`
` UNITED STATES PATENT AND TRADEMARK OFFICE
` BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`APPLE, LLC, ) ORAL DEPOSITION OF
` )
` Petitioner, ) WILLIAM C. EASTTOM, II
` )
`Vs. )
` ) NOVEMBER 28, 2017
`UNILOC USA, INC., AND )
`UNILOC LUXEMBOURG S.A., )
` )
` Patent Owner. )
` )
`Case IPR2017-00221 )
`U.S. Patent 7,535,890 )
`
`APPLE, LLC, )
` )
` Petitioner, )
` )
`Vs. )
` )
`UNILOC USA, INC., AND )
`LUXEMBOURG S.A., )
` )
` Patent Owner. )
` )
`Case IPR2017-00222 )
`U.S. Patent 8,243,723 )
`
`APPLE, LLC, )
` )
` Petitioner, )
` )
`Vs. )
` )
`UNILOC USA, INC. AND )
`UNILOC LUXEMBOURG S.A., )
` )
` Patent Owner. )
` )
`Case IPR2017-00225 )
`U.S. Patent 8,995,433 )
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`Apple Ex. 1029
`Apple v. Uniloc
`IPR2017-00222
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`Page 2
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` ORAL DEPOSITION OF
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` WILLIAM C. EASTTOM, II
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` NOVEMBER 28, 2017
`
` VOLUME 1 OF 1
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` -----------------------------------
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` ORAL DEPOSITION OF WILLIAM C. EASTTOM, II, produced
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`as a witness at the instance of the Petitioner, and duly
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`sworn, was taken in the above-styled and numbered cause
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`on November 28, 2017, from 9:14 a.m. to 11:59 a.m.,
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`before Wendy Schreiber, CSR No. 9383, in and for the
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`State of Texas, reported by machine shorthand, at the
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`Renaissance Dallas at Plano Legacy West, 6007 Legacy
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`West, Plano, Texas, pursuant to the Federal Rules of
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`Civil Procedure and the provisions stated on the record
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`or attached hereto.
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`Job No. 2750451
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` VERITEXT LEGAL SOLUTIONS
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` A P P E A R A N C E S
`F O R T H E P E T I T I O N E R :
` J A S O N D . E I S E N B E R G , E S Q .
` T R E N T W . M E R R E L L , E S Q .
` S T E R N E K E S S L E R G O L D S T E I N F O X
` 1 1 0 0 N e w Y o r k A v e n u e , N W
` W a s h i n g t o n , D . C . 2 0 0 0 5
` P h o n e : ( 2 0 2 ) 3 7 1 - 2 6 0 0
` F a x : ( 2 0 2 ) 3 7 1 - 2 5 4 0
` J a s o n e @ s k g f . c o m
` T m e r r e l l @ s k g f . c o m
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`F O R T H E P A T E N T H O L D E R :
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` B R E T T M A N G R U M , E S Q .
` E T H E R I D G E L A W G R O U P
` 2 6 0 0 E . S o u t h l a k e B o u l e v a r d
` S u i t e 1 2 0 - 3 2 4
` S o u t h l a k e , T e x a s 7 6 0 9 2 - 6 6 3 4
` P h o n e : ( 8 1 7 ) 4 7 0 - 7 2 4 9
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`0003
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`
` INDEX
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`Page 4
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`WILLIAM C. EASTTOM, II PAGE
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` Appearances 3
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` Examination by Mr. Eisenberg
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` Examination by Mr. Mangrum
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` EXHIBITS
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`NO. DESCRIPTION PAGE
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`Apple 1 U.S. Patent No. 8,984,639 B1 18
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` PREVIOUSLY-MARKED EXHIBITS
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`NO. PAGE
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`Apple Exhibit 1001 9
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`Apple Exhibit 2001 9
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`Uniloc Exhibit 2001 32
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`Apple Exhibit 1001 32
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`Apple Exhibit 1007 59
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`Apple Exhibit Paper 7 13
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`Apple Exhibit 1005 15
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`Apple Exhibit 1018 26
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`Apple Exhibit 1025 28
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`Apple Exhibit 1001 51
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`Uniloc Exhibit 2001 51
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` I N D E X ( C O N T I N U E D )
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` R E Q U E S T E D D O C U M E N T S / I N F O R M A T I O N
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` N O N E
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`Page 5
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` C E R T I F I E D Q U E S T I O N S
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` N O N E
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`Page 6
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` THE REPORTER: Please raise your right
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`hand.
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` Do you swear or affirm to tell the truth, the
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`whole truth and nothing but the truth?
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` THE WITNESS: I do.
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` WILLIAM C. EASTTOM, II,
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`having been first duly sworn, testified as follows:
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` MR. EISENBERG: Jason Eisenberg here for
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`petitioner, Apple, LLC. With me here today is Trent
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`Merrell from the law firm of Sterne Kessler.
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` MR. MANGRUM: Brett Mangrum for the patent
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`owner with the law firm Etheridge Law Group.
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` EXAMINATION
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` Q. (BY MR. EISENBERG) Good morning.
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` A. Good morning.
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` Q. Will you please state your full name for the
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`record.
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` A. William Charles Easttom, II.
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` Q. Thank you, sir. You understand that you are
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`testifying in three cases here which are IPR 2017-00221
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`for U.S. Patent 7,535,890, IPR 2017-00222 for U.S.
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`Patent 8,243,723, and IPR 2017-00225 for U.S. Patent
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`8,995,433?
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` A. Yes.
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` Q. Is there any reason you cannot testify today?
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`Page 7
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` A. None at all.
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` Q. Have you been deposed before?
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` A. Yes.
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` Q. How many times?
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` A. Over 25. I'm not sure of the exact number.
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` Q. So you understand I'll ask you questions and
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`require verbal answers?
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` A. That's correct.
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` Q. And I'll do my best not to cut you off and try
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`not to cut me off.
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` A. Of course.
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` Q. Have you ever been an expert in the Patent and
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`Trademark Office other than the three cases we're
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`talking about here today?
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` A. Yes.
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` Q. And have you ever been an expert in the
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`District Court?
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` A. Yes.
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` Q. And at the International Trade Commission?
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` A. I believe so.
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` Q. Has any tribunal negatively addressed any of
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`your expert reports or expert declarations?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: Well, I'm not sure. The word
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`"negative" is sort of broad. I'm not sure what you mean
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`specifically.
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` Q. (BY MR. EISENBERG) Have any of them criticized
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`your expert report, criticized your opinions?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: I don't have a recollection
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`of any criticisms or any time that I've been excluded as
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`an expert, if that's what you mean.
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` Q. (BY MR. EISENBERG) Thank you. Did you review
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`the declarations that we'll be speaking about today
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`before this deposition?
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` A. Yes, I did.
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` Q. Did you find anything in the declarations that
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`were in error whether it be typographical or
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`substantive?
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` A. There's certainly the possibility of a
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`typographical or spelling error -- I'm actually infamous
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`for those -- but nothing substantive.
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` Q. During the course of review did anything jump
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`out at you that you wanted to fix today in terms of
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`typographical errors?
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` A. No. We may uncover one throughout the day but,
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`as I said, I tend to make some typos.
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` Q. Okay. And in your review of them do you still
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`stand behind each one of the opinions and statements
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`that you've made in the three declarations we'll talk
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`Page 9
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`about today?
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` A. Yes, I do.
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` (Apple Exhibit 1001 previously marked.)
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` (Apple Exhibit 2001 previously marked.)
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` Q. (BY MR. EISENBERG) I'm going to hand you what
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`is Exhibit 1001 in the IPR ending in 222 and it's U.S.
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`Patent 8,243,723.
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` And I'm going to hand you Exhibit 2001 in
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`the same proceeding which is entitled "Declaration of
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`William C. Easttom, II."
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` Starting with your declaration at
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`paragraph -- we'll start at paragraph 13. I'll give you
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`a chance to read it over quickly if you want.
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` A. I have reviewed it.
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` Q. Here you say that you generally disagree with
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`Dr. Forys' definition of "ordinary skill" and you don't
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`believe that it requires it to be in the fields of VoIP
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`and mobile telephony, which is at the bottom of page 7,
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`top of page 8. I want to know why you believe that the
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`patent claims aren't required to be in those fields.
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: Well, the first issue, that's
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`not actually what it says and I'll read exactly what it
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`says.
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` "While my opinion appears to largely
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`overlap with that offered by Dr. Forys..." So claiming
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`that I generally disagree with him is the antithesis of
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`what I actually wrote. "...I disagree with Dr. Forys'
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`definition to the extent 'ordinary skill' is interpreted
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`to require more than 4 years of academic or industry
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`experience exclusively in the fields of VoIP..."
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` Now, to answer your direct question, in
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`general anyone with a few years' experience of
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`networking would have also worked with voice-over IP and
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`telephony. That's just a part of it. So what I'm
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`stating here is you don't have to exclusively have
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`worked in voice-over IP and telephony for a period of at
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`least four years. You have to have had some experience,
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`of course, just not quite that extensive and that
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`exclusive to be one of ordinary skill in the art.
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` Q. At paragraph 10 you state in the last sentence,
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`"The '723 patent issued on August 13, 2012." Sorry,
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`second-to-last sentence and last. "For purposes of this
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`declaration, I have assumed the priority date for the
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`'723 patent is Dec. 18, 2003."
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` Just focusing on that last sentence, are
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`you agreed today that your declaration focuses on the
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`priority date of December 18th of 2003? Is that
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`correct?
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` A. I don't know if I'd use the term "focuses." It
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`was just a date that is reasonably inferred from filing
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`the prosecution history. If it were to be determined by
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`the patent board that the date was a few months later or
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`a few months sooner, that would not alter my opinions.
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` Q. Thank you. And in paragraph 7 on page 5 you
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`state that "I have been informed that if a single
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`limitation of a claim is absent from the cited prior
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`art, the claim cannot be considered obvious."
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` What is your meaning behind the word
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`"absent" in that statement?
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` A. That's a word that has common meaning. It's
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`not there. It's absent.
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` Q. That means it's not implied, not suggested,
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`just absent?
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` A. Now we're getting into incredibly-vague areas.
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`What one person considers implied or suggests another
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`may not see. I would have to opine that if it's very
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`clearly -- not just faintly suggested that if you read
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`it differently -- but if the plain reading of the prior
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`art clearly leads one to something, then I might
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`consider it obvious. But I've all too often seen people
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`claim something was implied when it's just not there.
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` Q. Okay. I'm going to give you a quick
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`hypothetical. You're going to go to the store and you
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`want to purchase milk and you write down "milk" on a
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`piece of paper. Would you consider that a grocery list?
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` MR. MANGRUM: Objection: form, foundation.
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` THE WITNESS: No.
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` Q. (BY MR. EISENBERG) And why not?
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` A. Well, for me at least a list has multiple items
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`and in the context of the patent it also has multiple
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`items, but just in your hypothetical, limiting it to
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`that, I'm pretty good at remembering just one thing. My
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`wife generally only has to give me a list if it's
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`multiple things.
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` Q. You wouldn't call it a grocery word or
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`something like that and not a grocery list?
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` A. I don't think I would have a term for a single
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`word written down.
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` Q. So turn to paragraph 24. You state in I guess
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`the second sentence, "In my opinion, that quotation
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`invokes commonly-used shorthand to describe alternative
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`embodiments."
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` Why do you believe that in the statement in
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`paragraph 24?
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` A. Well, interestingly, the actual answer to your
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`question is in the very next paragraph, paragraph 25,
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`where I state, "I further note that Claim 1 recites 'one
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`or more recipients,' which conveys to a person of
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`ordinary skill in the art that Claim 1 uses the phrase
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`'one or more' when the intent is to invoke both the
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`singular and the plural. The absence of the qualifying
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`phrase 'one or more' before the 'nodes' term confirms
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`the 'list' must include the connectivity status of more
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`than one node."
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` Put slightly differently, the inventor had
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`multiple choices of words he could have used. When he
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`meant one or more than one, he said "one or more." In
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`other situations he did not say that and it's clear that
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`he was aware he could have. So it's clear he did not
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`mean one or more than one. In those other instances
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`where he used plurality such as nodes, he clearly meant
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`a plurality.
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` (Apple Exhibit Paper 7 previously marked.)
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` Q. (BY MR. EISENBERG) I'm handing you what is
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`paper 7 in the 222 proceeding which is the Institution's
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`decision. I'd like you to turn to page 17 and 18, the
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`bottom of 17 and the top of 18, starting with the word
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`"first" on the left side in the margin. It's towards
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`the bottom four lines.
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` A. Well, if it's okay with you, I'd like to start
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`with the beginning of that paragraph and review it.
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` Q. Sure. Take your time.
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` A. I have read it.
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` Q. Fourth from the bottom line starts with the
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`word "first" and it says, "First, neither party has
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`proposed a construction for the term 'list,' and Patent
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`Owners's argument appears to take an overly narrow view
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`of the term to mean that the 'list of recorded
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`connectivity status' must include the connectivity
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`status of more than one node. Patent Owner cites no
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`factual support in the record for its argument that the
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`scope of the term excludes a singular value.
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` Did you review this Institution's decision
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`and Board statements when you made your opinions in your
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`declaration for this case?
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` A. Yes, I have read it.
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` Q. And did you disagree with the Board's decision
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`and this Institution's decision that the view of the
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`list not including one or more was overly narrow?
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` MR. MANGRUM: Objection: form and
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`foundation.
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` THE WITNESS: I don't see that that's what
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`they're saying. They're saying as of this writing when
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`they wrote this decision, they had not heard a rationale
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`for why it would mean more than one articulated. One of
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`the purposes of depositions like this is so that you can
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`ask me questions and we can get those rationales
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`explained, which I did a few moments ago, and I'm happy
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`to repeat if you'd like.
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` Q. (BY MR. EISENBERG) Let me ask you this. In
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`your declaration do you take account of the fact that
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`the Board may stick with their view of what a list is;
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`that it's one or more? Do you take into account whether
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`the art teaches the Board's current view if it becomes
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`their permanent view?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: It's a bit of a convoluted
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`question. The only way I know to answer it is what I
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`take into account in my declaration is all contained
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`within my declaration. My opinions are fully contained
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`within the four corners of that declaration. What the
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`Board may choose is certainly out of my control. Now,
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`if you're asking that if the Board did claim that a list
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`could be one, would that alter my opinion, no, because
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`there are other reasons articulated in my declaration
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`why the list in Vuori's doesn't match the list in the
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`patents-in-suit.
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` (Apple Exhibit 1005 was previously marked.)
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` Q. (BY MR. EISENBERG) Let's turn to Vuori's. I'm
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`handing you Exhibit 1005 which is U.S. Patent
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`Publication 2002/0146097 to Vuori, spelled V-U-O-R-I.
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`I'd like to turn between Vuori and your declaration
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`we'll go to your declaration at paragraph 29. I'll let
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`you take the time to review it.
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` A. I have reviewed it.
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` Q. Towards the middle there's a sentence that
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`starts, "The SVM watcher 256 is not a user-facing
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`'client'..." Can you find that sentence?
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` A. Yes, I have it in front of me.
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` Q. And it finishes, "...and thus does render
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`obvious the claimed 'transmitting' step."
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` What is your definition of a user-facing
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`client?
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` A. Well, within the context of the patent in
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`question here, we have a client application which is a
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`program written for specific purposes, in this case
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`instant voice messaging. That program resides on a
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`client device. It could be a telephone, could be some
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`other sort of device. That would be my definition in
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`the context of this patent.
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` Q. And you base your opinion then on the patent
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`and not on any external evidence outside the patent?
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` A. Well, within the context of the patent the
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`definition I just gave is the most appropriate one.
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` Q. Okay. And did you provide anything in your
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`declaration that corroborates that understanding of how
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`the patent --
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` A. I'd have to peruse through the declaration but
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`I believe there are citations to that client application
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`issue in the patent itself, not to mention, of course,
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`the patent clearly says it and is incorporated by
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`reference in the declaration.
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` Q. Okay. So turning to Figure 7 of the Vuori
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`reference we'll call it --
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` A. I have it both in my declaration and right
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`here.
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` Q. In Figure 7 there's an arrow -- there's two
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`arrows that face into SVM watcher 256, correct?
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` A. That is correct.
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` Q. And specifically one is labeled 252, the other
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`one is unlabeled, correct?
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` A. That is also correct.
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` Q. So you're basing your opinion on not being a
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`user-facing client on the direction of the arrows?
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` A. That is one part of my basis and I should point
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`out that in network diagrams arrows are not arbitrary or
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`minor things, they're incredibly significant. They show
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`the flow of data and no one -- forget ordinary skill in
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`the art -- even a novice who is taking his first
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`networking class would not understand that these arrows
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`have significance for the directionality of the flow of
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`data.
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` Q. Do we know that Vuori was as careful with his
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`arrows as someone who was doing a network diagram would
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`be in engineering?
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` A. That question is a little odd. Essentially
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`you're asking me could I assume for the sake of my
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`declaration testimony that Vuori did not know how to do
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`a network diagram and made a very careless patent
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`application. I think that's a bad assumption. And we
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`couple that with the statement I first started with that
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`the directionality of arrows is only one of the reasons
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`that brings me to that conclusion. The other evidences
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`within Vuori more fully support that he actually
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`understood the arrows and meant what he wrote.
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` (Exhibit 1 was marked for identification.)
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` Q. (BY MR. EISENBERG) I'm handing you what will
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`be labeled as Deposition Exhibit 1. Deposition Exhibit
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`1 is U.S. Patent 8,984,639. I believe the inventor is
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`yourself; is that correct?
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` A. Yes, and I am familiar with this patent.
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` Q. Okay. Great. Do you know of any errors in
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`this patent? Did anything come up during the course of
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`prosecution or after the patent issued that required you
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`to fix anything in this patent?
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` MR. MANGRUM: Objection: form, relevance.
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` THE WITNESS: I don't recall any such
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`issues. If there were, it's been long enough and minor
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`enough that they just don't come to mind.
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` MR MANGRUM: Counselor, just for the
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`record, I'm going to object to all questions -- and I'm
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`happy to repeat the objections if you would prefer
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`them -- I'm going to object to all questions based off
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`this document. It's clearly not cited or a part of any
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`of the direct testimony.
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` MR. EISENBERG: Okay. We can do a running
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`objection for this particular document.
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` MR. MANGRUM: Thank you. So just for the
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`record then I'll object on the basis of relevance at a
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`minimum and if there's any other one-word objections,
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`I'll offer those.
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` MR. EISENBERG: Okay.
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` Q. Turning to Figure 2, you show user computer 104
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`that has not one but two arrows going to hash value
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`server 106, correct?
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` A. That is exactly correct.
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` Q. And turning to Column 4, I'm going to
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`concentrate on lines 19 through 26 but I'm happy to have
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`you familiarize yourself with that section of Column 4.
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` A. I'm prepared.
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` Q. Okay. In this section you state, "In FIG. 2,
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`when any executable was launched on the user computer
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`104, a query would be issued to the hash value server
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`106, which sends that server the hash value of the
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`current executable. The hash value server 106 would
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`then compare that recently created hash value to a
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`pre-stored hash value. If the hash values matched, then
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`the hash value server 106 would respond by authorizing
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`the requesting user computer 104 to execute the
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`application."
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` How would it respond by authorizing the
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`requesting user computer 104 to execute the application?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: Well, the issue that you're
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`getting at is that Figure 2 shows arrows in one
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`direction. That's all it's meant to show. Fortunately
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`it's not the only figure in the patent. For example, if
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`you go right to Figure 3, verification response
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`transferred back to computer shows the arrow in the
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`other direction. Figure 2 -- since I wrote it, I'm
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`pretty familiar with it -- was only meant to show one
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`part of that communication process, directionality, one
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`direction. Figure 2 which was meant to show both
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`directions has, in fact, arrows pointing in both
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`directions as is common in network diagrams.
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` Q. The second time I think you said Figure 2.
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` A. Figure 3, you're correct.
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` Q. Now, that description of the responding nodes
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`in the Figure 2 description, it doesn't refer to Figure
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`3; is that correct, at that section of Column 4?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: That's incorrect. There's an
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`entire paragraph there. The first sentence says we're
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`talking about Figure 2. Then the rest of the paragraph
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`goes on to discuss the rest of the process. Nothing in
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`that paragraph says that the entire paragraph is
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`referring exclusively to Figure 2, merely that Figure 2
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`is showing that initial executable launch and the query.
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` MR. EISENBERG: Thank you.
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` Q. I'm going to refer back to Vuori again and
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`we'll look at Figure 8 which is a detailed view of the
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`SVM watcher 256 and its additional elements. And I'd
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`like to turn to paragraph 44 of Vuori if we could.
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` A. Sure.
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` Q. Tell me when you're ready.
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` A. I am ready.
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` Q. In this paragraph 44 the second sentence says,
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`"An SVM fetcher 258 simply requests the current value of
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`some SVM presentity's..." -- P-R-E-S-E-N-I-T-Y'S --
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`"...presence information from the present service 248."
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` A. Yes, I read that.
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` Q. Would a request mean that there has to be
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`communication from 258 or 256 to 248?
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` MR. MANGRUM: Objection: form, scope.
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` THE WITNESS: Well, actually there's a
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`slightly-different issue here. If you look back at
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`Figure 8, the 258 that is discussed -- that you were
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`just discussing in paragraph 44, which is an SVM
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`fetcher, you can see that it's part of the SVM watcher.
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`Now, if we take that all the way back to Figure 7, we
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`can see the SVM watcher is what in turn talks -- is
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`communicated from the SVM watcher UA. So what we have
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`here is a fetcher that within the watcher is grabbing
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`information. It is fetching. He says that. However,
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`it's doing that within the SVM watcher which is about
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`two places removed from the user. So, no, that does not
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`show communication going back to the user.
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` Q. (BY MR. EISENBERG) Does it show communication
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`going to the service that asks for information?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: Not to ask but if you look at
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`Figure 7 again, it shows 248, the SVM presence service
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`is sending data to the SVM watcher and that's exactly
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`what paragraph 44 is saying, I agree, but the SVM
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`watcher, the fetcher is part of it, it's not a separate
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`thing. So then we have to look at what communicates
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`with that watcher. Well, what communicates with it are
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`two things, the SVM presence service which sends
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`information to it so the fetcher can get it and the SVM
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`watcher UA sends data to it. None of these diagrams
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`show the SVM watcher sending data to anyone. And I'm
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`looking at Figure 7, 8 and 9 to get a complete picture.
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` Q. Correct. The diagrams, I agree, do not have
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`the arrows but the statement in paragraph 44 is that the
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`fetcher can request notifications -- I'm sorry, the
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`first sentence says that it requests the current value
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`of some SVM presentity's presence information. So it
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`requests it which means it has to ask for it and that
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`would mean that it sends out a communication to
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`something; is that correct?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: Well, we're conflating what
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`these arrows mean. The arrows mean the flow of data.
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`If I request information from you, I'm not flowing data
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`towards you, I'm asking you for information and the
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`information should flow back to me. All that paragraph
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`44 is saying is that rather than that information going
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`from 248, the presence server, to the fetcher 258 at
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`random intervals or at discrete intervals or something
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`of that nature, that at some point the fetcher can say
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`I'd like you to send me that information. It doesn't
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`change the diagrams in any way.
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` Q. (BY MR. EISENBERG) Okay. I'd like to turn to
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`paragraph 46 and I'll wait until you're ready.
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` A. I've read it.
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` Q. Okay. We're going to concentrate on the bottom
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`part of that right after you'll see about nine lines up
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`there's a "UA 282." Do you see that?
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` A. Yes, I do.
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` Q. Right next to it the sentence starts with "it."
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`It says, "It should be mentioned, as is mentioned in RFC
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`2778, that the different kinds of user agents are split
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`apart in the model even though most implementations will
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`combine at least some of them." Then it says, "A user
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`agent is purely coupling between a principal and some
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`core entity of the system..." and it gives examples of
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`elements 274, 272, 254 and 256.
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` So here it states that a Vuori user agent
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`is a coupling between a principal and any entity of the
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`system, correct?
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` A. Yes.
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` Q. So a Vuori user agent may be coupled to the SVA
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`watcher 256 according to this statement, correct?
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` MR. MANGRUM: Objection: form.
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` THE WITNESS: Well, it specifically says a
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`coupling between a principal and some core entity such
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`as the inbox, the sender, the presentity, the watcher.
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` Q. (BY MR. EISENBERG) So the principal and the
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`watcher need to be able to send and receive data or
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`information with each other according to this statement,
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`correct?
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` MR. MANGRUM: Objection: form, foundation.
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` THE WITNESS: I don't see that in there
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`anywhere.
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` Q. (BY MR. EISENBERG) Why would it couple a
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`principal to the watcher if it wasn't allowing for a
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`communication channel?
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` A. Well, there's two different things. You've
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`changed the terms. You said "send and receive" before
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`and now you've said "communication." A one-way
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`communication is communication and it is coupled.
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`Nothing in here says anything about a two-way
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`communication, it just says a coupling, and I'll agree
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`with you insofar as that does mean at least one-way
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`communication, sure. But nothing in here even suggests
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`and it do