IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`In re Patent of:
`James M. Barton, et al..
`
`U.S. Patent No.:
`6,233,389 Attorney Docket No.: 39843-0037IP1
`Issue Date:
`May 15, 2001
`
`Appl. Serial No.: 09/126,071
`
`Filing Date:
`July 30, 1998
`
`Title:
`Multimedia Time Warping System
`
`
`
`DECLARATION OF JOHN MICHAEL STRAWN, PhD
`
`1
`
`SAMSUNG 1003
`
`

`
`TABLE OF CONTENTS
`
`I. QUALIFICATIONS AND BACKGROUND INFORMATION ........ 7
`
`II.
`LEGAL PRINCIPLES ......................................................................12
`A. Anticipation .........................................................................................12
`B. Obviousness .........................................................................................13
`
`III. OVERVIEW OF CONCLUSIONS FORMED ..............................14
`
`IV. BACKGROUND KNOWLEDGE ONE OF SKILL IN THE ART
`WOULD HAVE HAD PRIOR TO THE PRIORITY DATE OF THE ’389
`PATENT 15
`A. Overview of the ’389 Patent ................................................................16
`B. Background Prior Art - Sampat ..........................................................20
`C.
`Other Background Prior Art ............................................................25
`D.
`Person of Ordinary Skill in the Art ..................................................26
`
`V.
`INTERPRETATIONS OF THE ’389 PATENT CLAIMS AT
`ISSUE
`27
`
`VI. ANALYSIS OF SAMPAT (CLIENT SIDE) (CLAIMS 31 AND
`32
`A. Preambles of Claims 31 and 61 ..........................................................36
`B. Physical Data Source Features of Claims 31 and 61 .........................36
`C.
`Source Object Features of Claims 31 and 61 ..................................42
`i. First Function - Extracts Video and Audio Data from a Physical
`Data Source .......................................................................................................44
`ii. Second Function - Obtains a Buffer from a Transform Object .......44
`iii.
`Third Function - Converts Video Data into Data Streams ...........45
`iv.
`Fourth Function - Fills the Buffer with the Streams ....................46
`v. Source Object - Conclusion .............................................................47
`D.
`Transform Object Features of Claims 31 and 61 ............................47
`
`61)
`
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`2
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`
`E. Sink Object Features of Claims 31 and 61 ..........................................52
`i. First Function - Obtains Data Stream Buffers from a Transform
`Object
`53
`ii. Second Function - Outputs the Streams to a Video and Audio
`Decoder 54
`iii.
`Sink Object - Conclusion .............................................................56
`F. Automatic Flow Control Features of Claims 31 and 61 .....................57
`i. Automatic Flow Control - Construction ..........................................57
`ii. Source Object - Automatic Flow Control ........................................60
`iii.
`Sink Object - Automatic Flow Control ........................................62
`G. Decoder Features of Claims 31 and 61 ...........................................65
`H.
`Control Object Features of Claims 31 and 61 ................................67
`i. Control Object – Receives Commands that Control the Flow of
`Broadcast Data ..................................................................................................67
`ii. Control Object – Sends Flow Command Events .............................70
`
`VII. ANALYSIS OF SAMPAT (CLIENT SIDE) IN VIEW OF
`MICROSOFT VIDEO FOR WINDOWS AND SOUNDBLASTER (CLAIMS
`31 AND 61) 72
`A. Video Decoder Features of Claims 31 and 61 ....................................73
`B. Audio Decoder Features of Claims 31 and 61 ....................................75
`C.
`Obviousness Conclusion for Claims 31 and 61 ...............................78
`
`VIII. ANALYSIS OF SAMPAT (SERVER SIDE) (CLAIMS 31 AND
`78
`A. Preambles of Claims 31 and 61 ..........................................................81
`B. Physical Data Source Features of Claims 31 and 61 .........................82
`C.
`Source Object Features of Claims 31 and 61 ..................................89
`i. First Function - Extracts Video and Audio Data from a Physical
`Data Source .......................................................................................................90
`ii. Second Function - Obtains a Buffer from a Transform Object .......91
`iii.
`Third Function - Converts Video Data into Data Streams ...........92
`iv.
`Fourth Function - Fills the Buffer with the Streams ....................94
`v. Source Object - Conclusion .............................................................95
`D.
`Transform Object Features of Claims 31 and 61 ............................95
`
`61)
`
`
`
`3
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`E. Sink Object Features of Claims 31 and 61 ..........................................99
`i. First Function - Obtains Data Stream Buffers from a Transform
`Object
`100
`ii. Second Function - Outputs the Streams to a Video and Audio
`Decoder 102
`iii.
`Sink Object - Conclusion ...........................................................104
`F. Automatic Flow Control Features of Claims 31 and 61 ...................105
`i. Automatic Flow Control - Construction ........................................105
`ii. Source Object - Automatic Flow Control ......................................107
`iii.
`Sink Object - Automatic Flow Control ......................................110
`G. Decoder Features of Claims 31 and 61 .........................................113
`H.
`Control Object Features of Claims 31 and 61 ..............................113
`i. Control Object – Receives Commands that Control the Flow of
`Broadcast Data ................................................................................................114
`ii. Control Object – Sends Flow Command Events ...........................118
`
`IX. ANALYSIS OF SAMPAT (SERVER SIDE) IN VIEW OF
`MICROSOFT VIDEO FOR WINDOWS, SOUNDBLASTER, AND GERBER
`(CLAIMS 31 AND 61) .........................................................................................120
`A. Physical Data Source Temporarily Stores Video and Audio Data of
`Claims 31 and 61 ................................................................................................121
`B. Video Decoder Features of Claims 31 and 61 ..................................127
`C.
`Audio Decoder Features of Claims 31 and 61 ..............................129
`D. Obviousness Conclusion for Claims 31 and 61 .............................132
`
`X.
`SECONDARY CONSIDERATIONS ............................................133
`
`XI. ADDITIONAL REMARKS ...........................................................137
`
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`
`TABLE OF FIGURES
`
`Figure 1. [SE1001, ’389 Patent FIG. 1.] ..................................................................16
`Figure 2. [SE1001, ’389 Patent FIG. 8.] ..................................................................17
`Figure 3. [SE1001, ’389 Patent FIG. 9 (annotated)] ................................................19
`Figure 4. [SE1004, Sampat FIG. 1.] ........................................................................21
`Figure 5. [SE1004, Sampat FIG. 16 (annotated)] ....................................................22
`Figure 6. [SE1004, Sampat FIG. 19 (annotated)] ....................................................23
`Figure 7. [SE1004, Sampat FIG. 20 (annotated)] ....................................................24
`Figure 8. [SE1018 (Bescos), 4 (annotated)] ............................................................26
`Figure 9. [SE1004, Sampat FIG. 1 (annotated for Sampat’s Client Side).] ............34
`Figure 10. [SE1004, Sampat FIG. 18 (annotated)] ..................................................35
`Figure 11. [SE1004, Sampat FIG. 20 (annotated)] ..................................................35
`Figure 12. [SE1004, Sampat FIG. 1 (annotated)] ....................................................38
`Figure 13. [SE1004, Sampat FIG. 15 (annotated)] ..................................................39
`Figure 14. [SE1004, Sampat FIG. 15 (annotated)] ..................................................41
`Figure 15. [SE1004, Sampat FIG. 20 (annotated), see also 17:50-59, 17:64-67.] ..45
`Figure 16. [SE1004, Sampat FIG. 18 (annotated)] ..................................................49
`Figure 17. [SE1004, Sampat FIG. 17 (annotated)] .................................................50
`Figure 18. [SE1004, Sampat FIG. 20 (annotated)] ..................................................53
`Figure 19. Flow control in Sampat Fig. 20 and ‘389 patent Fig. 9 ..........................59
`Figure 20. [SE1004, Sampat FIG. 20 (annotated)] ..................................................61
`Figure 21. [SE1004, Sampat FIG. 20 (annotated)] ..................................................64
`Figure 22. [SE1004, Sampat FIG. 17 (annotated)] ..................................................66
`Figure 23. [SE1004, Sampat FIG. 18 (annotated)] ..................................................68
`Figure 24. [SE1004, Sampat FIG. 13 (annotated)] ..................................................69
`Figure 25. [SE1004, Sampat FIG. 18 (annotated)] ..................................................71
`Figure 26. [SE1004, Sampat FIG. 1 (annotated)] ....................................................79
`Figure 27. [SE1004, Sampat FIG. 15 (annotated)] ..................................................80
`Figure 28. [SE1004, Sampat FIG. 16 (annotated)] ..................................................81
`Figure 29. [SE1004, Sampat FIG. 15 (annotated)] ..................................................83
`Figure 30. [SE1004, Sampat FIG. 15 (annotated)] ..................................................85
`Figure 31. [SE1004, Sampat FIG. 15 (annotated)] ..................................................88
`Figure 32. [SE1004, Sampat FIG. 16 (annotated)] ..................................................91
`Figure 33. [SE1004, Sampat FIG. 19 (annotated)] ..................................................92
`Figure 34. [SE1004, Sampat FIG. 19 (annotated)] ..................................................95
`Figure 35. [SE1004, Sampat FIG. 16 (annotated)] ..................................................97
`Figure 36. [SE1004, Sampat FIG. 19 (annotated)] ................................................101
`Figure 37. [SE1004, Sampat FIG. 16 (annotated)] ................................................103
`5
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`Figure 38. Flow control in Sampat Fig. 19 and ‘389 patent Fig. 9.......................107
`Figure 39. [SE1004, Sampat FIG. 19 (annotated)] ................................................108
`Figure 40. [SE1004, Sampat FIG. 19 (annotated)] ................................................111
`Figure 41. [SE1004, Sampat FIG. 16 (annotated)] ................................................115
`Figure 42. [SE1004, Sampat FIG. 13 (annotated)] ................................................117
`Figure 43. [SE1004, Sampat FIG. 16 (annotated)] ................................................119
`Figure 44. [SE1005, Gerber FIG. 3 (annotated)] ...................................................125
`
`Figure 38. Flow control in Sampat Fig. 19 and ‘389 patent Fig. 9 ..................... ..107
`Figure 39. [SE1004, Sampat FIG. 19 (annotated)] .............................................. ..108
`Figure 40. [SE1004, Sampat FIG. 19 (annotated)] .............................................. ..111
`Figure 41. [SE1004, Sampat FIG. 16 (annotated)] .............................................. ..115
`Figure 42. [SE1004, Sampat FIG. 13 (annotated)] .............................................. ..117
`Figure 43. [SE1004, Sampat FIG. 16 (annotated)] .............................................. ..119
`Figure 44. [SE1005, Gerber FIG. 3 (annotated)] ................................................. ..125
`
`6
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`
`I, John Michael Strawn, Ph.D., of Larkspur, California, declare that:
`
`I.
`QUALIFICATIONS AND BACKGROUND INFORMATION
`1.
`I am currently an independent consultant working under the aegis of
`my corporation S Systems Inc. A copy of my curriculum vitae, which describes in
`further detail my qualifications, employment history, honors, patent, awards,
`professional associations, presentations, and publications is attached hereto.
`2. My formal education includes a Bachelor's degree from Oberlin
`College in 1973. As a Fulbright scholar in Berlin, I attended lectures and seminars
`in German at the Free University and Technical University Berlin from 1973-1975.
`I earned a Ph.D. degree from Stanford in 1985, with my doctoral dissertation
`focusing on signal processing for analyzing digital audio. As part of that work, I
`implemented streaming audio recording and playback in real time on a mainframe
`computer using, for example, specially formatted hard disks that operated in a
`drive the size of a washing machine, long before the compact disc was invented.
`3. With regard to the subject matter of this proceeding, I have extensive
`experience in streaming and related technology. I have studied analog and digital
`circuitry, analog and digital hardware, computer architecture, processor
`architecture, high-level language programming including object-oriented
`programming in languages such as C++ and Java, assembly language
`programming, digital signal processing, cybernetics, information theory,
`
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`compression (especially audio but also data, image, and video), television
`transmission formats, networking, user interface design, user interface
`implementation, and client/server interactions.
`4.
`In addition, I have over 45 years involvement in software, digital
`media, digital signal processing, networking, and processor architecture. Working
`in those areas, I have been an employee, a manager of a team of other Ph.D.s, and
`an independent software consultant in signal processing specializing in high-level
`languages and assembly language. My specialties have included compression and
`decompression of media, streaming media, the Fourier transform, and the discrete
`cosine transform used in audio compression, JPEG, and MPEG video.
`Implementing buffering for streaming media has been the backbone of many of my
`consulting projects, such as for DTS or Verance.
`5.
`Throughout my career, I have received a variety of awards including
`the Fulbright scholarship mentioned above and a grant from the IBM Thomas
`Watson Foundation to work in Europe and Japan. I was named Fellow of the
`Audio Engineering Society.
`6.
`I have made extensive contributions to the practice of assembly
`language programming for real-time processing and digital signal processing. My
`work on the NeXT machine served as a tutorial for other programmers. I have
`
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`
`held seminars at industry gatherings teaching my programming methodology as
`well as compression to others practicing in the field.
`7.
`In writing this Declaration, I have considered the following: my own
`knowledge and experience, including my work experience in the fields of audio
`and video streaming; my experience in teaching those subjects; and my experience
`in working with others involved in those fields. In addition, I have analyzed the
`following publications and materials, in addition to other materials I cite in my
`Declaration:
` U.S. Patent No. 6,233,389 (Exhibit SE1001), and its accompanying
`prosecution history (Exhibit SE1002);
` U.S. Patent No. 5,557,724 to Sampat et al. (“Sampat”, Exhibit
`SE1004);
` U.S. Patent No. 5,710,895 to Gerber et al. (“Gerber”, Exhibit
`SE1005);
` Sound Blaster Pro User Reference Manual (1991) (“SoundBlaster”,
`Exhibit SE1006);
` Programmer’s Guide, Microsoft Video for Windows Development Kit
`(February 1993) (“Video for Windows”, Exhibit SE1007);
` U.S. Patent No. 5,546,103 to Rhodes et al. ("Rhodes", Exhibit
`SE1008).
`
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`
` Concise Oxford Dictionary of Current English (1990) (Exhibit
`SE1009);
` Webster's New World Dictionary of Computer Terms (1988) (Exhibit
`SE1010);
` Claim Construction Order, TiVo Inc. v. Echostar Communications
`Corp., et al., 2:04-cv-00001 (8/18/2005) (Exhibit SE1011);
` Claim Construction Order, TiVo, Inc. v. AT&T Inc., et al., 2:09-cv-
`00259 (10/13/2011) (Exhibit SE1012);
` Claim Construction Order, TiVo, Inc. v. Verizon Comm’n, Inc. et al.,
`2:09-cv-00257 (3/12/2012) (Exhibit SE1013);
` Memorandum Opinion and Order, Motorola Mobility, Inc. et al. v.
`TiVo, Inc., 5:11-cv-00053 (12/06/2012) (Exhibit SE1014);
` Exhibit B, Preliminary Infringement Claim Chart for U.S. Pat. No.
`6,233,389, Samsung Mobile Devices (“Infringement Contentions”,
`Exhibit SE1015);
` Prosecution History of Ex Parte Reexamination of claims 1, 3-5, 15-
`18, 20-25, 32, 34-36, 46-49, and 51-55 of the ’389 patent (Serial No.
`90/007750) (“First Reexam”, Exhibit SE1016);
`
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`
` Prosecution History of Ex Parte Reexamination of claims 31 and 61 of
`the ’389 patent (Serial No. 90/009329) (“Second Reexam”, Exhibit
`SE1017);
` Bescos, Jesus et al., From Multimedia Stream Models to GUI
`Generation (1997) (“Bescos”, Exhibit SE1018);
` Screen capture of Amazon.com listing for Sound Blaster Pro User
`Reference Manual (accessed July 8, 2016) (Exhibit SE1019);
` Musser, John, A Multimedia Class Library for Windows, Dr. Dobb’s
`Journal (July 1993) (“Musser”, Exhibit SE1020); and
` Adams, Eric J., High Noon: Big Players Ready for Video Showdown,
`MacWEEK (Dec. 14, 1992) (“Adams”, Exhibit SE1021).
`8.
`Each of these foregoing references (not including the legal documents
`or patents) were published in publications or libraries with which I am familiar,
`and which would have been available to and disseminated to members of the
`general technical community prior to July of 1998.
`9.
`Although this Declaration refers to selected portions of the cited
`references for the sake of brevity, it should be understood that these are examples,
`and that one of ordinary skill in the art would have viewed the references cited
`herein in their entirety and in combination with other references cited herein or
`
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`
`cited within the references themselves. The references used in this Declaration,
`therefore, should be viewed as being incorporated herein in their entirety.
`10.
`I am not, and never was, an employee of the Petitioner in this
`proceeding, Samsung Electronics Co., Ltd. and Samsung Electronics America, Inc.
`I have been engaged in the present matter to provide my independent analysis of
`the issues raised in the petition for inter partes review of the ’389 patent. I
`received no compensation for this Declaration beyond my normal hourly
`compensation based on my time actually spent studying the matter, and I will not
`receive any added compensation based on the outcome of this inter partes review
`of the ’389 patent.
`II. LEGAL PRINCIPLES
`A.
`
`Anticipation
`11.
`I have been informed that a patent claim is invalid as anticipated
`under 35 U.S.C. § 102 if each and every element of a claim, as properly construed,
`is found either explicitly or inherently in a single prior art reference. Under the
`principles of inherency, if the prior art necessarily functions in accordance with, or
`includes the claimed limitations, it anticipates.
`12.
`I have been informed that a claim is invalid under 35 U.S.C. § 102(a)
`if the claimed invention was known or used by others in the U.S., or was patented
`or published anywhere, before the applicant’s invention. I further have been
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`
`informed that a claim is invalid under 35 U.S.C. § 102(b) if the invention was
`patented or published anywhere, or was in public use, on sale, or offered for sale in
`this country, more than one year prior to the filing date of the patent application.
`And a claim is invalid, as I have been informed, under 35 U.S.C. § 102(e), if an
`invention described by that claim was described in a U.S. patent granted on an
`application for a patent by another that was filed in the U.S. before the date of
`invention for such a claim.
`B. Obviousness
`13.
`I have been informed that a patent claim is invalid as “obvious” under
`35 U.S.C. § 103 in light of one or more prior art references if it would have been
`obvious to a person of ordinary skill in the art at the time of the invention of the
`’389 patent (“POSITA”), taking into account (1) the scope and content of the prior
`art, (2) the differences between the prior art and the claims, (3) the level of
`ordinary skill in the art, and (4) any so called “secondary considerations” of non-
`obviousness, which include: (i) “long felt need” for the claimed invention, (ii)
`commercial success attributable to the claimed invention, (iii) unexpected results
`of the claimed invention, and (iv) “copying” of the claimed invention by others.
`For purposes of my analysis, and because I know of no indication from the patent
`owner or others to the contrary, I have applied a date of July 30, 1998, as the date
`
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`
`of invention in my analyses, although in many cases the same analysis would hold
`true even at a time earlier than July 30, 1998.
`14.
`I have been informed that a claim can be obvious in light of a single
`prior art reference or multiple prior art references. To be obvious in light of a
`single prior art reference or multiple prior art references, there must be a reason to
`modify the single prior art reference, or combine two or more references, in order
`to achieve the claimed invention. This reason may come from a teaching,
`suggestion, or motivation to combine, or may come from the reference or
`references themselves, the knowledge or “common sense” of one skilled in the art,
`or from the nature of the problem to be solved, and may be explicit or implicit
`from the prior art as a whole. I have been informed that the combination of
`familiar elements according to known methods is likely to be obvious when it does
`no more than yield predictable results. I also understand it is improper to rely on
`hindsight in making the obviousness determination.
`III. OVERVIEW OF CONCLUSIONS FORMED
`15. This expert Declaration explains the conclusions that I have formed
`based on my analysis. To summarize those conclusions:
` Based upon my knowledge and experience and my review of the prior
`art publications listed above, I believe that claims 31 and 61 of the
`’389 patent are anticipated by Sampat (client-side).
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`
` Based upon my knowledge and experience and my review of the prior
`art publications listed above, I believe that claims 31 and 61 of the
`’389 patent are rendered obvious by Sampat (client-side) in view of
`Microsoft Video for Windows and SoundBlaster.
` Based upon my knowledge and experience and my review of the prior
`art publications listed above, I believe that claims 31 and 61 of the
`’389 patent are anticipated by Sampat (server-side).
` Based upon my knowledge and experience and my review of the prior
`art publications listed above, I believe that claims 31 and 61 of the
`’389 patent are rendered obvious by Sampat (server-side) in view of
`Microsoft Video for Windows, SoundBlaster, and Gerber.
`IV. BACKGROUND KNOWLEDGE ONE OF SKILL IN THE ART
`WOULD HAVE HAD PRIOR TO THE PRIORITY DATE OF THE
`’389 PATENT
`16. The technology in the ’389 patent at issue generally relates to
`streaming of audio and video data. Prior to the filing date of the ’389 patent, there
`existed products, publications, and patents that implemented or described
`functionality claimed in the ’389 patent. Thus, the methodology of the ’389 patent
`was known in the prior art. Further, to the extent there was any problem to be
`solved in the ’389 patent, it had already been solved in prior art systems before the
`filing date of the ’389 patent.
`
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`A. Overview of the ’389 Patent
`17. The ’389 patent’s disclosure “relates to the real time capture, storage,
`and display of television broadcast signals.” [SE1001 (the ’389 patent), 1:6-9.]
`Figure 1 of the ’389 patent provides a “high level view” of the ’389 patent’s
`system. [SE1001, 2:44-45.] I have reproduced Figure 1 below for clarity.
`
`
`
`Figure 1. [SE1001, ’389 Patent FIG. 1.]
`18. As shown in Figure 1, Input Module 101 receives an input stream
`(such as an analog television signal), converts the input stream into a digital MPEG
`format, and outputs a digital MPEG stream to Media Switch 102. [SE1001, 2:10-
`14, 3:30-65.] Downstream of Input Module 101 is Media Switch 102.
`19. Media Switch 102 “parses the stream looking for MPEG distinguished
`events including the start of video, audio or private data segments.” [SE1001, 5:3-
`
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`6.] When video or audio segments are found, Media Switch 102 indexes the
`segments in memory 104 and stores the segments in storage device 105. [SE1001,
`5:6 to 6:7.]
`20. Downstream of Media Switch 102 is Output Module 103. Output
`Module 103 reads the stored digital segments from storage device 105, decodes the
`segments into an analog signal, and outputs the analog signal. [SE1001, 4:5-9.]
`21. Within the high level framework discussed above, claims 31 and 61
`are directed to operations that control movement of data through the ’389 patent’s
`system. The operations are performed by three conceptual components, illustrated
`in Figure 8 below as “Sources,” “Transforms,” and “Sinks.”
`
`Figure 2. [SE1001, ’389 Patent FIG. 8.]
`
`
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`22. Sources 801 accept digital data from an encoder and package the data
`in buffers acquired from transforms 802. Sources 801 then push the buffers to
`transform 802. [SE1001, 7:58-61.] Transforms 802 write the buffers to a file on
`the storage medium or hard disk 804. At a later time, transforms 802 pull out the
`buffers from hard disk 804 and sequence them with the stream - i.e., an operation
`the ’389 patent describes as performing a temporal transform. [SE1001, 8:3-8.]
`Sinks 803 then take the buffers from transforms 802 and send, to a decoder, digital
`video/audio data from the buffers.
`23. The ’389 patent describes the use of object-oriented programming
`language (such as the C++ programming language) to implement the program logic
`illustrated in ’389 patent Figure 8 above. As shown in ’389 patent Figure 9 below,
`the ’389 patent describes the use of a “source object” 901, a “transform object”
`902, and a “sink object” 903, which correspond to sources 801, transforms 802,
`and sinks 803. [SE1001, 8:9-18, FIG. 9.] A “control object” 917 accepts user
`commands. [SE1001, 9:25-32.] I have reproduced Figure 9, below, and annotated
`it with colors and labels to show the source, sink, transform, and control objects, as
`well as the physical data source, storage device, and decoder.
`
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`
`
`Figure 3. [SE1001, ’389 Patent FIG. 9 (annotated)]
`24. The source, transform, and sink objects operate in conjunction with
`the components described above in ’389 patent Figure 1. For example, the source
`object “takes data out of a physical data source, such as the Media Switch.”
`[SE1001, 8:43-45.] The ’389 patent explains that the source object calls the
`transform object for a buffer to fill. [SE1001, 8:45-48.] The transform object
`provides the empty buffer to the source object and then takes the full buffer from
`the source object and stores it on hard disk or storage device 105 in Figure l.
`
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`
`[SE1001, 9:2-9.] The sink object calls the transform object for a full buffer and
`then sends the digital data to a decoder in Output Module 103 of Figure 1.
`[SE1001, 9:10-16.] It then releases the empty buffer to the transform object for
`use again by the source object. [SE1001, 8:55-59.]
`25. Under this system, the source object waits for the transform object to
`provide an empty buffer. Similarly, the sink object also waits for the transform
`object to provide a full buffer. According to the ’389 patent, “[t]his means that the
`pipeline is self-regulating; it has automatic flow control.” [SE1001, 8:48-49.]
`B.
`Background Prior Art - Sampat
`26. A review of other relevant literature available at the time shows that
`the idea of a pipeline being “self-regulating” or exhibiting “automatic flow
`control” was well known in the technical community by 1998. For example,
`Sampat discloses a system for processing data streams that includes automatic flow
`control. Figure 1 of Sampat shows that system at a high level, with input devices
`108, 110, and 112, a server 102, and clients 104.
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`
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`Figure 4. [SE1004, Sampat FIG. 1.]
`27. Sampat discloses source, sink, and transform objects in both its server
`102 and its clients 104. For example, I have reproduced and annotated Figure 16
`of Sampat (below) to show the source object colored green (source MSPs), the sink
`object colored blue (sink MSPs), the transform object colored lighter brown (media
`services manager)
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`Figure 5. [SE1004, Sampat FIG. 16 (annotated)]
`28. Sampat’s transform object (the MSM 1608) performs the automatic
`flow control. For example, Sampat explains: “Media services manager (MSM)
`1608 manages the flow of data through server software architecture 1512.”
`[SE1004, 9:10-26 (emphasis added).] This includes managing the flow of data
`between the “source” and the “sink” objects, with the source and sink objects
`waiting on buffers being passed from the transform object. [SE1004, 9:10-26,
`9:57-10:7, 10:26-29, 14:43-54, 15:41-17:28, 18:28-54.]
`
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`29. Sampat Figures 19 and 20, below, illustrate “the flow of data” through
`Sampat’s server and client, showing that each includes a central “MSM” that
`automatically controls flow by passing “source buffers” and “sink buffers.”
`[SE1004, 17:8-67.] I have reproduced Sampat Figures 19 and 20, below, and
`annotated them with colors and labels to show how each of Sampat’s server and
`Sampat’s client includes source, sink, and transform objects, with the transform
`object regulating the flow of data through buffer passing.
`
`
`Figure 6. [SE1004, Sampat FIG. 19 (annotated)]
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`Figure 7. [SE1004, Sampat FIG. 20 (annotated)]
`30.
`In addition to automatic flow control, other aspects of claims 31 and
`61 were known by the time of the filing of the ’389 patent. For example, Sampat
`discloses all elements of claims 31 and 61 of the ’389 patent, including the claimed
`physical data source, source object, sink object, transform object, and control
`object. [SE1004, 2:10-16, 4:7-25, 7:59-8:22, 9:10-12, 9:37-53, 13:59-63, 14:33-
`54, 17:8-44, FIGS. 16-20.]
`31.
`In particular, Sampat discloses that its preferred embodiment includes
`certain well-known components, including: “Intel® SmartVideo® Recorder
`(ISVR),” “a SoundBlaster Pro from Creative Labs,” and “Microsoft Video for
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`Windows.” [SE1004, 4:56-57, 8:25-27, 14:10-12.] These were all well-known to
`a POSITA and were described in contemporaneous publications. For example,
`Gerber describes the Intel Smart Video Recorder in further detail. [SE1005, 5:10-
`16, 5:20-60, FIG. 3.] The Sound Blaster Pro User Reference Manual
`(“SoundBlaster”) describes details of the same SoundBlaster device preferred by
`Sampat. [SE1006, 10, 20, 146, 152-153, 158.] The Programmer’s Guide,
`Microsoft Video for Windows Development Kit (“Microsoft Video for Windows”)
`describes details of Video for Windows. [SE1007, 8, 157-211.] Accordingly, to
`the extent that Sampat does not explicitly state that a certain feature was present, a
`POSITA would have understood that such features were present based on what
`Sampat does disclose. Additionally, a POSITA would have been further prompted
`to reference the disclosures in SoundBlaster, Microsoft Video for Windows, and
`Gerber to supplement any gaps in his or her understanding. This will be explained
`further below.
`C. Other Background Prior Art
`32.
`In addition to Sampat, by the filing of the ’389 patent, other systems
`included source, sink, and transform objects with the transform object controlling
`flow. For example, Bescos describes “source” and “sink” objects, as well as a
`monomedia stream as the transform object that “perform its flow control tasks.”
`[SE1018 (Bescos), 4, see also 8 (“Implements flow control handling”).] A
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`multimedia stream in Bescos, such as video and audio, included several such
`monomedia streams. Bescos describes how the multimedia stream acted as a
`control to pass user messages such as play and pause to individual monomedia
`streams. I have reproduced and annotated Figure 2 of Bescos to show this
`conventional source, sink, and transform arrangement.
`transform
`object
`
`source
`object
`
`sink
`object
`
`
`Figure 8. [SE1018 (Bescos), 4 (annotated)]
`D.
`Person of Ordinary Skill in the Art
`33. Based on the foregoing