request of Synchronoss Technologies,
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`Inc. in the matters of IPR2016-00850 and IPR2016-00851, Inter Partes Reviews of
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`U.S. Patent No. 6,671,757 (the “’757 Patent”) to David L. Multer, et al.
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`I.
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`BACKGROUND AND INTRODUCTION
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`A.
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`Scope
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`1.
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`I have been asked to review certain materials and give my
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`opinion about whether claims 1-29 of the ’757 Patent are valid over certain
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`documents. I was also asked for my opinions regarding the meaning of
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`certain words of the claims and the level of ordinary skill in the art. I was
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`also asked to consider the differences between the two manuals cited as the
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`CVS documentation (Exhibits 1004 and 1005). I express those opinions in
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`this declaration.
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`2.
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`I have been advised that my declaration is being used in support
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`of a preliminary response to petitions filed by Dropbox. Thus, I have not
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`been asked to provide all of my opinions concerning the claims of the ’757
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`patent and the documents cited by Dropbox in their petitions at this time.
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`Should the Patent Office decide to proceed with one or more trials, I have
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`been advised that I may be called upon in the future to supplement the
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`opinions that I express in this declaration. Thus, I reserve the right to further
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`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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`3.
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`I have been retained by Patent Owner (Synchronoss) as an
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`expert and am being compensated for my time. My compensation is not
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`dependent on the outcome of this proceeding, the results of my analysis, or
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`on the substance of my opinions and testimony. I have no interest in the
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`outcome of this matter.
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`4.
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`I have no financial interest in Dropbox, Inc. or Synchronoss,
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`Inc. I similarly have no financial interest in the ’757 Patent and I have had
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`no contact with the named inventors of the ’757 Patent.
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`B.
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`5.
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`Educational Background
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`I was awarded a Bachelor of Science degree in 1977 from
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`Brooklyn College, with majors in Mathematics and in Computer and
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`Information Science.
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`6.
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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.
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`7.
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`Professional Experience
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`From 1974 to 1977, I was a Systems Analyst at Brooklyn
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`College. In 1977, I also worked as an Instructor at Brooklyn College.
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`8.
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`In 1980, I worked at IBM as a Summer Research Assistant. In
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`1981, I again worked at IBM, as an Academic Associate.
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`9.
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`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.
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`My roles included working as a Research Associate, Research Assistant,
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`Acting Assistant Chairman, and Instructor.
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`10.
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`I later continued my work at Stanford University in various
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`other academic capacities. In particular, I was a Visiting Assistant Professor
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`from 1987 to 1989, a Research Associate from 1989 to 1991, a Research
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`Scientist from 1991 to 1992, and a Senior Research Scientist from 1992 to
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`1999.
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`11. 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
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`Department of Computer Sciences.
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`12. Since 2001, I have been a Visiting Associate Professor,
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`Lecturer, and Researcher in various departments at the Baskin School of
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`Engineering at the University of California, Santa Cruz.
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`13. Furthermore, I have provided advice to startups, including as
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`co-Founder, Board member, Chief Data Scientist, and CFO of
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`PSYCHeANALYTICS, Inc., and co-Founder, Board member, and CFO of
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`Active Ion Displays, Inc.
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`14. Throughout my career, I have worked at various other
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`institutions and businesses. For further details regarding my employment
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`and academic history, please refer to my curriculum vitae, attached as
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`Exhibit 2002.
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`15. My experience in the field of database technology dates back to
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`at least 1980, when I co-authored a paper on database implementation titled
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`“FLASH: A Language-Independent, Portable File System.” My doctoral
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`dissertation was on updated relational databases through views. I have
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`published papers on various aspects of database systems, including
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`distributed databases, parallel databases, object-oriented and object-
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`relational databases, database integration, database security, and database
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`implementation, as well as various applications of database technology.
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`16. Through my work on the Penguin project on object-relational
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`databases at Stanford University, I became Chief Technical Advisor and
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`Board member of Persistence Software, which went public in June 1999.
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`Persistence Software commercialized object-relational database technology,
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`and I co-authored several papers for Persistence Software starting in 1993.
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`See, for example, my curriculum vitae, Exhibit 2002, pp. 12-13.
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`17.
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`I served as Stanford University’s project manager for
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`CommerceNet, a consortium promoting electronic commerce on the Internet,
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`between 1993 and 1997. My research work at the time focused on cross-
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`search of multiple electronic catalogs that were emerging on the Internet,
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`particularly involving parameters and translation of terminology across
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`multiple ontologies. I published papers on this work starting in 1994. See,
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`for example, “CommerceNet: Overview and Electronic Catalogs,” Exhibit
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`2002, p. 15. I co-founded Mergent Systems with Prof. Genesereth to
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`commercialize this technology, and the company was acquired by
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`CommerceOne in January 2000. I was also organized instructor for courses
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`on electronic commerce and Internet security at the Western Institute for
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`Computer Science in the mid-1990s.
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`18.
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`In the early to mid 1990s, I co-authored papers regarding
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`independent updates to replicated databases. These updates were
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`commutable operations, that is, those that can be reordered without changing
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`the effect on the data. For example, debit and credit operations can
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`commute (if one ignores the potential to overdraft an account). This body of
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`work involved peer-to-peer synchronization of updates that could occur at
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`any replica, without use of a server. See, for example, “The Case for
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`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
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`for Replicated Database,” and “Independent Updates and Incremental
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`Agreement in Replicated Databases.” Exhibit 2002, pp. 10, 13, and 15.
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`19. 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
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`connected to the server or in disconnected operation. See, for example,
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`“Zippering: Managing Intermittent connectivity in DIANA,” Exhibit 2002, p.
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`10. The term zippering because of the analogy to a partially open (i.e., “Y”
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`shape) zipper. The synchronization process involves moving the zipper’s
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`shuttle from the junction point while interleaving the teeth as the
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`synchronization proceeds. See, for example, “The DIANA Approach to
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`Mobile Computing,” and “Zippering: Managing Intermittent Connectivity in
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`DIANA,” Exhibit 2002, pp. 11-12.
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`20. My publications are listed in my curriculum vitae, attached at
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`Exhibit 2002.
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`D. Materials Considered
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`21.
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`In the preparation of this declaration, I have considered:
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`(a) U.S. Patent No. 6,671,757 (“the ’757 Patent”; Exhibit 1001);
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`(b)
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`Prosecution History of the ’757 Patent (Exhibit 2003);
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`(c)
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`Prosecution History excerpt of inter partes reexamination no.
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`95/002,339 (Exhibit 1008);
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`(d) The Nichols document (“Nichols”; Exhibit 1003);
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`(e) The CVS documentation (“CVS”; Exhibits 1004 - 1005);
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`(f)
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`The Kistler document (“Kistler”; Exhibit 1006);
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`(g) The Burns document (“Burns”; Exhibit 1007);
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`(h)
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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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`(i)
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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”); and
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`(j)
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`The Declaration of Azer Bestavros, Ph.D. (Exhibit 1002).
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`22.
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`In forming the opinions expressed below, I have considered:
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`(a) The documents listed above;
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`(b) The relevant legal standards, including the standards for anticipation
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`and obviousness, and any additional documents cited in the body of
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`this declaration; and
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`(c) My knowledge and experience in this area as described below.
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`II. RELEVANT LEGAL STANDARDS
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`23.
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`I have been asked to provide my opinions regarding whether
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`the claims of the ’757 Patent would have been anticipated or obvious, in
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`light of certain documents provided by the Petitioner.
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`24.
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`I have been informed that a claim is patentable unless a single
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`prior art reference describes every element of the claim, either expressly or
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`inherently to a person of ordinary skill in the art. I understand that this is
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`referred to as “anticipation.” I have also been informed that, to anticipate a
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`patent claim, the prior art reference need not use the same words as the claim,
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`but it must describe the requirements of the claim with sufficient clarity that
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`a person of skill in the art would be able to make and use the claimed
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`invention based on the single prior art reference. The claim elements must
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`be arranged in the same way in the prior art as they are in the claim.
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`25.
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`In addition, I was informed and understand that, in order to
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`establish that an element of a claim is “inherent” in the disclosure of a prior
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`art reference, it must be clear to one skilled in the art that the missing
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`element is an inevitable part of what is explicitly described in the prior art,
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`and that it would be recognized as necessarily present by a person of
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`ordinary skill in the art.
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`26.
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`It is my understanding that a claimed invention is unpatentable
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`under 35 U.S.C. § 103 if the differences between the invention and the prior
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`art are such that the subject matter as a whole would have been obvious at
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`the time the invention was made to a person having ordinary skill in the art
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`to which the subject matter pertains. I also understand that the obviousness
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`analysis takes into account factual inquiries including the level of ordinary
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`skill in the art, the scope and content of the prior art, the differences between
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`the prior art and the claimed subject, and any secondary considerations or
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`evidence of nonobviousness.
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`27.
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`It is my understanding that the Supreme Court has recognized
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`several rationales for combining references or modifying a reference to show
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`obviousness of claimed subject matter. Some of these rationales include the
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`following: combining prior art elements according to known methods to
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`yield predictable results; simple substitution of one known element for
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`another to obtain predictable results; applying a known technique to a known
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`device (method, or product) ready for improvement to yield predictable
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`results; choosing from a finite number of identified, predictable solutions,
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`with a reasonable expectation of success, and some teaching, suggestion, or
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`motivation in the prior art that would have led one of ordinary skill to
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`modify the prior art reference or combine prior art reference teachings to
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`arrive at the claimed invention.
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`28.
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`I have been advised that the level of ordinary skill in the art can
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`be determined by taking into consideration the type of problems encountered
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`by those in this art; the solutions to those problems; the rate at which
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`innovations are made; the sophistication of the technology; and the
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`educational level of active workers in the field.
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`29.
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`I have also been advised that challenges to the claims of a
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`granted patent in inter partes reviews are limited to challenges based on
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`patents and printed publications. I have been advised that the Synchronoss
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`believes that the documents cited by Dropbox have not been adequately
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`shown to constitute printed publications. I do not express any opinion with
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`regard to these issues. However, nothing contained in my declaration is
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`intended to be considered any form of admission or concession that the
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`documents cited by Dropbox constitute printed publications under the
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`appropriate legal standards.
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`30.
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`I also understand that Synchronoss believes that the CVS
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`documentation actually constitutes two separate documents. I have been
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`asked to provide my analysis and opinion on this issue, and will discuss this
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`question below.
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`III. LEVEL OF ONE OF ORDINARY SKILL IN THE ART
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`31. Taking into consideration the type of problems encountered by
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`those in this art; the solutions to those problems; the rate at which
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`innovations are made; the sophistication of the technology; and the
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`educational level of active workers in the field; and based on my education
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`and experience, I am familiar with the level of knowledge that one of
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`ordinary skill would have possessed during the relevant time period. I
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`consider that a person of ordinary skill in the art with respect to the ’757
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`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 experience with
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`networked computer systems and/or distributed computing, including
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`aspects of client-server coordination. I would also consider a person with a
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`Masters degree in Computer Science, or an equivalent course of study, with
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`at least 2 years experience in the above-mentioned areas, to also be a person
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`of ordinary skill in the art. Finally, I would consider someone with a
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`doctorate degree in a course of study involving networked computer systems
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`and/or distributed computing, including aspects of client-server coordination,
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`to be a person of ordinary skill in the art.
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`IV. OVERVIEW OF THE ’757 PATENT
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`32. The ’757 Patent is directed to systems that provide for data
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`synchronization amongst a plurality of users or clients 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
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`or 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-
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`54 and 61-65. For example, the ’757 Patent discloses a system that includes
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`a first sync engine on a first system, a second sync engine on a second
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`system, and a data store coupled to a network in communication with the
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`first and second systems. The first sync engine may interface with data on
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`the first system to identify changes or differences in data, and provide
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`instructions for implementing these differences as a result of a data
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`comparison. The second system is coupled to receive the difference
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`information from the data store via a network, and update the date on the
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`second system with difference information identified by the first sync engine.
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`Exhibit 1001, column 3, lines 32-42.
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`33. The ’757 Patent has 29 claims, with claims 1, 16 and 24 being
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`the main or independent claims. Claims 1, 16 and 24 are reproduced below,
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`annotated with subsections corresponding to those contained in the claim
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`charts of the Petitions.
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`1. (a) A system for synchronizing data between a first system and a
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`second system, comprising:
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`(b) a first sync engine on the first system interfacing with data
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`on the first system to provide difference information in a difference
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`transaction;
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`(c) a data store coupled to the network and in communication
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`with the first and second systems; and
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`(d) a second sync engine on the second system coupled to
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`receive the difference information in the difference transaction from
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`the data store via the network, and interfacing with data on the second
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`system to update said data on the second system with said difference
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`information;
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`(e) wherein each said sync engine comprises a data interface,
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`(f) a copy of a previous state of said data,
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`(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
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`differencing code, the first device having an input and an output
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`coupled to a network to receive first device data change transactions
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`from, and provide change transactions generated by the first
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`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
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`second differencing code, the second device having an input and an
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`output coupled to the network to receive said first device data change
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`transactions from, and provide second change transactions generated
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`by the second differencing code based on said at least second data file
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`to, said data store;
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`(d) wherein said first differencing code includes a first sync
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`engine having a first data interface, a first copy of a previous state of
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`said data, and a first difference transaction generator, and
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`(e) said second differencing code includes a second sync engine
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`having a second data interface, a second copy of a previous state of
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`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
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`device sync engine interfacing with data on the first device, the first
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`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
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`second device sync engine interfacing with data on the second device,
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`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
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`interface,
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`(f) a copy of a previous state of said data,
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`(g) and a difference transaction generator.
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`V. CLAIM CONSTRUCTION
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`34.
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`It is my understanding that in this proceeding, the claim terms
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`of the ’757 Patent are given their broadest reasonable interpretation,
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`consistent with the specification of the ’757 Patent, as understood by one of
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`ordinary skill the art. I have also been advised that although the claim terms
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`should be interpreted consistently with the specification, care should be take
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`to avoid unnecessarily importing limitations into the claims. I have been
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`advised that limitations from the specification may be imported into the
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`claims, consistent with the broadest reasonable interpretation standard,
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`where the term at issue has been given an explicit definition in the
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`specification, or where there is a clear disclaimer of subject matter
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`associated with the term at issue. Thus, I have been advised that claim terms
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`are normally given their ordinary and customary meaning as would be
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`understood by one of ordinary skill in the art. It is my understanding that
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`claim terms that do not possess a special meaning to those of ordinary skill
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`in that relevant art may be simply given their plain and ordinary meaning.
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`35. For any claim terms that I have not expressly defined, I
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`considered their meaning according to their ordinary and customary meaning,
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`as would be understood by one of ordinary skill in the art, to the extent
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`necessary to formulate the opinions expressed in my declaration.
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`A. Claim 1 — “Difference Information”
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`36.
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`I understand that Dropbox has taken the position that this term
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`is defined in the specification of the ’757 Patent as “information that
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`comprises only the changes to one system’s data which have occurred on
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`that system, and instructions for implementing those changes.” Upon review
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`of the ’757 Patent specification, it would appear that the term is described in
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`this manner. Specifically, the ’757 Patent specification states:
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`Difference information ∆ comprises only the changes to System B’s
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`data which have occurred on System B and instructions for
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`implementing those changes.
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`Exhibit 1001, column 6, lines 8-11.
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`37. This definition of “difference information” is consistent with its
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`use in the language of claim 1 itself, as well as throughout the specification
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`of the ’757 Patent.
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`38. For example, with regard to the language “only the changes to
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`one system’s data,” the ’757 Patent contrasts synchronization using
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`“difference information” with previous synchronization techniques that rely
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`upon: “copying of full records between systems” (Exhibit 1001, column 2,
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`lines 22-23); systems that “replaces the older file with the newer file to
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`achieve synchronization” (Exhibit 1001, column 2, lines 39-42); “[t]his
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`consequently increases the speed at which such transactions can take place
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`since the data which need to be transmitted is substantially smaller than it
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`would be were entire files transferred between the systems” (Exhibit 1001,
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`column 8, lines 34-38); and “[i]n this manner, the information on System B
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`is updated without the need to transfer the entire binary files between the
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`Systems” (Exhibit 1001, column 6, lines 28-30). Also, Dropbox’s definition
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`of difference information encompasses the situation also described in the
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`specification of the ’757 Patent where new data is created on a system:
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`Exhibit 1001, column 6, lines 11-16 (“. . . If the data does not exist at all on
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`System B, the difference information ∆ will be the entire file.”). Thus, the
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`abovementioned portions of the ’757 Patent inform the understanding of the
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`“only the changes . . .” portion of the definition by one of ordinary skill in
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`the art.
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`39. Based on my experience, as confirmed by consultation with
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`counsel, the term “comprising” is an “open” term used in patent application
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`drafting, signaling the possibility of the inclusion of additional items or
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`features other than those specifically enumerated after the use of this word.
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`Therefore, consistent with the construction of difference information as
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`comprising only the changes to one system’s data which have occurred on
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`that system, and instructions for implementing those changes, the presence
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`of other items or information as part of “difference information” is not
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`precluded under this construction.
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`40. For example, the ’757 Patent explains that the difference
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`information is output to the server in the form of a data package. Exhibit
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`1001, column 12, lines 36-38. Such data packages may include additional
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`items, information and/or metadata, such as folder information, item fields,
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`source information, data package identifiers, object identifiers (Universally
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`Unique Identifiers), compression and/or encryption information, headers, etc.
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`Exhibit 1001, Figure 12, and column 39, line 12 - column 40, line 44.
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`41. Dropbox states on page 9 of the ’850 Petitioner that the
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`prosecution history of the ’757 Patent confirms that difference information
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`“is limited to information describing the content and location of changes to
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`data.” However, Dropbox’s construction is open through the use of the term
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`“comprising.” Thus, their construction is not limited to information
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`describing the content and location of changes to data. Also, Dropbox’s
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`construction of difference information as comprising “instructions for
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`implementing those changes” is in no way limited to “location of changes to
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`data.”
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`42.
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`I understand that Dropbox has also provided essentially the
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`same opinion regarding the construction of the term “difference information”
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`in its petition related to claims 16-29 of the ’757 Patent. See, the ’851
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`Petition at page 9. However, as evident from the above, neither claims 16
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`nor 24 contain the term “difference information.” Furthermore, Dropbox
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`fails to explain how its definition of “difference information” is relevant to
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`any of the other terms appearing in claim 16 or 24.
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`B. Claims 1, 16 and 24 -- “Difference Transaction”
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`43. Dropbox provides a construction of the term “difference
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`transaction” as one or more pieces of difference information communicated
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`together. See, for example, page 10 of the ’850 Petition. Dropbox’s expert
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`testifies that, in the field of computer science, the term “transaction” at its
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`simplest level refers to “a single unit of work.” Exhibit 1002, ¶48. While
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`this characterization is not necessarily inaccurate as a general proposition, it
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`is not accurately reflected in Dropbox’s construction.
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`44. To the extent that a specific definition of the term “difference
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`transaction” is necessary, the term should be defined in a manner that is
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`consistent with the context of how it is used in the language of claim 1.
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`According to the actual language of claim 1, in the context of the first sync
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`engine (emphasis added):
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`the first sync engine on the first system interfacing with data on the
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`first system to provide difference information in a difference
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`transaction
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`45.
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`In the context of the second sync engine (emphasis added):
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`a second sync engine on the second system coupled to receive the
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`difference information in the difference transaction . . .
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`46. The term “transaction” is a common term that I view as self-
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`explanatory those of ordinary skill in the art.
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`47. Dropbox’s view that “difference transaction,” as would be
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`understood by one of ordinary skill in the art, may include “one or more
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`pieces of difference information,” would appear consistent with the
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`specification of the ’757 Patent. However, the construction of the term
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`“difference transaction” that includes the notion that the difference
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`information is actually communicated is not consistent with the specification
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`of the ’757, or the understanding of one of ordinary skill in the art. This
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`construction is inconsistent with Dropbox’s own expert’s testimony that, in
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`the field of computer science, a transaction is “a single unit of work,” and is
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`inconsistent with the use of the term “difference transaction” in the plain
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`language of claim 1 itself. As evident from the above, other portions of the
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`element embody any necessary notions of communication by the use of the
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`terms “to provide” (first sync engine) and “to receive” (second sync engine).
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`48. Moreover, the term “transaction” as used in the specification of
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`the ’757 Patent does not call for the transaction itself to be an actual form of
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`a communication. For example, the ’757 Patent specification describes the
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`“Change Log” as “a data file which contains a series of synchronization
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`transactions.” Exhibit 1001, column 17, lines 22-23 (emphasis added). In
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`addition, the ’757 Patent specification describes: “[o]ne or more storage
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`servers 1415 may be used to communicate transaction[s] amongst a
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`collection of devices.” Exhibit 1001, column 34, lines 22-23 (emphasis
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`added). According to the ’757 Patent specification, consistent with the
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`understanding of the term “transaction” by one of ordinary skill in the art,
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`while a “transaction” can be the subject of a communication, or included in a
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`communication, it does not form the act of a communication in and of itself.
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`49. Thus, in my opinion, one of ordinary skill in the art would
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`understand, consistent with the specification of the ’757 Patent, that
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`“difference transaction” is simply “one or more pieces of difference
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`information.” I would also consider “one or more pieces of difference
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`information that can be communicated together” as a proper alternative
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`construction.
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`50. Dropbox also construes the term “difference transaction” as
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`being “one or more pieces of difference information communicated together”
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`in its Petition directed to claims 16-29 of the ’757 Patent. See, ’851 Petition
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`at page 10. However, neither independent claim 16 nor 24 contains the term
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`“difference transaction.” Furthermore, it does not appear that Dropbox
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`provides any explanation of how its construction of “difference transaction”
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`is relevant to any of the terms appearing in claims 16 or 24.
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`51.
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`I note that claims 16 and 24 each include the term “difference
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`transaction generator.” As discussed earlier, “difference transaction” refers
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`to one or more pieces of difference information, or one or more pieces of
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`difference information that can be communicated together. A “difference
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`transaction” necessarily includes “difference information,” and therefore a
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`“difference transaction generator” also necessarily implicates “difference
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`information.”
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`VI. GROUNDS BASED UPON THE CVS DOCUMENTATION
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`A. Claims 1, 16 and 24 — The Two Cited CVS Manuals are Separate
`Documents
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`52. What Dropbox refers to as the “CVS documentation” is actually
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`two separate manuals that appear to be related to version 1.10.3 of the
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`Concurrent Versions System (“CVS”). The first document is a manual
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`describing the CVS protocol for client-server interactions, or “CVS
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`client/server,” cited by Dropbox as Exhibit 1004. The second document is a
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`more general users manual, or “Version Management with CVS,” cited by
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`Dropbox as Exhibit 1005.
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`53. Dropbox’s expert has stated the opinion that the two documents
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`should be considered as the same reference, due at least in part, to the view
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`that a